Series 24: 2.7.1.4.2. Introducing Broker-Dealers

Taken from our Series 24 Online Guide

2.7.1.4.2. Introducing Broker-Dealers

Introducing firms, also called fully disclosed firms, keep customer accounts but do not hold customer funds or securities or carry customer accounts themselves. Instead, they have an arrangement with a clearing, or carrying, firm to maintain custody of their

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