Post by cxgllc on Oct 24, 2018 23:30:11 GMT 12
Registration information is housed in FINRA's Central Registration Depository (CRD). For someone to become registered as a securities professional, their securities firm must file with FINRA a Uniform Application for Securities Industry Registration or Transfer, commonly referred to as Form U4.
Once registered with a brokerage firm, an individual must comply with FINRA rules, federal and state securities regulations, and the firm's policies to maintain the registration. These rules include mandatory continuing education through programs offered at the firm and industry-wide levels.
Finra Registration | Becoming a Broker Dealer
Once registered with a brokerage firm, an individual must comply with FINRA rules, federal and state securities regulations, and the firm's policies to maintain the registration. These rules include mandatory continuing education through programs offered at the firm and industry-wide levels.
Finra Registration | Becoming a Broker Dealer