Series 14: 4.1.3.2. Introducing Broker-Dealers

Taken from our Series 14 Online Guide

4.1.3.2. Introducing Broker-Dealers

As discussed in Chapter 3, introducing firms, also called fully disclosed firms, keep customer accounts but do not hold customer funds or securities or carry customer accounts themselves. Instead, they have an arrangement with a clearing, or carrying, firm to maintain custody of their

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Series 14: 4.1.3.2. Introducing Broker-Dealers

Taken from our Series 14 Online Guide

4.1.3.2. Introducing Broker-Dealers

Since you're reading about Series 14: 4.1.3.2. Introducing Broker-Dealers, you might also be interested in:

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