BrokerDealer Registration - Going Public Lawyers

What Is An Unregistered Broker? – Going Public Lawyers

The Securities and Exchange Commission (the “SEC”) is pursuing unregistered broker or broker dealer activity which runs rampant in the penny stock markets particulary in transactions involving reverse merger companies. Often these unregistered broker-dealers claim to be exempt… Read More

Broker Dealer Registration 101

Posted by Brenda Hamilton, Securities and Going Public Lawyer 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…. Read More

What is Broker-Dealer Registration? Securities Lawyer 101

Securities Lawyer 101 Blog Broker-dealers are subject to regulation by the SEC, FINRA, Self Regulatory Organizations (“SROs”) such as stock exchanges, and the states in which they do business.  The Securities Exchange Act of 1934 (the “1934 Act”) requires that… Read More