Becoming a Registered Broker Dealer
When a firm makes the decision to become a registered broker dealer with the Financial Industry Regulatory Authority (āFINRAā), the feelings that follow can be quite overwhelming. Unless one has much experience in the FINRA world, it can be a scary step and possibly intimidating. The mission of FINRA is to work with a broker dealer to ensure investor protection, market integrity, and confirm that the broker dealerās practices and programs are in compliance with the industryās rules and regulations. The FINRA institution desires that every broker dealer is successful in mitigating risk for the client and in turn becomes Read more about Becoming a Registered Broker Dealer[…]