Broker-Dealer Registration - FINRA.org
This page offers guidance to broker-dealer firms seeking to become FINRA members, including details on the various filing and qualification requirements and what member firms need to do to expand …
Broker-Dealers - SEC.gov
For more detail about the issuer’s exemption and associated persons of issuers, and to learn more about broker-dealer registration, including limited exemptions for certain activities, please review the …
Broker-Dealer Registration: Essential Guide and Checklist
This guide demystifies broker-dealer registration, providing a comprehensive checklist and step-by-step instructions to help your firm meet all necessary FINRA and SEC registration standards.
Register a New Broker-Dealer Firm - FINRA.org
Register a New Broker-Dealer Firm To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must …
Everything You Need to Know About Broker-Dealer Registration
Feb 6, 2025 · Learn more about the broker-dealer registration process, including form filings, exam requirements, and more.
Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the Securities and Exchange Commission, the self-regulatory organizations, and …
SEC Broker Dealer Registration: A Guide to Compliance - CGAA
Jan 4, 2025 · Learn about SEC Broker Dealer Registration requirements, licensing, and compliance for firms, including Form BD and FINRA regulations.