This document provides a comprehensive guide to broker dealer registration including the laws rules and regulations. By mark j astarita esq the following article has been adopted from an article distributed by the secs division of market regulation the article was originally posted in december 2005. It shall be unlawful for any broker or dealer which is either a person other than a natural person or a natural person not associated with a broker or dealer which is a person other than a natural person other than such a broker or dealer whose business is exclusively intrastate and who does not make use of any facility of a national . The term member when used with respect to a national securities exchange means i any natural person permitted to effect transactions on the floor of the exchange without the services of another person acting as broker ii any registered broker or dealer with which such a natural person is associated iii any registered broker or . Article 1 definition of terms 81 1 1 definition of terms article 2 filing fees and forms 81 2 1 forms and adoptions by reference article 3 licensing broker dealers and agents
Join Over 100.000 Happy Readers:
1. Register Free 14 Days Trial Account.
2. More Features Access
3. Download many books as you like ( Personal use )