Statements (49)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:financial_services_company
|
| gptkbp:actsOn |
gptkb:bank
market maker underwriter dealer |
| gptkbp:canBe |
independent
affiliated with banks affiliated with investment firms |
| gptkbp:compatibleWith |
recordkeeping requirements
customer protection rules best execution requirements suitability requirements |
| https://www.w3.org/2000/01/rdf-schema#label |
U.S. broker-dealers
|
| gptkbp:maintainedBy |
trade confirmations
order tickets books and records customer account information |
| gptkbp:memberOf |
gptkb:NASDAQ
gptkb:New_York_Stock_Exchange other exchanges |
| gptkbp:mustRegisterWith |
gptkb:FINRA
gptkb:SEC |
| gptkbp:offers |
research services
clearing services custody services margin lending institutional brokerage services retail brokerage services |
| gptkbp:operatesIn |
gptkb:United_States
|
| gptkbp:providesService |
securities trading
investment advice |
| gptkbp:regulates |
gptkb:Financial_Industry_Regulatory_Authority
gptkb:U.S._Securities_and_Exchange_Commission |
| gptkbp:requires |
file regulatory reports
maintain net capital |
| gptkbp:requiresDisclosureOf |
conflicts of interest
fees and commissions |
| gptkbp:subject |
gptkb:Securities_Exchange_Act_of_1934
FINRA rules annual audits anti-money laundering regulations periodic examinations state securities laws Regulation Best Interest Customer Identification Program requirements Office of Foreign Assets Control regulations Patriot Act requirements |
| gptkbp:bfsParent |
gptkb:SEC_Regulation_T
|
| gptkbp:bfsLayer |
7
|