Series 27: Introducing Brokers

Taken from our Series 27 Online Guide

Introducing Brokers

Broker-dealers that introduce their securities transactions on a fully disclosed basis are generally not required to make or keep records of their transactions. That responsibility belongs to their clearing broker, which must maintain net capital of not less than $250,000 and otherwise comply with the ne

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Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

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