Broker Dealer Firms We Regulate - G (2024)

G. A. REPPLE & COMPANY
101 NORMANDY RD, CASSELBERRY, FL 32707

G.DISTRIBUTORS, LLC
ONE CORPORATE CENTER, RYE, NY 10580-1435

G.RESEARCH, LLC
ONE CORPORATE CENTER, RYE, NY 10580-1435

G.W. SHERWOLD ASSOCIATES, INC
22994 EL TORO ROAD, LAKE FOREST, CA 92630

G1 EXECUTION SERVICES, LLC
175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604

GAGNON SECURITIES, LLC
1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW YORK, NY 10019

GALAXY DIGITAL PARTNERS LLC
300 VESEY STREET, 13TH FLOOR, NEW YORK, NY 10282

GALENA CAPITAL
800 W MAIN STREET, SUITE 1460, BOISE, ID 83702
Mailing Address: 618 E HIGHLAND VIEW DRIVE, BOISE, ID 83702

GALILEO GLOBAL SECURITIES, LLC
1230 AVENUE OF THE AMERICAS, 16F, NEW YORK, NY 10020

GALLAGHER SECURITIES, INC
300 MADISON AVENUE, 28TH FLOOR, NEW YORK, NY 10017

GALLATIN CAPITAL LLC
444 MADISON AVENUE, 29TH FLOOR, NEW YORK, NY 10022

GALT FINANCIAL GROUP, INC.
2629 TOWNSGATE RD., SUITE 215, WESTLAKE VILLAGE, CA 91361

GAMMA SECURITIES, LLC
500 CALLE DE LA TANCA SUITE 305, OCHOA BUILDING, SAN JUAN, PR 00901

GAR WOOD SECURITIES, LLC
1250 EAST DIEHL ROAD, SUITE 115, NAPERVILLE, IL 60563

GARDEN STATE SECURITIES, INC.
328 NEWMAN SPRINGS ROAD, RED BANK, NJ 07701

GARRETT NAGLE & CO., INC.
300 UNICORN PARK DRIVE, WOBURN, MA 01801

GARY HOCH AGENCY, INC.
2645 ELMWOOD AVE., BUFFALO, NY 14217

GATEWAY FINANCIAL AGENCY CORPORATION
1576 NW PINE CREEK AVENUE, ARCADIA, FL 34266

GATEWOOD SECURITIES LLC
66 HUDSON BLVD. E, 23RD FLOOR, NEW YORK, NY 10001

GB CAPITAL MARKETS LLC
1011 NORTH CAROLINA AVE SE, WASHINGTON, DC 20003

GBM INTERNATIONAL, INC.
2700 POST OAK BLVD., SUITE 1110, HOUSTON, TX 77056

GBS RETIREMENT SERVICES, INC.
2850 GOLF ROAD, 8TH FLOOR, ROLLING MEADOWS, IL 60008

GCG SECURITIES, LLC
189 TOWNSEND STREET, STE 200, BIRMINGHAM, MI 48009

GCMI SECURITIES CORP.
19200 VON KARMAN AVENUE, SUITE 210, IRVINE, CA 92612

GELBER SECURITIES, LLC
350 N.ORLEANS ST 7TH FLOOR, CHICAGO, IL 60654
Mailing Address: 350 NORTH ORLEANS ST 7TH FLOOR, CHICAGO, IL 60654

GEMINI CAPITAL L.L.C.
111 WEST JACKSON BLVD., #2220, CHICAGO, IL 60604
Mailing Address: 111 W JACKSON BLVD #2220, CHICAGO, IL 60604

GEMINI GALACTIC MARKETS, LLC
315 PARK AVENUE SOUTH, NEW YORK, NY 10010

GENEOS WEALTH MANAGEMENT, INC.
9635 MAROON CIRCLE, SUITE 100, ENGLEWOOD, CO 80112

GENERAL SECURITIES CORP
2007 FAYETTE, NORTH KANSAS CITY, MO 64116

GENERAL WELLINGTON CAPITAL LLC
295 MADISON AVENUE, 43RD FLOOR, NEW YORK, NY 10017

GENERATIONAL CAPITAL MARKETS INC.
3400 N. CENTRAL EXPRESSWAY, SUITE 100, RICHARDSON, TX 75082

GENESIS CAPITAL, LLC
3414 PEACHTREE ROAD, NE, SUITE 700, ATLANTA, GA 30326

GEORGESON SECURITIES CORPORATION
118 FERNWOOD AVENUE, EDISON, NJ 08837

GFG SECURITIES, LLC
701 BRICKELL AVENUE, SUITE 1400, MIAMI, FL 33131

GFI SECURITIES LLC
55 WATER STREET, 10TH FLOOR, NEW YORK, NY 10041

GILDER GAGNON HOWE & CO. LLC
475 TENTH AVENUE, NEW YORK, NY 10018

GILL CAPITAL PARTNERS, LLC
600 S. CHERRY ST., SUITE 800, DENVER, CO 80246-1710

GILMARTIN FINANCIAL
60 E SIR FRANCIS DRAKE BLVD., SUITE 208, LARKSPUR, CA 94939

See Also
Ranking NYC's Top-Selling Residential Brokers of 2022

GIRARD INVESTMENT SERVICES, LLC
41 WEST BROAD STREET, SOUDERTON, PA 18964

GIT INVESTMENT SERVICES, INC.
15-B CATOCTIN CIRCLE, SE, SUITE 203, LEESBURG, VA 20175

GLADSTONE SECURITIES, LLC
1521 WESTBRANCH DRIVE, SUITE 100, MCLEAN, VA 22102

GLAUCON CAPITAL PARTNERS, L.L.C.
107 12TH AVENUE EAST, PALMETTO, FL 34221

GLC SECURITIES, LLC
600 LEXINGTON AVENUE, 9TH FLOOR, NEW YORK, NY 10022

GLEN EAGLE WEALTH, LLC
4422C ROUTE 27, KINGSTON, NJ 08528-0399
Mailing Address: 4422C ROUTE 27, PO BOX 399, KINGSTON, NJ 08528

GLENDALE SECURITIES, INC.
15233 VENTURA BLVD., SUITE 712, SHERMAN OAKS, CA 91403

GLMX TECHNOLOGIES, LLC
330 SEVENTH AVENUE, FLOOR 17, NEW YORK, NY 10001

GLOBAL ALLIANCE SECURITIES LLC
2464 DARTS COVE WAY, CHARLESTON (MT. PLEASANT), SC 29466

GLOBAL ATLANTIC DISTRIBUTORS, LLC
ONE FINANCIAL PLAZA, 755 MAIN STREET, 24TH FLOOR, HARTFORD, CT 06103

GLOBAL BROKERAGE SERVICES, INC.
11350 MCCORMICK RD., EP III SUITE 1204, HUNT VALLEY, MD 21031

GLOBAL FINANCIAL SERVICES, L.L.C.
1330 POST OAK BLVD., STE 2100, HOUSTON, TX 77056-3019
Mailing Address: 1330 POST OAK BLVD, STE 2100, HOUSTON, TX 77056-3019

GLOBAL FRONTERA MARKETS INC.
575 LEXINGTON AVENUE, 12TH FLOOR, NEW YORK, NY 10022

GLOBAL LEISURE PARTNERS, LLC
115 PARK STREET, LONDON, W1K 7AP UK

GLOBAL OAK CAPITAL MARKETS LLC
25 1/2 LEGARE STREET, CHARLESTON, SC 29401

GLOBAL PACIFIC SECURITIES US, INC.
19 W. 26TH STREET, 5TH FLOOR, NEW YORK, NY 10010

GLOBAL SHARES FINANCIAL SERVICES INC.
575 WASHINGTON BLVD, 12TH FLOOR, JERSEY CITY, NJ 07310

GLOBALINK SECURITIES, INC.
3452 EAST FOOTHILL BOULEVARD, SUITE 1040, PASADENA, CA 91107

GLOBALIST CAPITAL, LLC
100 WILSHIRE BLVD., SUITE 750, SANTA MONICA, CA 90401

GLOBETECH SECURITIES LLC
440 GROOMS ROAD, CLIFTON PARK, NY 12065

GLP INVESTMENT SERVICES, LLC
33335 GRAND RIVER, FARMINGTON, MI 48336

GM SECURITIES, LLC
833 E. MICHIGAN STREET, SUITE 1420, MILWAUKEE, WI 53202

GMS GROUP
120 EAGLE ROCK AVE, SUITE 300, EAST HANOVER, NJ 07936

GOLD COAST SECURITIES, INC.
275 E. HILLCREST DRIVE-SUITE 225, THOUSAND OAKS, CA 91360-8241

GOLDEN EAGLE SECURITIES, INC.
845 UNITED NATIONS PLAZA, SUITE 19F, NEW YORK, NY 10017

GOLDMAN SACHS & CO. LLC
200 WEST STREET, NEW YORK, NY 10282-2198
Mailing Address: 111 SOUTH MAIN STREET, SALT LAKE CITY, UT 84111

GOLDMAN SACHS CUSTODY SOLUTIONS
8180 GREENSBORO DR, 8TH FLOOR, MCLEAN, VA 22102

GOLF HOST SECURITIES, INC.
36750 US HWY 19 N., PALM HARBOR, FL 34684

GOOD INVESTOR VENTURES LLC
2741 SW OLD ORCHARD ROAD, PORTLAND, OR 97201

GOODBODY SECURITIES INC
BALLSBRIDGE PARK, BALLSBRIDGE, DUBLIN 4, DUBLIN, DUBLIN 4 IRELAND

GORDIAN GROUP, LLC
950 THIRD AVENUE, 17TH FLOOR, NEW YORK, NY 10022

GORDON DYAL & CO., LLC
152 WEST 57TH STREET, 39TH FLOOR, NEW YORK, NY 10019

GORDON, HASKETT CAPITAL CORPORATION
441 LEXINGTON AVENUE 10TH FL., NEW YORK, NY 10017

GP BULLHOUND INC.
ONE SANSOME STREET, SUITE 3630, SAN FRANCISCO, CA 94104

GP NURMENKARI INC.
22 ELIZABETH STREET, SONO SQUARE, SUITE 1J, NORWALK, CT 06854

GPP SECURITIES, LLC
165 MASON STREET, 3RD FLOOR, GREENWICH, CT 06830

GPWA, LLC
2400 BARTON AVE., NASHVILLE, TN 37212

GQR SECURITIES LLC
500 W PUTNAM AVE, SUITE 400, GREENWICH, CT 06830

GRADIENT SECURITIES, LLC
4105 LEXINGTON AVENUE, SUITE 380, ARDEN HILLS, MN 55126

GRAFINE CAPITAL PARTNERS LLC
654 MADISON AVENUE, SUITE 1201, NEW YORK, NY 10065

GRAMERCY SECURITIES, INC.
3949 OLD POST ROAD, CHARLESTON, RI 02813
Mailing Address: P.O. BOX 1059, CHARLESTOWN, RI 02813

GRANDFUND INVESTMENT GROUP, LLC
12500 FIELDCREEK LANE, RENO, NV 89511

GRANT WILLIAMS L.P.
1650 MARKET STREET, 53RD FLOOR, PHILADELPHIA, PA 19103

GRASSROOTS ANALYTICS CAPITAL RAISE LLC
806 7TH STREET NW, SUITE 3, WASHINGTON, DC 20001

GRAY OAK CAPITAL, LLC
537 STEAMBOAT ROAD, SUITE 200, GREENWICH, CT 06830

GRAYSCALE SECURITIES, LLC
290 HARBOR DRIVE, 4TH FLOOR, STAMFORD, CT 06902

GRB FINANCIAL LLC
1415 W. RANDOL MILL, ARLINGTON, TX 76012

GREAT AMERICAN INVESTORS, INC.
6025 METCALF LANE, OVERLAND PARK, KS 66202

GREAT PACIFIC SECURITIES
151 KALMUS DRIVE, BUILDING H8, COSTA MESA, CA 92626

GREAT PLAINS FINANCIAL SERVICES, LLP
1929 N. WASHINGTON ST., SUITE H, BISMARCK, ND 58501

GREAT POINT CAPITAL LLC
200 WEST JACKSON BLVD., SUITE 1000, CHICAGO, IL 60606

GREEN GIRAFFE SECURITIES, LLC
100 CAMBRIDGE STREET, 14TH FLOOR, BOSTON, MA 02114

GREEN PIER FINTECH LLC
245 SUMMER STREET V3A, BOSTON, MA 02210

GREEN VISTA CAPITAL, LLC
222 N. PARK AVENUE, WINTER PARK, FL 32789

GREENBERG FINANCIAL GROUP
4511 N CAMPBELL AVE, TUCSON, AZ 85718
Mailing Address: 4511 N CAMBELL AVE, TUCSON, AZ 85718

GREENBIRD CAPITAL LLC
2500 N MILITARY TRAIL, SUITE 120, BOCA RATON, FL 33431

GREENBRIER DIVERSIFIED, INC.
8530 WILSHIRE BOULEVARD, SUITE 200, BEVERLY HILLS, CA 90211-3113

GREENHILL & CO., LLC
1271 AVENUE OF THE AMERICAS, NEW YORK, NY 10020

GREENSLEDGE CAPITAL MARKETS LLC
575 LEXINGTON AVENUE, 32ND FLOOR, NEW YORK, NY 10022

GREENWICH CAPITAL PARTNERS, LLC
135 MILBANK AVENUE WEST, GREENWICH, CT 06830

GREGORY J. SCHWARTZ & CO., INC.
3707 W MAPLE RD, STE 201, BLOOMFIELD HILLS, MI 48301-3204

GREIF & CO.
633 WEST FIFTH STREET, 65TH FLOOR, LOS ANGELES, CA 90071-2005

GRF CAPITAL INVESTORS, INC.
1776 SOUTH UTICA AVE., TULSA, OK 74104
Mailing Address: 1776 SOUTH UTICA AVE., TULSA, OK 74104

GRIFFIN CAPITAL SECURITIES, LLC
18191 VON KARMAN AVENUE, SUITE 300, IRVINE, CA 92612

GRIFFIN FINANCIAL GROUP, LLC
607 WASHINGTON STREET, READING, PA 19603

GRIFFIN SECURITIES, INC.
17 STATE STREET, NEW YORK, NY 10004

GRIFFINEST ASIA SECURITIES, LLC
3452 EAST FOOTHILL BLVD, SUITE 100, PASADENA, CA 91107

GRODSKY ASSOCIATES, INC.
29 LONGVIEW ST., WEST ORANGE, NJ 07052
Mailing Address: 29 LONGVIEW ST, 2, WEST ORANGE, NJ 07052

GROVE POINT INVESTMENTS, LLC
2440 RESEARCH BOULEVARD, SUITE 500, ROCKVILLE, MD 20850

GROWTH PARTNERS INVESTMENT BANKING
31 FLINTLOCK LANE, BELL CANYON, CA 91307

GROWTHPOINT TECHNOLOGY PARTNERS, LLC
70 S PARK ST, SAN FRANCISCO, CA 94107
Mailing Address: 2208 SEMINOLE COURT, SANTA ROSA, CA 95405

GRV SECURITIES LLC
900 NORTH MICHIGAN AVENUE, SUITE 1100, CHICAGO, IL 60611-6541

GSA CAPITAL ASSOCIATES, LLC
278 BROADWAY, 2R, BROOKLYN, NY 11211

GSP SECURITIES LLC
335 MADISON AVENUE, 22ND FLOOR, NEW YORK, NY 10017

GT SECURITIES, INC.
12130 MILLENNIUM DR, SUITE 300, LOS ANGELES, CA 90094
Mailing Address: 12130 MILLENNIUM DR, LOS ANGELES, CA 90094

GTN AMERICAS FINANCIAL SERVICES
4509 CREEDMOOR ROAD, SUITE 201, RALEIGH, NC 27612

GTS EXECUTION SERVICES LLC
545 MADISON AVENUE, 16TH FLOOR, NEW YORK, NY 10022

GTS SECURITIES LLC
545 MADISON AVENUE, 15TH FLOOR, NEW YORK, NY 10022

GUGGENHEIM FUNDS DISTRIBUTORS, LLC
227 WEST MONROE STREET, 7TH FLOOR, CHICAGO, IL 60606
Mailing Address: 702 KING FARM BLVD, STE 200, ROCKVILLE, MD 20850

GUGGENHEIM INVESTOR SERVICES, LLC
330 MADISON AVENUE, NEW YORK, NY 10017

GUGGENHEIM SECURITIES, LLC
330 MADISON AVENUE, NEW YORK, NY 10017
Mailing Address: 330 MADISON AVENUE, 8TH FLOOR, NEW YORK, NY 10017

GUIDANCE SECURITIES, LLC
11107 SUNSET HILLS ROAD,, SUITE 300, RESTON, VA 20190
Mailing Address: 11107 SUNSET HILLS ROAD, RESTON, VA 20190

GUIDESTONE FINANCIAL SERVICES
5005 LBJ FREEWAY, STE. 2200, DALLAS, TX 75244-6152

GULFSTAR GROUP I, LTD.
700 LOUISIANA STREET STE 3800, HOUSTON, TX 77002
Mailing Address: 700 LOUISIANA ST STE 3800, HOUSTON, TX 77002

GUZMAN & COMPANY
101 ARAGON AVENUE, CORAL GABLES, FL 33134-5426

GVC CAPITAL LLC
5350 SO. ROSLYN ST., SUITE 300, GREENWOOD VILLAGE, CO 80111
Mailing Address: 5350 SO. ROSLYN ST., SUITE 300, GREENWOOD VILLAGE, CO 80111-2124

GW & WADE ASSET MANAGEMENT COMPANY, LLC
93 WORCESTER STREET, WELLESLEY, MA 02481

GWN SECURITIES INC.
11440 NORTH JOG ROAD, PALM BEACH GARDENS, FL 33418-3764

GX2 SPREAD MARKETS, LLC
190 S. LASALLE STREET, SUITE 1950, CHICAGO, IL 60603

Last updated: 12/15/23

As an enthusiast deeply immersed in the realm of financial markets and securities, my extensive knowledge and expertise allow me to decipher and analyze the information provided. Let's break down the concepts and entities mentioned in the article:

  1. G. A. REPPLE & COMPANY:

    • Location: 101 NORMANDY RD, CASSELBERRY, FL 32707

  2. G.DISTRIBUTORS, LLC:

    • Location: ONE CORPORATE CENTER, RYE, NY 10580-1435

  3. G.RESEARCH, LLC:

    • Location: ONE CORPORATE CENTER, RYE, NY 10580-1435

  4. G.W. SHERWOLD ASSOCIATES, INC:

    • Location: 22994 EL TORO ROAD, LAKE FOREST, CA 92630

  5. G1 EXECUTION SERVICES, LLC:

    • Location: 175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604

  6. GAGNON SECURITIES, LLC:

    • Location: 1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW YORK, NY 10019

  7. GALAXY DIGITAL PARTNERS LLC:

    • Location: 300 VESEY STREET, 13TH FLOOR, NEW YORK, NY 10282

  8. GALENA CAPITAL:

    • Physical Address: 800 W MAIN STREET, SUITE 1460, BOISE, ID 83702
    • Mailing Address: 618 E HIGHLAND VIEW DRIVE, BOISE, ID 83702

  9. GALILEO GLOBAL SECURITIES, LLC:

    • Location: 1230 AVENUE OF THE AMERICAS, 16F, NEW YORK, NY 10020

  10. GALLAGHER SECURITIES, INC:

    • Location: 300 MADISON AVENUE, 28TH FLOOR, NEW YORK, NY 10017

  11. GALLATIN CAPITAL LLC:

    • Location: 444 MADISON AVENUE, 29TH FLOOR, NEW YORK, NY 10022

  12. GALT FINANCIAL GROUP, INC.:

    • Location: 2629 TOWNSGATE RD., SUITE 215, WESTLAKE VILLAGE, CA 91361

  13. GAMMA SECURITIES, LLC:

    • Location: 500 CALLE DE LA TANCA SUITE 305, OCHOA BUILDING, SAN JUAN, PR 00901

  14. GAR WOOD SECURITIES, LLC:

    • Location: 1250 EAST DIEHL ROAD, SUITE 115, NAPERVILLE, IL 60563

  15. GARDEN STATE SECURITIES, INC.:

    • Location: 328 NEWMAN SPRINGS ROAD, RED BANK, NJ 07701

  16. GARRETT NAGLE & CO., INC.:

    • Location: 300 UNICORN PARK DRIVE, WOBURN, MA 01801

  17. GARY HOCH AGENCY, INC.:

    • Location: 2645 ELMWOOD AVE., BUFFALO, NY 14217

  18. GATEWAY FINANCIAL AGENCY CORPORATION:

    • Location: 1576 NW PINE CREEK AVENUE, ARCADIA, FL 34266

  19. GATEWOOD SECURITIES LLC:

    • Location: 66 HUDSON BLVD. E, 23RD FLOOR, NEW YORK, NY 10001

  20. GB CAPITAL MARKETS LLC:

    • Location: 1011 NORTH CAROLINA AVE SE, WASHINGTON, DC 20003

  21. GBM INTERNATIONAL, INC.:

    • Location: 2700 POST OAK BLVD., SUITE 1110, HOUSTON, TX 77056

  22. GBS RETIREMENT SERVICES, INC.:

    • Location: 2850 GOLF ROAD, 8TH FLOOR, ROLLING MEADOWS, IL 60008

  23. GCG SECURITIES, LLC:

    • Location: 189 TOWNSEND STREET, STE 200, BIRMINGHAM, MI 48009

  24. GCMI SECURITIES CORP.:

    • Location: 19200 VON KARMAN AVENUE, SUITE 210, IRVINE, CA 92612

  25. GELBER SECURITIES, LLC:

    • Location: 350 N.ORLEANS ST 7TH FLOOR, CHICAGO, IL 60654
    • Mailing Address: 350 NORTH ORLEANS ST 7TH FLOOR, CHICAGO, IL 60654

  26. GEMINI CAPITAL L.L.C.:

    • Location: 111 WEST JACKSON BLVD., #2220, CHICAGO, IL 60604
    • Mailing Address: 111 W JACKSON BLVD #2220, CHICAGO, IL 60604

  27. GEMINI GALACTIC MARKETS, LLC:

    • Location: 315 PARK AVENUE SOUTH, NEW YORK, NY 10010

  28. GENEOS WEALTH MANAGEMENT, INC.:

    • Location: 9635 MAROON CIRCLE, SUITE 100, ENGLEWOOD, CO 80112

  29. GENERAL SECURITIES CORP:

    • Location: 2007 FAYETTE, NORTH KANSAS CITY, MO 64116

  30. GENERAL WELLINGTON CAPITAL LLC:

    • Location: 295 MADISON AVENUE, 43RD FLOOR, NEW YORK, NY 10017

The detailed breakdown provides insights into the diverse nature of these financial entities, encompassing different locations, specialties, and areas of expertise.

Broker Dealer Firms We Regulate - G (2024)

FAQs

Who are broker-dealers regulated by? ›

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers and Funding Portals. A Broker-Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both.

Find Out More ›
How many broker-dealers does FINRA regulate? ›

Who We Are. FINRA is a not-for-profit, non-governmental regulator for all broker-dealer firms and brokers that sell securities in the United States. We regulate approximately 3,500 firms and 620,000 brokers across the country.

View Details ›
What is the regulation best interest standard of conduct for broker-dealers? ›

SEC Regulation Best Interest sets forth the standard of conduct broker-dealers must provide to their retail customers when they make recommendations of securities or investment strategies involving securities.

Tell Me More ›
What is broker-dealer compliance? ›

Compliance plays a vital role in broker-dealer operations. It ensures that firms adhere to the regulations set forth by regulatory bodies such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

Read More ›
Why are brokers regulated? ›

Regulation plays a pivotal role in the forex trading industry, ensuring transparency, security, and fair practices. For traders in Canada, the choice of a regulated forex broker is paramount to a secure and reliable trading experience.

Continue Reading ›
How does FINRA regulate broker-dealers? ›

Working under the supervision of the Securities and Exchange Commission, we: Write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S.; Examine firms for compliance with those rules; Foster market transparency; and.

View Details ›
What is broker regulation? ›

Brokers register with the Financial Industry Regulatory Authority (FINRA), the broker-dealers' self-regulatory body. In serving their clients, brokers are held to a standard of conduct based on the “suitability rule,” which requires there be reasonable grounds for recommending a specific product or investment.

Keep Reading ›
Does the SEC regulate broker-dealers? ›

What Does the SEC Do? The SEC's regulatory scope extends well beyond that of FINRA, overseeing public companies, investment companies, investment advisors, brokers-dealers and securities exchanges.

Explore More ›
How many firms does FINRA regulate? ›

Key FINRA Statistics for 2022
Registered Representatives620,882
Securities Firms3,378
Branch Offices150,647
Market Events Processed Daily427 billion
Fines Imposed$54.5 M
2 more rows

Read The Full Story ›
What are the four obligations that broker-dealers must comply with under regulation best interest? ›

The standard is satisfied when these four obligations are met:
  • Disclosure. Broker-dealers must provide certain disclosures to clients before making investment recommendations or at the time the recommendation is made. ...
  • Care. ...
  • Conflict of interest. ...
  • Compliance.
Mar 20, 2024

Show Me More ›

What are the 4 components of regulation best interest? ›

Reg BI's obligation to act in the retail customer's best interest is satisfied only by complying with each of the rule's four component obligations: Disclosure, Care, Conflict of Interest, and Compliance.

Keep Reading ›
What is the rule 17A 5 for broker-dealer? ›

17a-5(a)(1)(i) Every broker or dealer subject to this paragraph (a) who clears transactions or carries customer accounts must file with the Commission Part I of Form X-17A-5 (§ 249.617 of this chapter) within 10 business days after the end of each month.

Read More ›
How are broker-dealers regulated in the US? ›

Brokers and dealers, and their associated persons, must comply with all applicable requirements, including those of the U.S. Securities and Exchange Commission ("SEC" or "Commission"), as well as the requirements of any self-regulatory organizations to which the brokers and dealers belong, and not just those summarized ...

View More ›
What is broking compliance? ›

In simple word, compliance means following rules and orders applicable on the entity. Every entity is governed under law and order and that entity needs to follow the rule and regulations prescribed by it. Legal and regulatory enforcement must be handled.

See More ›
What is the purpose of a broker-dealer? ›

Key Takeaways. A broker-dealer is a financial entity that is engaged with trading securities on behalf of clients, but which may also trade for itself. A broker-dealer is acting as a broker or agent when it executes orders on behalf of its clients, and as a dealer or principal when it trades for its own account.

Learn More Now ›
Who are broker-dealers registered with? ›

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.

Learn More Now ›
Are broker-dealers registered with the SEC or FINRA? ›

With few exceptions, broker-dealer firms must register with the Securities and Exchange Commission and be members of FINRA.

View Details ›
Do broker-dealers have to be registered? ›

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.

Know More ›

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