Series 26: Networking Arrangement Guidelines

Taken from our Series 26 Online Guide

Networking Arrangement Guidelines

A networking arrangement is a written agreement between a member firm and a banking institution under which the firm offers its brokerage services on the premises of the bank (or off). Through such an agreement, a bank may provide its customers with services it cannot offer on its own, and the broker-dealer may draw new customers from the bank.

Member firms that enter networking arrangements are required to clearly identify themselves as distinct from the bank where they are located.

Since you're reading about Series 26: Networking Arrangement Guidelines, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 26
Please Enable Javascript
to view this content!