Tag: Exemptions

Brokers Compliance

Exemptions from Broker-Dealer Registration

We deal with the requirements and procedures to register as a broker-dealer in Guide to Broker-Dealer Registration there are a number of specific exemptions where such registration is not required. Issuer’s Exemption (Rule 3a4-1) Issuers generally are not “brokers” because they sell securities for their own accounts and not for […]