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Start a Broker/Dealer
All you need to know about starting a FINRA registered Broker/Dealer
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Resources
Regulatory Agencies
Financial Industry Regulatory Authority (Finra)
The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 4,850 brokerage firms, about 173,000 branch offices and approximately 649,000 registered securities representatives.
Securities Investor Protection Corporation (SIPC)
Securities Investor Protection Corporation, SIPC, is the U.S. investor’s first line of defense in the event a brokerage firm fails owing customers cash and securities. Besides protecting investors, SIPC also provides investor education, and ways to protect you from investment fraud.
U.S. Securities and Exchange Commission (SEC)
The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
National Futures Assoication (NFA)
National Futures Association (NFA) is the industrywide, self-regulatory organization for the U.S. futures industry. We strive every day to develop rules, programs and services that safeguard market integrity, protect investors and help our Members meet their regulatory responsibilities.
Informational Resources
State Hedge Fund Regulations provides its readers with up-to-date information on State Regulatory issues.
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