Series 24: Becoming A Member

Taken from our Series 24 Online Guide

Becoming a Member

Becoming a FINRA member is achieved in two steps. First, one must register with the SEC as a broker-dealer. The SEC has 45 days in which to respond, by either granting the registration or instituting proceedings to determine whether the registration should be denied. In practice, the SEC will grant the registration only after FINRA has approved the application for FINRA membership.

The second step is the FINRA membership a

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Jason Bowen, Southington, CT