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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 13th, 2024INDEPENDENT BROKER-DEALER RANKING 2019FA’s 2019 INDEPENDENT BROKER-DEALER RANKING *A Member Of Advisor Group. **A Member Of 6th, 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 15th, 2024.
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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 10th, 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. 1th, 2024.
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