# Broker-Dealer Registration

*/Credentials/Broker-Dealer_Registration*

## Credential Profile

**Issued By**: [Securities and Exchange Commission](/Regulators/Securities_and_Exchange_Commission)
**Satisfies**:
- [Securities Exchange Act of 1934](/Regulations/Securities_Exchange_Act_of_1934)
**Qualifies For**:
- [Securities Sales Agents](/Occupations/Securities_Sales_Agents)
- [Personal Financial Advisors](/Occupations/Personal_Financial_Advisors)
**Recognized In**:
- [United States](/Jurisdictions/United_States)
**Prerequisite Of**:
- [FINRA Membership](/Credentials/FINRA_Membership)
**Qualifies For Role**:
- [Broker-Dealer Principal](/JobTypes/Broker-Dealer_Principal)
- [Registered Representative Supervisor](/JobTypes/Registered_Representative_Supervisor)

## Neighborhood

### Related (depends on)

- [Corporate Finance](/Industries/Corporate_Finance) — depends on · Industries
- [Individual Investors](/Industries/Individual_Investors) — depends on · Industries
- [Asset-Backed Securities](/Industries/Asset-Backed_Securities) — depends on · Industries
- [Structured Finance](/Industries/Structured_Finance) — depends on · Industries
- [Finance and Insurance](/Industries/Finance_and_Insurance) — depends on · Industries
- [Securities and Commodity Contracts Intermediation and Brokerage](/Industries/Securities_and_Commodity_Contracts_Intermediation_and_Brokerage) — depends on · Industries
- [Securities, Commodity Contracts, and Other Financial Investments and Related Activities](/Industries/Securities,_Commodity_Contracts,_and_Other_Financial_Investments_and_Related_Activities) — depends on · Industries
- [Investment Banking and Securities Intermediation](/Industries/Investment_Banking_and_Securities_Intermediation) — depends on · Industries

### Prerequisite of

- [FINRA Membership](/Credentials/FINRA_Membership) — prerequisite of · Credentials

### Qualifies for role

- [Registered Representative Supervisor](/JobTypes/Registered_Representative_Supervisor) — qualifies for role · JobTypes
- [Broker-Dealer Principal](/JobTypes/Broker-Dealer_Principal) — qualifies for role · JobTypes
- [Securities Principal](/JobTypes/Securities_Principal) — qualifies for role · JobTypes
- [Registered Representative](/JobTypes/Registered_Representative) — qualifies for role · JobTypes

### Qualifies for

- [Securities Sales Agents](/Occupations/Securities_Sales_Agents) — qualifies for · Occupations
- [Personal Financial Advisors](/Occupations/Personal_Financial_Advisors) — qualifies for · Occupations
- [Sales Managers](/Occupations/Sales_Managers) — qualifies for · Occupations
- [Securities, Commodities, and Financial Services Sales Agents](/Occupations/Securities,_Commodities,_and_Financial_Services_Sales_Agents) — qualifies for · Occupations

### Issued by

- [Securities and Exchange Commission](/Regulators/Securities_and_Exchange_Commission) — issued by · Regulators
- [Financial Industry Regulatory Authority](/Regulators/Financial_Industry_Regulatory_Authority) — issued by · Regulators

### Problems this exposes

- [net-capital-rule (15c3-1) computation and books-and-records (17a-3/17a-4) retention](/Problems/net-capital-rule_(15c3-1)_computation_and_books-and-records_(17a-3%2F17a-4)_retention) — exposes problem · Problems
- [FINRA new-member (NMA/CMA) Form-BD application and membership-agreement negotiation](/Problems/FINRA_new-member_(NMA%2FCMA)_Form-BD_application_and_membership-agreement_negotiation) — exposes problem · Problems
- [FOCUS-report and annual-audit filing to FINRA/SEC on cycle](/Problems/FOCUS-report_and_annual-audit_filing_to_FINRA%2FSEC_on_cycle) — exposes problem · Problems
- [Form-U4 registration plus Series-exam/CE tracking for every registered representative](/Problems/Form-U4_registration_plus_Series-exam%2FCE_tracking_for_every_registered_representative) — exposes problem · Problems
- [branch-office (Form-BR) and OBA/outside-business-activity disclosure upkeep](/Problems/branch-office_(Form-BR)_and_OBA%2Foutside-business-activity_disclosure_upkeep) — exposes problem · Problems

### Satisfies

- [FINRA Rule 1210 Registration Requirements](/Regulations/FINRA_Rule_1210_Registration_Requirements) — satisfies · Regulations
- [Securities Exchange Act of 1934](/Regulations/Securities_Exchange_Act_of_1934) — satisfies · Regulations

### Composed of

- [Series 7 General Securities Representative License](/Credentials/Series_7_General_Securities_Representative_License) — composed of · Credentials
- [Securities Industry Essentials Exam](/Credentials/Securities_Industry_Essentials_Exam) — composed of · Credentials

### Recognized in

- [United States](/Jurisdictions/United_States) — recognized in · Jurisdictions

### Attests skill

- [Complex Problem Solving](/Skills/Complex_Problem_Solving) — attests skill · Skills
- [Judgment and Decision Making](/Skills/Judgment_and_Decision_Making) — attests skill · Skills
- [Active Listening](/Skills/Active_Listening) — attests skill · Skills

### Attests knowledge

- [Sales and Marketing](/Knowledge/Sales_and_Marketing) — attests knowledge · Knowledge
- [Customer and Personal Service](/Knowledge/Customer_and_Personal_Service) — attests knowledge · Knowledge
- [Law and Government](/Knowledge/Law_and_Government) — attests knowledge · Knowledge
- [Economics and Accounting](/Knowledge/Economics_and_Accounting) — attests knowledge · Knowledge