Series 51: Broker-Dealer Associations

Taken from our Series 51 Online Guide

Broker-Dealer Associations

An association of brokers and dealers, such as FINRA, may not be registered as a national securities association unless the SEC determines that it meets the following requirements:

• It must attempt to prevent fraudulent and manipulative acts and practices.
• It must promote just and equitable principles of trade.
• It must attempt to protect investors and the public interest.
• It must have the ability to enforc

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