Brokerage of Financial Instruments

Fintech Regulation A(Chapter 1, Section 3 (n))

The facility, agency, or act of buying or selling financial instruments for third parties, in any of the following ways: (1) by acquiring or disposing of financial instruments for itself, with the prior intention of selling or buying those same instruments to or from the third party; or (2) by acquiring or selling financial instruments on behalf of or for such third party.

FinTech Licensing Application Forms: