Firm Licensing Requirements – ECSE

BON
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3.00 ($0.00): BOSV
11.40 ($0.00): BOSV
11.40 ($0.00): CWKN
3.75 ($0.00): CWKN
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4.25 ($0.00): DES
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56.00 ($0.00): WIOC
56.00 ($0.00)

admin November 14, 2019December 19, 2019

Firm Licensing Requirements

The broker/dealer is required to obtain a Broker/Dealer License and the limited service broker is required to obtain a Limited Service Broker License. Both licenses must be obtained from the ECSE. The intermediary must provide the ECSE with a description of the firm’s operational capabilities, back-office and supervisory procedures, training and operating manuals. The firm is also required to have designated individuals who are licensed to act on its behalf and provide market services.