Series 26: Exemptions

Taken from our Series 26 Online Guide

Exemptions

Broker-dealers whose business activities are limited with respect to handling its customers’ funds and securities are exempt from the financial restrictions of the customer protection rule.

The following are exempt:

• Introducing brokers who promptly transmit all funds and securities to their clearing broker.
• Broker-dealers whose only transactions involve registered investment companies or interests in an insurance company’s separate account. To be

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