International Financial Securities Regulatory Commission: Registration and Qualification
Both broker-dealer (BD) firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Firms must meet certain membership standards to attain registration. To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular securities activities. The information below can help guide you through the membership and registration process.
Published Monday, July 18, 2016 by jaja anson
4 pages