Legal Question in Criminal Law in Florida
Registering with NASD
Is an offense that results in an individual being placed in a pre-trial diversion or intervention program required to be reported to the NASD
I would like more information regarding resgistering with NASD. I will be processing commissions. Can I do that for a company with an arrest record over 20 years old?
Thank you
Asked on 9/20/06, 5:47 pm
1 Answer from Attorneys
Robert Roemer
Robert Roemer
Re: Registering with NASD
In many situations you would have to report it.If you send me a direct e-mail or call me I can talk to you about this and registration with the nasd(I was in-house counsel for nasd firm).I look forward to hearing from you.
Answered on 9/20/06, 10:49 pm
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