Registered Representatives Brochure

The Registered Representatives Brochure is a reference for current and previously registered representatives. The brochure outlines the registration process, a representatives responsibilities to their firm and customers, best practices for interacting with FINRA, and how to terminate registration with FINRA. In addition, the brochure contains information on how current and previously registered representatives can access their record and work with their firm (or regulators) to keep it up to date.


Download the Registered Representatives Brochure (PDF 203 KB)

 

 

Additional Resources

If you have feedback about additional items that should be included in this brochure or would like to suggest improvements to the brochure, please send an email to Member Relations.