Series 26: Exemptions

Taken from our Series 26 Online Guide

Exemptions

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

The following types of firms are exempt:

• Introducing brokers that promptly transmit all funds and securities to their clearing broker.

• Broker-dealers whose only transactions involve registered investment companies or interests in an insura

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