Discover the intricacies of broker-dealer examination processes by FINRA, SEC, and state regulators. Learn about the purpose, types, and steps involved in regulatory inspections to ensure compliance and investor protection.
Explore the essential role of FINRA in regulating broker-dealers and registered representatives, the process for becoming a FINRA member firm, and the organizational structure governing its members.
Explore the significance of Aggregate Indebtedness Ratios in securities regulation, including calculation methods, implications for broker-dealers, and compliance strategies.