Tag: Registration

required minimum distribution
Brokers News

New York Guidance on State Securities Filing Rules

New York has released additional guidance on recent rule amendments prepared by the Investor Protection Bureau (IPB) and adopted in 2020. Through these new rules, the Office of the Attorney General (OAG) has increased transparency for the public into the investment adviser representatives and securities issuers operating in New York state. […]


Registration of Principals

The NASD Continues to Bring Actions Against Individuals Who Act as Principals Without Registration By Mark J. Astarita, Esq. Registration of Principals is still a hot topic at the NASD. As we noted in an earlier column, a continuing issue for the NASD is the failure to register indiviuals who […]

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 […]