Trading and Markets Frequently Requested Documents

Broker-Dealer Electronic Recordkeeping

• Rule 17a-4(f)
• Adopting Release for Rule 17a-4(f)
• 2003 Interpretive Release

Broker-Dealer Registration

• Broker-dealer Registration Guide
• SRO Membership Information

Broker-Dealer Registrations: FOIA Information

• Company Information About Active Broker-Dealers
• Historical Archive of FOIA Broker-Dealer Company Information Reports

Special Reports

• Market 2000: An Examination of Current Equity Market Developments (January 1994; 422 pages; PDF; 27 MB)
• Broker-Dealer Internal Control Procedures for High Yield Securities (October 1993; 14 pages; PDF; 1.3 MB)
• Broker-Dealer Policies and Procedures Designed to Segment the Flow and Prevent the Misuse of Material Non-Public Information (March 1990; 29 pages; PDF; 6 KB)

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).

• Exchange Act definition of "associated person" of a broker-dealer: Section 3(a)(18)
• FINRA Guide for Registered Representatives
• Information for Brokers