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Statutory Disqualification Meaning & Definition

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Definition of Statutory Disqualification

Statutory Disqualification subjects an individual who has been barred or suspended or convicted of a securities related crime to disqualification from registering as a licensed securities professional.

Applying "Statutory Disqualification" to Securities Exams:

Certain regulatory or criminal sanctions will subject a person to statutory disqualification. Some of these actions could be brought by industry regulators such as FINRA or the SEC. Others may result from criminal convictions from a court of law.

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