Post by cxgllc on Apr 20, 2019 0:14:49 GMT 12
HOW TO REGISTER AS A BROKER-DEALER
A broker-dealer may not begin business until:
1.it has properly filed Form BD, and the SEC has granted its registration;
2.it has become a member of an SRO;
3.it has become a member of SIPC, the Securities Investor Protection Corporation;
4.it complies with all applicable state requirements; and
5.its "associated persons" have satisfied applicable qualification requirements.
Finop solution | CCO Solutions
A broker-dealer may not begin business until:
1.it has properly filed Form BD, and the SEC has granted its registration;
2.it has become a member of an SRO;
3.it has become a member of SIPC, the Securities Investor Protection Corporation;
4.it complies with all applicable state requirements; and
5.its "associated persons" have satisfied applicable qualification requirements.
Finop solution | CCO Solutions