Series 26: Standards For Membership

Taken from our Series 26 Online Guide

Standards for Membership

After considering the request, the Department of Member Regulation will examine whether the member firm can continue to meet the standards for FINRA membership. The applicant must:

• Have all required licenses and registrations
• Be capable of complying with the federal securities laws and regulations
• Have facilities sufficient to execute its planned operations
• Have adequate communications and operational systems in place
• Be capable of maintaining its required level of net capital

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Since you're reading about Series 26: Standards For Membership, you might also be interested in:

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