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Securities > 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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