1. The minimum registered capital of a brokerage firm is 50 million yuan. Brokerage securities companies generally have weak capital strength and small business scale.
2. The main management personnel and business personnel of the securities firm must have the qualification of securities practice. Due to the particularity of the securities trading place, the strictness of trading rules and the complexity of operating procedures, it is decided that the vast majority of securities traders in society cannot directly enter the trading place for trading activities, and only a few professionals who have been specially trained to master trading rules and operating procedures and have certain conditions can directly enter the trading place for trading activities. Brokerage securities companies accept the entrustment of investors for the society and send professionals to carry out the securities brokerage business undertaken by the company to engage in securities trading for customers. These business personnel need to be familiar with the national laws and regulations on the management of the securities market, and know which behaviors are allowed by laws and regulations and which behaviors are not allowed by laws and regulations. They also need business personnel to have a correct understanding of customer requirements, to be able to execute them accurately and without discount, and to have basic skills in operating and using modern office equipment such as computers. At the same time, employees of securities companies are also required to have a high moral standard of abiding by the law and strict self-discipline, and not to use their special professional status to harm the interests of customers or illegally seek personal gain for themselves and their relatives and friends. It can be said that as one of the important intermediaries in the securities market, brokers shoulder the heavy responsibility of developing and perfecting the securities market. The professional quality of its employees directly determines the trading order and efficiency of the securities market.
3. Brokerage securities companies must have fixed business premises and qualified trading facilities. This is an essential infrastructure for securities brokerage business.
4. Brokerage securities companies should have a sound management system. These management systems can be understood as at least including the following contents: the system of opening separate accounts for securities and funds for customers, the system of managing the securities and funds delivered by customers separately, the system of truthfully recording the transactions entrusted by customers, the system of reviewing one by one and the system of prohibiting customers from margin trading. These are the basic rules and behaviors that must be followed to do a good job in securities brokerage business.