In addition, FINRA Rule 2210 states that each company`s website contains an easily identifiable reference and hyperlink to BrokerCheck on the original website that the company wishes to consult with retail customers and any other website that contains a professional profile of one or more registered persons dealing with retail customers. FINRA considers websites run by registered representatives to promote the company`s business to be company websites. For more information on the application, please visit the Respect for Brokerage Linkcheck requirements page. FINRA Rule 3210 stipulates that a registered representative must obtain prior written consent from the member company (the executing member) or another financial institution before opening an account where securities transactions can be made and on which the registered person has an economic interest. The registered representative must also notify the member or other financial institution in writing of their relationship with the occupied member. The exporting member is, in turn, required to provide double copies of confirmations and declarations to the employer of the registered representative on his behalf, including an account in which he has a share of economic participation, at the request of the occupied member. It is assumed that a registered representative has an economic interest in an account of: You can only conduct a securities transaction under the direct supervision of your company. You can only participate in private investment transactions (for example. B your company`s securities transactions), unless you receive prior written authorization in accordance with FINRA 3280.

As a result, you should discuss with your superior the securities transactions you want to make by subscription with the dealer-dealer you are currently registered with. As a registered representative, you are required to comply with all applicable securities laws and regulations, whether you are an employee or an “independent contractor” (for regulatory reasons, there is no difference between the two conditions.