Broker-Dealer Licensing—Understanding the Role and Limitations of the Series 6 LicenseBroker registration is the "keystone" of broker-dealer regulation.1 The registration requirements are designed to ensure that "securities are [only] sold by a salesman who understands and appreciates both the nature...
Broker-Dealer Licensing—Understanding the Role and Limitations of the Series 6 License 来自 掌桥科研 喜欢 0 阅读量: 21 作者:AJ Gana,AJ Weinstein 摘要: Broker registration is the "keystone" of broker-dealer regulation.1 The registration requirements are designed to ensure that "securities are [...
Broker Dealer Company BA Securities is a leading global provider of independent Broker-Dealer affiliation, registration, compliance and FINRA licensing services.
The Intermediary License This is known as a “Matched Principal” license limiting a broker’s activities to Straight-Through-Processing (STP) of orders to a liquidity provider as an A-Book model. The minimum capital requirement for this license is less than that of the dealer li...
are registered broker-dealer firms for sale. These firms may have ongoing business or may be winding down their business. The buyers need to comply with various rules in connection with purchase of a broker-dealer, but these procedures are generally less burdensome than obtaining a new license....
If you are new to the world of investing, the term ‘broker-dealer’ may be unfamiliar to you. What is a broker-dealer? These are brokerage firms that with a license to buy and sell securities before delivering them to a client.
Hazen, Thomas Lee. 2003.Broker-Dealer Regulation in a Nutshell.St. Paul, Minn.: West. Waller, Mark L. 1999.Selecting and Working with a Broker.College Station: Texas Agricultural Extension Center. Cross-references Contracts;Fraud;Insured;Insurer;License;Principal;Securities. ...
BROKER-DEALER SERVICES AND PLACEMENT AGREEMENT filed by Hologram USA Networks Inc. on November 30th, 2017
And to further complicate the matter, many independent brokers also carry the Series 65 license so they can offer turnkey managed money programs that provide active professional management. Some RIAs are likewise affiliated with a broker-dealer so they can offer products such asvariable annuities, w...
Registered representatives with aSeries 6or Series 7 license are mandated to register with a broker-dealer firm to sell securities to the public. These companies have three types: full-service (sometimes known by the older term "wirehouse"), discount brokerage, and independent firms. Wh...