Broker-dealer registration : demystifying the process /

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Bibliographic Details
Author / Creator:	Lerner, Linda, author.
Imprint:	[Arlington, Va.] : Bloomberg BNA, [2014?]-
Description:	1 online resource
Language:	English
Series:	Securities practice portfolio series ; portfolio 381 Securities practice portfolio series ; 381.
Subject:	Financial Industry Regulatory Authority. Stockbrokers -- Legal status, laws, etc. -- United States.
Format:	E-Resource Journal
URL for this record:	http://pi.lib.uchicago.edu/1001/cat/bib/11805073

Hidden Bibliographic Details
Other authors / contributors:	Rohrer, Eden L., author. Daniels, Scott D., author. Bloomberg BNA, issuing body.
Frequency:	Updated irregularly
Notes:	Includes bibliographical references. Description based on contents viewed on May 29, 2015; title from portfolio description screen.
Summary:	"... reviews the regulatory and business considerations involved in the establishment and registration of a broker-dealer. The portfolio begins with a discussion of the definitions of brokers and dealers, including analysis of the applicability of the broker-dealer registration requirements. Subsequent chapters cover, among other matters, the necessary steps for setting up the business, establishing a business plan, the application for FINRA membership, exchange and SIPC memberships, operational and personnel matters and FINRA review and approval of the membership application. The portfolio concludes with a discussion of FINRA's continuing membership application process."

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