Tag: Registration

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 […]

Brokers Compliance Primer

Guide to Broker-Dealer Registration

By Mark J. Astarita, Esq. The following article has been adopted from an article distributed by the SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC‘s Division of Market Regulation. The article was originally posted in December 2005. It’s last update by securities attorney Mark Astarita, for SECLaw.com was in September 2006 Table of Contents Introduction Who Is […]