This document provides a comprehensive guide to broker dealer registration including the laws rules and regulations. By mark j astarita esq the following article has been adopted from an article distributed by the secs division of market regulation the article was originally . A definitionswhen used in this chapter unless the context otherwise requires ain general the term broker means any person engaged in the business of . Current regulatory initiatives nasdaq is always committed to working with regulators exchanges and market participants to ensure trading is transparent and fair. Advanced trading volume based fee reduction the more you trade the lower you fee will be
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