Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Monday, February 16, 2015

Broker Dealer Registration 101


Broker-dealers are subject to regulation by the SEC, FINRA and any other Self Regulatory Organizations (“SRO”) such as stock exchanges, as well as the states in which they do business.  The Securities Exchange Act of 1934 (the “Exchange Ac...
https://www.securitieslawyer101.com/2015/broker-dealer-registration-101/

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