Have you ever been named in any proceeding brought by any securities self-regulatory organization, state securities commission or agency, or the SEC or CFTC which found that you violated any law, rule or regulation or which imposed any disciplinary sanction against you?
Annual Dues for Professional Members is $175 ($182 online) There is an additional one-time initiation fee of $100.
Annual dues are for the calendar year January 1 to December 31. Applications received on or after October 1st are processed with a join date of January 1 the following year.
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