Series 26: Carrying Firms

Taken from our Series 26 Online Guide

Carrying Firms

Carrying firms, also called clearing firms, not only handle customer orders and accounts but also keep custody of the funds and securities of their customers. Carrying firms must have at least $250,000 in net capital.

XYZ Brokerage Firm, in the example previous to the above Exercise, would be considered

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Since you're reading about Series 26: Carrying Firms, you might also be interested in:

Series 65 - 8.1 The Securities Act of 1933

Series 53 - 2.5.5.7. Circumvention of the Rule

Series 65 - Exercise

Series 65 - Future Value

Series 66 - 2.4.16.1 Mortgage-Backed Securities

Series 28 - Loan Consent Agreement

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