Intermediary Operations and Procedures Manual

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Intermediary Operations and Procedures Manual 2 TABLE OF CONTENTS INTRODUCTION ........................................ ........................................ ............................. 4 1. 5 Member Firm 5 Principal Licensing ........................................ ........................................ ................................. 5 Registered Representative Licensing ........................................ ........................................ ...... 5 2. CODE OF CONDUCT ........................................ ........................................ ............... 6 Duties and Responsibilities of Member Firms ........................................ ................................ 6 Duties and Responsibilities of 7 Duties and Responsibilities of Registered 8 Record-keeping.

E.C.S.E. BROKER DEALER OPERATIONS PROCEDURES 4 INTRODUCTION This Manual is designed to be a reference and training tool for all associated personnel of member Firms of the Eastern Caribbean Securities Exchange(ECSE).

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