BON
3.35 ($0.00)
BOSV
6.75 ($-4.03)
CWKN
3.50 ($0.00)
DES
4.00 ($0.00)
ECFH
4.49 ($0.00)
GCBL
8.88 ($0.00)
GESL
12.00 ($0.00)
GPCL
5.40 ($0.00)
RBGL
45.00 ($0.00)
SKNB
3.00 ($0.00)
SLES
20.00 ($0.00)
SLH
2.00 ($0.00)
TDC
1.30 ($0.00)

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.

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