Purpose – To analyze FINRA’s proposal that would require registration with FINRA of associated persons of FINRA … subject to a FINRA registration requirement, to pass a qualification examination and register. Originality/value – This …

Purpose To analyze a recently approved FINRA rule amendment that will require registration with FINRA of associated … registration requirement to pass a qualification examination and register. Originality/value This article contains valuable …

dealer-trader distinction, an analytical framework under which some high-frequency traders have avoided registration with the …

exemption from investment adviser registration for foreign advisers set forth in a line of Staff no-action letters issued … Participating Affiliate Letters. Design/methodology/approach Reviews the development of the Staff’s approach regarding the non-registration …