The Facts About Depositing And Trading Securities

There are many rules and requirements involved in depositing and trading in securities. Spartan's primary goal is to educate our clients on the requirements and help them navigate through the process with ease.

Click on image for an in-depth description and explanation.

Depositing Securities

Depositing shares into a brokerage account requires a litany of forms to be completed and evidentiary documents to be provided. The documents and information are necessary due to the regulatory requirements broker dealers must comply with. The brokers are required to receive, review and maintain evidence that shows the shares are properly owned and can be sold into the secondary market.