Post by cxgllc on Mar 11, 2019 7:32:41 GMT -5
The most important difference between broker-dealers and registered investment advisors is how each group gets regulated. Broker-dealers owe a duty of fair dealing with their clients, which is generally seen as being less onerous than the fiduciary duties that registered investment advisors owe their clients.
The FINRA broker-dealer (BD) registration process covers the firm’s full life-cycle, from meeting initial membership standards to updating and renewing its registration. This page offers guidance to broker-dealer firms seeking to become FINRA members, including details on the various filing and qualification requirements, as well as what member firms need to do to expand their business or withdraw their registration. The FINRA broker-dealer (BD) registration process covers the firm’s full life-cycle, from meeting initial membership standards to updating and renewing its registration. This page offers guidance to broker-dealer firms seeking to become FINRA members, including details on the various filing and qualification requirements, as well as what member firms need to do to expand their business or withdraw their registration.
Finra series 24 | Broker Dealer Registration
The FINRA broker-dealer (BD) registration process covers the firm’s full life-cycle, from meeting initial membership standards to updating and renewing its registration. This page offers guidance to broker-dealer firms seeking to become FINRA members, including details on the various filing and qualification requirements, as well as what member firms need to do to expand their business or withdraw their registration. The FINRA broker-dealer (BD) registration process covers the firm’s full life-cycle, from meeting initial membership standards to updating and renewing its registration. This page offers guidance to broker-dealer firms seeking to become FINRA members, including details on the various filing and qualification requirements, as well as what member firms need to do to expand their business or withdraw their registration.
Finra series 24 | Broker Dealer Registration