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Open Categories Menu FINRA to Announce New Investment Banking Examination For many years now all brokers have been treated equally with regard to examination requirements. Whether a broker was working solely with retail clients or solely with institutions on a private placement basis, each such broker would need to take and pass the [...]
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24 June
Posted in
Legal Resources
Form U4 and Form U5 | Information About the Uniform Registration Forms for Broker-Dealers and Investment Advisors
Purpose of the Forms and Discussion of Recently Approved Changes & Requirements The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States, and is the entity designated as the filing depository by the U.S. Securities and Exchange Commission for purposes [...]
14 January
Posted in
Hedge Fund Questions and Answers
Hedge Fund Affiliated Broker Dealer
What does it mean for a hedge fund to have an affiliated broker-dealer? Definition of Broker-Dealer We will start off by defining a broker-dealer. Basically a broker-dealer is the term used in the investment management industry for a firm which executes securities trades. The trades may be executed by these [...]
