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INDEPENDENT BROKER-DEALER RANKINg 2015 - faMost brokers and dealers must register with the SEC unless they transact all of their business within one state, in which case they are required to have a state registration.
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At a glance Broker-dealers: New FOCUS on financial responsibility The SEC finalized two new rules for tightening controls over broker.
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Broker-Dealer Services | BNY MellonIndividuals who work for broker-dealers—the sales personnel whom most people call brokers—are technically known as registered representatives.
Broker-dealer financial definition of Broker-dealerAmendments to the PA Securities Act of 1972 Following the October 1, 2012, merger of the PA Securities Commission into the PA Department of Banking to create the PA Department of Banking and Securities, Act 52 of 2014 was signed into law, designed to update the 1972 Act as a result of the merger and recent changes in both federal and state securities laws.
Find firm registration info, history, types of activities, financials, contact info, and employees.This website is for informational purposes only and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments nor an endorsement of any particular investment advisor firm or individual.A full-service broker-dealer and Registered Investment Advisor.