there 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...
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...
For example, they may managethe purchase, license, sale, or marketing of intellectual property assets such as trademarks, patents, or inventions. Intellectual property refers to patents, inventions, trademarks, slogans, etc. Put simply; they are things that the human mind creates. Examples include ...
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 Licensing-Understanding the Role and Limitations of the Series 6 License Brokerage firms often create internal compliance rules to prevent Series 6 brokers from attempting to sell or even discuss securities products outside the scope of the broker's license with clients. Yet, even ...
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In its broker-dealer or agency business model, IB provides direct access trade execution and clearing services to institutional and retail traders for a wide variety of products including stocks, options, futures, forex, bonds, CFDs, and funds worldwide. In fact, in 2017 IBKR was among the ...
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or state insurance license. The other option would be to have a relationship with a broker-dealer. Forfixed annuities, the RIA would need a license to sell life insurance from their state. From there, they need a relationship with an insurance company or other provider such as aBrokerage Gen...
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...