Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Sunday, February 24, 2013

The SEC’s FAQ – Broker-Dealer Registration in Title II of the JOBS Act

On February 5, 2013, the SEC’s Division of Trading and recently provided guidance on the exemption from broker-dealer registration in Title II of the Jumpstart Our Business Startups Act (“JOBS Act”). The SEC’s FAQs are not rules, regulations or statements

http://www.securitieslawyer101.com/the-secs-faq-broker-dealer-registration-in-title-ii-of-the-jobs-act/

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