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Frequently Requested Documents

April 17, 2018

Broker-Dealer Electronic Recordkeeping

Broker-Dealer Registration

Broker-Dealer Registrations: FOIA Information

Special Reports

Registered Representatives

The term "person associated with a broker or dealer" or "associated person of a broker or dealer" means any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions), any person directly or indirectly controlling, controlled by, or under common control with such broker or dealer, or any employee of such broker or dealer, except that any person associated with a broker or dealer whose functions are solely clerical or ministerial shall not be included in the meaning of such term for purposes of section 15(b) (other than paragraph (6) thereof).

Section 31 Fees

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