Other
Frequently Requested Documents
Dec. 1, 2023
Broker-Dealer Electronic Recordkeeping
Broker-Dealer Registration
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
Section 31 Fees
- Basic Information for Firms
- Section 31 of the Securities Exchange Act of 1934
- Rule 31 under the Securities Exchange Act of 1934
- Collection Practices under Section 31 of the Exchange Act
- Recent Fee Rate Advisories
- Fee Rate Advisory #3 for Fiscal Year 2023 (March 1, 2023)
- Fee Rate Advisory #2 for Fiscal Year 2023 (January 23, 2023)
- Fee Rate Advisory #1 for Fiscal Year 2022 (April 8, 2022)
- Fee Rate Advisory #1 for Fiscal Year 2022 (August 23, 2021)
- Fee Rate Advisory #3 for Fiscal Year 2021 (February 26,2021)
- Fee Rate Advisory #2 for Fiscal Year 2021 (January 15, 2021)
- Fee Rate Advisory #3 for Fiscal Year 2020 (February 28,2020)
- Fee Rate Advisory #2 for Fiscal Year 2020 (January 9,2020)
- Fee Rate Advisory #2 for Fiscal Year 2019 (March 12, 2019)
- Fee Rate Advisory #3 for Fiscal Year 2018 (April 17, 2018)
- Fee Rate Advisory #2 for Fiscal Year 2018 (September 29, 2017)
- Fee Rate Advisory #3 for Fiscal Year 2017 (May 31, 2017)
- Fee Rate Advisory #2 for Fiscal Year 2017 (September 30, 2016)
- Fee Rate Advisory #1 for Fiscal Year 2017 (August 31, 2016)
- Fee Rate Advisory #4 for Fiscal Year 2016 (February 25, 2016)
- Fee Rate Advisory #3 for Fiscal Year 2016 (January 7, 2016)
- Fee Rate Advisory #2 for Fiscal Year 2016 (September 30, 2015)
- Fee Rate Advisory #1 for Fiscal Year 2016 (August 27, 2015)
- Fee Rate Advisory #4 for Fiscal Year 2015 (February 27, 2015)
- Fee Rate Advisory #3 for Fiscal Year 2015 (January 15, 2015)
- Fee Rate Advisory #2 for Fiscal Year 2015 (September 30, 2014)
- Fee Rate Advisory #1 for Fiscal Year 2015 (August 29, 2014)
- Fee Rate Advisory #4 for Fiscal Year 2014 (February 28, 2014)
- Fee Rate Advisory #3 for Fiscal Year 2014 (February 12, 2014)
- Fee Rate Advisory #2 for Fiscal Year 2014 (October 31, 2013)
- Fee Rate Advisory #1 for Fiscal Year 2014 (August 30, 2013)
- Fee Rate Advisory #3 for Fiscal Year 2013 (April 25, 2013)
- Fee Rate Advisory #2 for Fiscal Year 2013 (November 15, 2012)
- Fee Rate Advisory #1 for Fiscal Year 2013 (August 31, 2012)
- Fee Rate Advisories for FY12
- Fee Rate Advisories for FY11
- Fee Rate Advisories for FY10
- Fee Rate Advisories for FY09
- Fee Rate Advisories for FY08
- Fee Rate Advisories for FY07
- Fee Rate Advisories for FY06
- Fee Rate Advisories for FY05
Modified: Dec. 1, 2023