Series 99: Chapter One

Taken from our Series 99 Top-off Online Guide

Chapter One

Customer Accounts and Customer Trades

Since the 1930s, the federal government has regulated broker-dealers and any of their personnel having direct contact with the public. The Financial Industry Regulatory Authority (FINRA) was given the responsibility to register broker-dealers and certain employees and to guide and monitor their behavior. With the financial crisis of 2008 and the industry scandals that came with it, FINRA saw a need to expand its regulatory authority and govern back-office personnel

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