Post by cxgllc on Oct 12, 2018 6:05:46 GMT -5
In the United States, the regulatory term "broker-dealer" refers to a natural person (an individual) or a firm.
In addition to registering with the SEC, a broker-dealer applicant must become a member of at least one self-regulatory organization (SRO) - the Financial Industry Regulatory Authority (FINRA), a national securities exchange, or both. SROs may charge a fee and, unlike the SEC, do not have to act within 45 days.
Broker Dealer Registration Services| BD Compliance Services
In addition to registering with the SEC, a broker-dealer applicant must become a member of at least one self-regulatory organization (SRO) - the Financial Industry Regulatory Authority (FINRA), a national securities exchange, or both. SROs may charge a fee and, unlike the SEC, do not have to act within 45 days.
Broker Dealer Registration Services| BD Compliance Services