Generally speaking, most people aren't affiliated with a registered stock exchange or FINRA (Financial Industry Regulatory Authority). A good test to tell if you or your immediate household are affiliated is to check this list:
- Associated with or employed by a firm or brokerage that is a member of FINRA
- Employed by FINRA
- Associated with or employed by a stock exchange
If any of the scenarios listed above apply to you or a member of your immediate household, we will require written approval from your compliance officer before approving your account for trading.
Tip: If you are still unsure about your affiliation status, please ask your employer's compliance or human resources department.