Dual Registration: Benefits and Burdens

Nelson, Christina
April 2009
Journal of Financial Planning;Apr2009 Independent Broker-Dealer, p6
Academic Journal
The article examines issues surrounding the dual registration of independent broker-dealers with U.S. government financial agencies. It is noted that a significant number of financial advisory and business brokerage organizations of that type are registered with both the Financial Industry Regulatory Authority and with the Securities and Exchange Commission. Among other issues the article discusses benefits conferred by dual registration including allowing access to a wider range of financial products, enhanced flexibility in financial planning and increased support services.


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