FINRA rules require registered representatives to observe high standards of commercial honor and just and equitable principles of trade. The FINRA rules also prohibit any manipulative, deceptive, or fraudulent actions.

All states have "blue sky" laws regulating securities activities in their respective states. The rules of these jurisdictions are well-developed and often lengthy. Also, states have registration and exemption requirements concerning the securities offered to their residents.

Northern Lights Distributors, LLC can assist your registered representatives in obtaining and maintaining appropriate licensing in accordance with FINRA and State laws.