Tennessee Broker-Dealer and Agent Registration and Instructions is a set of rules and regulations for brokers and dealers operating in the state of Tennessee. It outlines the requirements for registering and operating as a broker-dealer and/or agent in Tennessee, and provides instructions on how to properly register and file the necessary documents. The document includes information on the types of broker-dealers and agents, the registration process, licensing requirements, and other important information. It also provides guidance on what fees are associated with registering and maintaining a broker-dealer or agent license. There are two types of Tennessee Broker-Dealer and Agent Registration and Instructions, one for broker-dealers and one for agents.
Tennessee Broker-Dealer And Agent Registration And Instructions
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FAQ
Firms must register any person engaged in the securities business of the firm ? including salespersons, branch managers, department supervisors, partners, officers and directors ? before they can take a qualification exam.
Multiple Registrations An individual may not act at any one time as an agent for more than one broker-dealer or for more than one issuer, unless the broker-dealers or issuers for whom the agent acts are affiliated by direct or indirect common control or the Administrator grants an exception.
Registered financial professionals are licensed sales personnel who work for broker-dealer firms. Broker-dealers are in the business of buying and selling securities?stocks, bonds, mutual funds and certain other investment products?on behalf of their customers (as broker), for their own accounts (as dealer) or both.
With few exceptions, broker-dealer firms must register with the Securities and Exchange Commission and be members of FINRA.
Most "brokers" and "dealers" must register with the SEC and join a "self-regulatory organization," or SRO.
Registration Exemptions Employees exempt from FINRA registration include individuals whose functions are: Solely clerical and/or ministerial in nature, Related solely to the member's need for nominal corporate officers or capital participation (limited partners), OR.
To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer.
Most "brokers" and "dealers" must register with the SEC and join a "self-regulatory organization," or SRO. This section covers the factors that determine whether a person is a broker or dealer. It also describes the types of brokers and dealers that do not have to register with the SEC.