What is the name of your state? OH
Hello, I am hoping someone can help me. I recently was offered my dream job at work in the training and education department. I work for a financial company and learned after accepting the position that I will be required to get my Series 6 license. I have not been able to talk to anyone in the Compliance and Registration office at work yet and it is driving me crazy! I had a Chap 7 BK discharged in June. There are no extenuating circumstances other than that. I have to disclose the BK on my U4 Application with the NASD...from what I have read the NASD cannot and will not deny registration solely because of the BK but can if there are other factors involved like you didn't make your required settlement payments, fraud, dismissal of case, etc. I have none of them. It also seems from what I have read that my company cannot deny me the position due to my BK unless the application is denied by the NASD for some reason. Does anyone know if there is a loop hole or something that allows my employer to choose not to allow me to apply or something? I am trying to decide if I should just decline the offer and stay at my present job....but I really want this job!
Anyone have experience with this? Thanks!
Hello, I am hoping someone can help me. I recently was offered my dream job at work in the training and education department. I work for a financial company and learned after accepting the position that I will be required to get my Series 6 license. I have not been able to talk to anyone in the Compliance and Registration office at work yet and it is driving me crazy! I had a Chap 7 BK discharged in June. There are no extenuating circumstances other than that. I have to disclose the BK on my U4 Application with the NASD...from what I have read the NASD cannot and will not deny registration solely because of the BK but can if there are other factors involved like you didn't make your required settlement payments, fraud, dismissal of case, etc. I have none of them. It also seems from what I have read that my company cannot deny me the position due to my BK unless the application is denied by the NASD for some reason. Does anyone know if there is a loop hole or something that allows my employer to choose not to allow me to apply or something? I am trying to decide if I should just decline the offer and stay at my present job....but I really want this job!
Anyone have experience with this? Thanks!