1017 Material Change Determination
When a member intends to add a line of business, [...]
15
10, 2021
8
10, 2021
1017 Change in Membership
The Firm should review areas of its business to determine [...]
1
03, 2021
Pros and Cons of Buying A Broker Dealer
Considerations for Buying a Broker Dealer If you find yourself [...]
17
01, 2018
The NMA Process – Start A New Broker-Dealer
In order to start a new broker-dealer, you must submit [...]
10
01, 2018
Buy or Start a Broker-Dealer: Weighing the Two Options
Are you looking to start a broker-dealer or buy a [...]
16
06, 2017
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions)
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), [...]
25
10, 2016
FINRA Membership Interview – Part II
[Continued from FINRA Membership Interview – Part I] What happens [...]
25
10, 2016
FINRA Membership Interview – Part I
So, you’ve decided to start or own a broker-dealer. You [...]
19
10, 2016
New Product Considerations for Broker-Dealers
What do you do when you add a new product [...]
18
10, 2016
Is a Series 24 Required to Own a BD?
The question of who is required to have an active [...]