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Last Updated: October 3, 2026
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FINRA membership and continuing membership The Financial Industry Regulatory Authority ( Filing with the Financial Industry Regulatory Authority ( If you're preparing to earn your General Securities Principal designation and want General books-and-records requirements sit inside the Regulatory notification and business curtailment sits inside the broker-dealer supervision section of the Step into the General Securities Principal mindset with a challenging Capital Advantage Tutoring channel ( channel for SIE ands Series 7
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