Benefits of Starting a New Broker-Dealer
Since 2003, we have been assisting firms with starting new [...]
28
05, 2020
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 [...]
15
07, 2016
Beneficial Ownership Requirements for Legal Entity Customers
On May 11, 2016, the Financial Crimes Enforcement Network (FinCEN) [...]
13
06, 2016
Continuing Membership Application
Initially, when a firm receives FINRA approval to become a [...]