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Assistant Representative-order Processing
Assistant Representative-order Processing

The following information is about Assistant Representative-order Processing.

Assistant Representative-order Processing Defined

A Series 11 representative who only accepts unsolicited customer orders for execution. Cannot solicit customers, give investment advise, make recommendations to customers, or effect transactions for the NASD-member's account. Must not be registered in any other capacity for the firm. Compensation cannot be based on the number or size of transactions they handle.

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