Search results with tag "Broker dealer"
Instructions for completing Broker Dealer Firm or ...
www.jh401kadvisor.com3 Removal of Existing Broker Dealer or Financial Representative of Record Complete this section to remove ALL Broker Dealer Firm(s) or Financial Representative(s). To remove a Financial Representative and replace with an RIA, complete the RIA Designation form. Broker Dealer Firm Name Broker Dealer Financial Representative or Financial Representative Name ...
Uniform Application for Broker-Dealer Registration - SEC
www.sec.govA. Broker-dealers registered or applicants applying for registration under Section 15(b) of the Exchange Act that conduct (or intend to conduct) a government securities business in addition to other broker-dealer activities (if any) must file a notice on …
Regulatory Notice 16-37 - finra.org
www.finra.orgNew Applicants A firm that is not registered as a broker-dealer and that wishes to become a CAB generally must follow the same registration and application procedures as any other broker-dealer
FINRA Broker-Dealer Assessment Technology Fees SIPC …
www.v2020.com$62.50 + bps / quarter $250 + 5 bps (annual max $500) ©2017 SagePoint Financial. 17-0050 10/17 For Financial Advisor use only. Not for use with the general public.
Intermediary Operations and Procedures Manual
www.ecseonline.comE.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).