Advertising

Securities registration

• Is the compliance procedure whereby an individual is registered according to function, supervisory level, and type of customer contact. Also, firms must be registered with the appropriate regulatory bodies. See Account Executive and Series 7. Securities Registration also refers to the process whereby the corporation or its representative applies to the appropriate Federal or State Agency to have the securities registered. This registration is not a sign of approval by the Agency but rather a notification by the corporation to the agency of its intent to sell securities.

 
 

Follow this link for all the terms related to ratiosecurities.

 
 Embedded terms in definition
 Account executive
Agency
Compliance
Corporation
Its
Securities
Sell
Series 7
Series
Type
 
 Related Terms
 

<< Securities investor protection corporation Securitization >>

Multi-Tasking In Your 30s, 40s or 50s: Managing for today and saving for tomorrow, including a child's college expenses and your retirement More...

Never tell people how to do things. Tell them what to do and they will surprise you with their ingenuity. - George S. Patton

Advertising



Copyright 2009-2018 GVC. All rights reserved.