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https://www.finra.org/registration-exams-ce/broker-dealers/update/ownership-control
FINRA Rule 1017 requires advance notice—but not prior approval—of changes of ownership or control in the form of a Continuing Membership Application.Form CMA must be filed at least 30 days prior to making such a change to give FINRA an opportunity to conduct a preliminary analysis of the change based on FINRA Rule 1014. A firm may affect the change before the final, written decision is ...
https://www.davispolk.com/sites/default/files/finras_approval_requirement_-_considerations_for_non-us_acquirers_of_bd.pdf
change to the broker-dealer’s business operations will likely take longer to obtain than a change of control alone. Additional time may be necessary, for example, for the broker-dealer to design and implement changes to its written supervisory procedures to support the new business activities or for the broker-dealer’s personnel to …
https://www.ohionational.com/portal/static/Web/SystemUseOnly/Files/Form%20V-4612%20Rev.%201-18(F).pdf?woid=6d15a75ddb0c5010VgnVCM100000c30111acRCRD
Representative of Record/Broker Dealer Change Request P.O. Box 5308 Cincinnati, Ohio 45201-5308 888.925.6446 ohionational.com Contract Number Annuitant Owner(s) *Owner(s) Address Section I: New Representative Information Each named representative must have an active commission percentage in order to service the contract. This request can only be
https://advisorbriefcase.seic.com/system/files/Advisor%20and%20or%20Broker-dealer%20Change%20Form-2.pdf
Advisor and/or Broker-dealer Change Form Instructions: Complete this form to change the Broker-dealer and/or Investment Advisor on the account(s) listed below. Incomplete or missing information will delay the processing of this form. For Advisors who are new to SEI, please submit a completed Advisor/Broker-dealer Start Up Kit. This is a change to:
https://www.michigan.gov/documents/sos/Dealer_Manual_Chapter_1_186040_7.pdf
1-4.3 Change in Business Hours. Dealers must notify the Business Licensing Section of any changes through their eServices account. 1-4.4 Sunday Sales . MCL 435.251. The Secretary of State may deny the application for a license as a dealer, may refuse to issue a dealer license, or may suspend or revoke a license
https://www.ubs.com/global/en/investment-bank/us-broker-dealer/order-handling-retail.html
Symbol Changes: All open orders are cancelled. ... Depending on the extended hours trading system or the time of day, the prices displayed on a particular extended hours system may not reflect the prices in other concurrently operating extended hours systems dealing in the same securities. ... Non-broker dealer customers are eligible to request ...
https://www.signnow.com/fill-and-sign-pdf-form/19423-genworth-broker-dealer-change-form
Change Broker Dealer. Fill out, securely sign, print or email your genworth broker dealer change form instantly with SignNow. The most secure digital platform to get legally binding, electronically signed documents in just a few seconds. Available for PC, iOS and Android. Start a free trial now to save yourself time and money!
https://e80b255887a233465973-c1a0721aaddac10473f6ef19665a6764.ssl.cf1.rackcdn.com/20141117-10-Questions-to-Ask-a-New-Broker-Dealer.pdf
Nov 17, 2014 · The decision to change broker/dealers is not something to make without an awful lot of careful consideration. The wrong broker/dealer can make your life miserable. The truth of the matter is that the wrong broker/dealer for you might be the right broker/dealer for someone else, so …
https://www.brokerdealerlawblog.com/2021/broker-dealer-services-to-plans-and-iras-impact-of-the-dol-fiduciary-advice-exemption/
Mar 23, 2021 · The Department of Labor (DOL) confirmed on February 12 that the Trump-era Prohibited Transaction Exemption 2020-02 (PTE) would go into effect as scheduled on February 16, 2021. The PTE will likely affect the business of broker-dealers that regularly make investment recommendations to IRA owners, as well as retirement plans and their participants (including rollover recommendations ...
https://www.dws.com/en-us/about-us/contact-us/
Carefully consider the fund's investment objectives, risk factors, changes and expenses before investing. This and other information can be found in the fund's prospectus. To obtain a mutual fund summary prospectus, if available, or prospectus, call (800) 728-3337 or download one from fundsus.dws.com .
https://www.finra.org/rules-guidance/key-topics/aml/faq
Oct 01, 2003 · The procedures must be based on the broker-dealer's assessment of the relevant risks, including those presented by the various types of accounts maintained by the broker-dealer, the various methods of opening accounts, the various types of identifying information available and the broker-dealer's size, location and customer base.
https://pcaobus.org/resources/information-for-audit-firms/information-for-auditors-of-broker-dealer
Information for Auditors of Broker-Dealers Background. The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 gave the PCAOB oversight of auditors of broker-dealers registered with the U.S. Securities and Exchange Commission. The PCAOB has registration, inspection, standard-setting, and disciplinary authority over the auditors of ...
https://www.sec.gov/tm/faq-rule-606-regulation-nms
Aug 16, 2019 · Question 2.04: A customer submits orders to Broker-Dealer A, which then routes the orders to Broker-Dealers B, C, and D. Broker-Dealer A exercises discretion regarding how Broker-Dealers B, C, and D further route the orders.Broker-Dealers B, C, and D further route to Exchanges X and Y child orders derived from the orders that they received from Broker-Dealer A, and Broker-Dealers B and C (but ...
https://www.sec.gov/rules/interp/34-47910.htm
May 29, 2003 · A broker-dealer is required, pursuant to new paragraph 17a-3(a)(17)(i)(B), to provide a copy of the account record to the customer (i) within 30 days after opening an account and thereafter at intervals no greater than every 36 months, and (ii) within 30 days after certain …
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