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Broker-Dealer Controls Regarding Retail Sales Of ...Representatives’ (“representatives”) Determinations Of Customer Suitability In The SSPs, As Required By Their Internal Controls. II. Overview Of Broker-Dealer Obligations Regarding Sales Of SSPs . A. SSPs . SSPs Have Been Increasingly Marketed To Retail Investors, Who Have Been Interested In Generating 4th, 2024INDEPENDENT BROKER-DEALER RANKING 2019FA’s 2019 INDEPENDENT BROKER-DEALER RANKING *A Member Of Advisor Group. **A Member Of 3th, 2024Uniform Application For Broker-Dealer RegistrationUse Schedule C To Update Schedules A And B. Individuals Not Required To File A Form U-4 (individual Registration) With The CRD System Who Are Listed On Schedules A, B, Or C Must Attach Page 2 Of Form U-4. The Applicant Broker-dealer Must Be Listed In Form U-4 Item 20 Or 21. Si 1th, 2024.
Broker-Dealer Client Relationship Summary (Form CRS)Bonds, US Treasury Securities, And Certificates Of Deposit), And Options. You Can Open Either General Investment Taxable Accounts Or Tax-deferred Retirement Accounts, Including Traditional IRAs Or Roth IRAs. We Do Not Provide Investment Recommendations Or Monitoring Servi 2th, 2024Broker-Dealer Issues For Private Equity FundsSep 24, 2014 · • Implications Of SEC Or State Orders Under “bad Boy” Provisions • Potential Rescission Rights • Need To Check State Law (e.g., California) • Barrington Case • Unlicensed M&A Broker Unable To Collect Its Fee B 4th, 2024Broker-Dealer – 2020 Regulatory Year In Review• FINRA Fines SG Americas Securities $1.55 Million For Submitting Inaccurate Blue Sheet Data –SG Americas Securities, LLC (SGAS) Was Fined For Submitting Inaccurate Trade Data (known As "blue Sheets") To FINRA For More Than Seven Years. The Firm Was Also Required To Conduct A 1th, 2024.
Broker-Dealer Regulatory, Governance And Disputes PracticeMatters – OATS, Blue Sheets, Large Option Position Reporting, TRACE Reporting • SEC Regulation M, SEC Regulation T, SEC Regulation NMS, SEC Regulation SHO, And SEC Rule 15(c)(3) • Market Access • Trading In American Depository Receipts (“ADRs”) • … 2th, 2024BROKER-DEALER COMPENSATION & CONFLICTS …Of Service, Or Performance Metrics (e.g., Service Or Sales Ratings). – Some Firms Use Compensation Grids Based On Revenue And/or Size Of Trade, And The Payout Might Also Increase With Overall Production. • Compensation May Be Tied To Meeting Certain Periodic Thresholds For New Cus 1th, 2024Credit Income Fund Broker Dealer Selling AgreementThe Resource Credit Income Fund (“Company”) A Registered Closed-end Management Investment Company That Is Operated As An Interval Fund, Broker/Dealer Will Provide Distribution Related, Continuing Personal Services To Shareholder And/or Administration Of Shareholder Accounts In, To The Fund(s) Currently Offered By The Company. 3th, 2024.
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