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WFN QUICK BRIEF · UNDER 1 MIN
The short version
MODE 2 OF 2
What the primary record establishes
For fully disclosed accounts introduced by one US broker to another, FINRA Rule 4311 requires the agreement to allocate responsibilities. The carrying firm is responsible for safeguarding funds and securities for Rule 15c3-3 and for preparing and transmitting statements. FINRA Rule 4311 ↗
What the distinction changes
Under the rule’s conditions the carrying firm may authorize the introducing firm to prepare or send statements on its behalf. A logo on the portal can identify the delivery channel while the account documents explain responsibility.
What to check before drawing a conclusion
If a monthly statement shows $2,000 and the trading portal $2,500, first compare dates and distinguish cash from buying power. Written disclosures at opening and after material changes help customers and operations staff route unresolved discrepancies.
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WFN STORY COMPASS
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Original WFN vector illustrationWFN · 6 November 2026
Editorial noteSource-based explanation with original WFN analysis. Historical records retain their dates; numerical examples are illustrative. The original vector illustration is conceptual and is not documentary evidence.
The linked source supports the documented record; WFN interpretation and illustrative examples are separate.
01 · VERIFIED RECORD
What the primary record establishes
For fully disclosed accounts introduced by one US broker to another, FINRA Rule 4311 requires the agreement to allocate responsibilities. The carrying firm is responsible for safeguarding funds and securities for Rule 15c3-3 and for preparing and transmitting statements. FINRA Rule 4311 ↗
02 · WFN EDITORIAL ANALYSIS
What the distinction changes
Under the rule’s conditions the carrying firm may authorize the introducing firm to prepare or send statements on its behalf. A logo on the portal can identify the delivery channel while the account documents explain responsibility.
03 · REVIEW POINTS
What to check before drawing a conclusion
If a monthly statement shows $2,000 and the trading portal $2,500, first compare dates and distinguish cash from buying power. Written disclosures at opening and after material changes help customers and operations staff route unresolved discrepancies.
