Review personnel registration, statutory disqualification, CE, and supervision concepts within the Series 14 registration chapter.
This section focuses on whether the firm has the right people in the right registration categories, with the right continuing obligations in place. Series 14 expects the compliance officer to recognize registration requirements, exemptions, statutory disqualification issues, and outside-activity concerns that affect whether someone may remain properly associated with the firm.
The key mindset is that registration is a live control process. It is not enough to file a form once and move on. The compliance officer has to monitor changes in status, employment conditions, and conduct that could alter a person’s ability to function in the role.