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What is a ECN / Electronic Communication Network
Electronic Communication Networks, or ECNs, operate independently of FINRA. ECNs display and execute third party orders and are allowed access to the NASDAQ Market Center Execution System. ECNs are widely used by broker dealers, market makers and institutional investors to display and execute orders. ECNs
ECNs are registered as broker dealers with the SEC and have their quotes included in the NASDAQ quote system. ECNs are not required to maintain a two-sided market like a market maker and ECNs do not take positions securities. ECNs will typically charge access fess to its subscribers and for incoming orders that execute against its displayed quotations. Many ECNs will offer rebates to subscribers who provide liquidity by entering non-marketable limit orders that are displayed by the ECN. There are two ways that the ECN may participate in the market. The ECN may be a full participation ECN or it may be an order delivery ECN.
@securitiesexamsDiscretionary authority cannot be exercised by a REp before the powe of attorney / discretionary papers have been received & approved
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Should I take the series 65 or series 66 exam ?
There are several key differences between the series 65 and
Requirements for ERISA Advisers and Service Providers
Advisers and other service providers to most ERISA-covered plans must