Understanding Broker Dealer: A Comprehensive Guide
cgaa.org
Understanding Broker Dealer: A Comprehensive Guide
Learn about broker dealer roles, responsibilities, and how it facilitates buying and selling of securities, including stocks, bonds, and more.
Dec 21, 2024
Broker-dealer Training
Events & Training
Events & Training
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Broker-dealer Compliance
CRC-Oyster continues to strengthen its Broker-Dealer Applications Team (BDAT) to support firms navigating FINRA’s new and continuing membership application process amid increased demand. Led by former senior professionals from FINRA’s Membership Application Program (MAP) Group, the BDAT team works with both first-time applicants and established broker-dealers to translate business vision, structure, and long-term objectives into clear, regulator-ready submissions. Each engagement begins with a d
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CRC-Oyster continues to strengthen its Broker-Dealer Applications Team (BDAT) to support firms navigating FINRA’s new and continuing membership application process amid increased demand. Led by former senior professionals from FINRA’s Membership Application Program (MAP) Group, the BDAT team works with both first-time applicants and established broker-dealers to translate business vision, structure, and long-term objectives into clear, regulator-ready submissions. Each engagement begins with a d
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