Can a company offer NASDAQ trading stocks without being registered with finra or sec?

Bob G: Can a company offer NASDAQ trading stocks without being registered with finra or sec?
So i am trying to pick the best stock/options broker to trade with – and though puzzling between etrade, zecco, optionsxpress (all registered with various regulators…) i found a few firms that offer stock trading on nyse and nasdaq stocks but don’t appear in sec and finra searches – is this legal?

10x!

Answers and Views:

Answer by cainvest1
Save yourself some grief and only deal with large established reputable firms. The credit crisis is not over and other brokerage houses going down is a real possibility. Deal only only with firms that display the SIPC label. Security Investors Protection Corporation. The securities industry equivalent of FDIC insurance.

Answer by J
I don’t know for sure but why would you even consider dealing with them? There are major firms with extremely low brokerage fees so it just doesn’t make sense to put your money at risk.

Answer by shall143
stick with the big boys, anything sounds too good to be true aint good at all momma said. Check out my site to see which one I endorsed.

https://www.alexastock.webs.com/

Answer by A nobody
If a firm trades on the NYSE, they are, by law, members of FINRA and again by law are registered with the SEC

In order for a company to be a member of the NYSE the must be registered with the SEC, it is one of the major requirements