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...
Simple license transition and onboarding process in under 48 hours. User-friendly technology-based compliance and supervisory platform. Peer networking and collaboration opportunities. Affordable E&O Insurance Coverage. Discounted rates from BA Research and Data Partners. ...
EB-5美国投资移民,从融资模式的角度来看,是一种私募,证券类融资,在美国理应受到SEC监管。同时,在美国的证券类融资,依据美国证券法律的规定,需要有牌照的broker-dealer参与其中。同时,又由于EB-5融资的特殊性,SEC并未完全要求broker-dealer参与其中,但是有迹象表明SEC同其旗下的FINRA正在逐步强制broker-dealer参与到EB...
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 ...
a没有执照 Without the license[translate] awheel housing cover 正在翻译,请等待... [translate] a你去过黄山吗 You have gone to Huangshan Mountain[translate] a我已经发送到你电子邮箱 I already transmitted to your email address[translate] aLook at the star.lt's small Look at the star.lt's sma...
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.
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If a broker's license is suspended, what should the licensees do? What is a hedge fund manager? What is the difference between a trust and a life estate? What is the role of mutual funds in the financial market? In finance, what is a custodian? What an applicant mu...
For the better part of a decade, LPL Financial has operated a custodial platform for advisors who don’t want to retain their securities license, though it has only promoted the unit since 2008. But the giant brokerage’s hybrid platform is still driving much of its growth and the combined...