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https://www.fdic.gov/regulations/examinations/trustmanual/section_3/fdic_section_3-_securities_transactions_processing_and_administration.html
The exemption is applicable as long as: (1) the broker/dealer is "fully disclosed" to the customer, and (2) the bank customer has a direct contractual agreement with the broker/dealer. The term "fully disclosed" means that the broker/dealer's name (and not the bank's) appears on account documents, confirmations, statements, etc.
https://www.dre.ca.gov/files/pdf/OpeningTrustAccount.pdf
A trust account is set up as a means to separate trust funds (monies belonging to persons other than the broker – e.g., principals and clients) from non-trust funds (monies belonging to the broker). In the real estate transactional and agency world, the broker managing the account in trust is a fiduciary to the beneficiaries of the account.File Size: 165KB
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
(a) It shall constitute a deceptive act or practice, as those terms are used in section 15(c)(2) of the Act, for a broker or dealer to participate in a distribution of securities with respect to which a registration statement has been filed under the Securities Act of 1933 unless he complies with the requirements set forth in paragraphs (b) through (h) of this section.
https://www.thebalance.com/what-is-a-broker-dealer-4067290
Jul 25, 2021 · A broker-dealer is an individual or a firm that's in the business of buying and selling securities. They can act as either agents or dealers. As an agent, a broker-dealer helps a customer buy or sell securities. As a dealer, a broker-dealer is one of the parties doing the buying or selling.
https://www.trustetc.com/contact-us/
You are leaving trustetc.com to enter the ETC Brokerage Services (Member FINRA/SIPC) website (etcbrokerage.com), the registered broker-dealer affiliate of Equity Trust Company. ETC Brokerage Services provides access to brokerage and investment products which ARE NOT FDIC insured. ETC Brokerage does not provide investment advice or recommendations as to any investment.
https://www.trustetc.com/professionals/contact-us-professionals/
You are leaving trustetc.com to enter the ETC Brokerage Services (Member FINRA/SIPC) website (etcbrokerage.com), the registered broker-dealer affiliate of Equity Trust Company. ETC Brokerage Services provides access to brokerage and investment products which ARE NOT FDIC insured. ETC Brokerage does not provide investment advice or recommendations as to any investment.
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