Broker-Dealer Registration: Overview | Practical Law

Broker-Dealer Registration: Overview | Practical Law

This Practice Note provides an overview of the requirement that broker-dealers register with the Securities and Exchange Commission (SEC) under Section 15(b) of the Securities Exchange Act of 1934. It also discusses the application process for becoming a member of the Financial Industry Regulatory Authority (FINRA), which is required to become registered as a broker-dealer with the SEC.

Broker-Dealer Registration: Overview

Practical Law Practice Note Overview 9-587-8486 (Approx. 21 pages)

Broker-Dealer Registration: Overview

by Practical Law Corporate & Securities
This Practice Note provides an overview of the requirement that broker-dealers register with the Securities and Exchange Commission (SEC) under Section 15(b) of the Securities Exchange Act of 1934. It also discusses the application process for becoming a member of the Financial Industry Regulatory Authority (FINRA), which is required to become registered as a broker-dealer with the SEC.