Series 24: 1.1.1.3. State Registration

Taken from our Series 24 Online Guide

1.1.1.3. State Registration

Broker-dealers are also required to register in any state in which they are principally located or intend to do business. Registration requirements differ from state to state. Most states permit broker-dealers to register by logging into FINRA Gateway, accessing their Form BD, and clicking on the various states in which they intend to operate. State regulators often require additional information as well, such as a balance she

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