Regulation of Broker-Dealers and Securities - Introduction

In this section, we'll discuss the registration and any applicable exemptions relating to broker-dealers and securities. Ensure you know the terms behind any of the concepts, as questions on your upcoming exam will be comprehensive rather than straight forward. Broker-Dealer Regulation


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RELATED TERMS
  1. SEC Form T-4

    An application for exemption from certain sections of the Trust ...
  2. SEC Form 1

    An application for and amendments to an application for registration ...
  3. Piggyback Registration Rights

    A form of registration rights that grants the investor the right ...
  4. Series 34

    An exam required for individuals seeking to engage in off-exchange ...
  5. Regulation A

    An exemption from the registration requirements mandated by the ...
  6. Series 86/87

    An exam administered by the Financial Industry Regulatory Authority ...
RELATED FAQS
  1. What certification series does one need to be a bond broker?

    One major requirement before one can become a bond broker is to pass the General Securities Representative Exam, commonly ... Read Answer >>
  2. Can you trade securities before you pass the Series 63 exam?

    Find out more about state registration and Series 63 exam scores. Learn how long these scores are valid and how registration ... Read Answer >>
  3. ABC Broker-dealer has no office in state and transacts fewer than five trades during ...

    The correct answer is b. Under these circumstances, the broker-dealer is not required to register with the state and the ... Read Answer >>
  4. Under the Uniform Securities Act, the Administration is empowered to perform which ...

    The correct answer is a. The Administrator does have the power to subpoena records and obtain an injunction. Also, a sales ... Read Answer >>
  5. How long is the validity period for a Series 63 exam if I have not been registered?

    Find out how registration begins using Series 63 results and how long scores are valid without registration. Learn more about ... Read Answer >>
  6. I gave an answer on the test from my study guide that was scored wrong on the Series ...

    Learn more about potential causes of differences between the Series 63 exam and study guide questions. Find out how new questions ... Read Answer >>
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