Broker-dealer registration [electronic resource] : demystifying the process / Linda Lerner, Eden L. Rohrer (Crowell and Moring LLP), Scott D. Daniels (The SDDCO Group).
" ... reviews the regulatory and business considerations involved in the establishment and registration of a broker-dealer. The portfolio begins with a discussion of the definitions of brokers and dealers, including analysis of the applicability of the broker-dealer registration requirements. S...
Saved in:
| Online Access: |
Law Students, Faculty, and Staff (via Bloomberg Law) |
|---|---|
| Main Authors: | , , |
| Other title: | Bloomberg Law online Bloomberg Law online. |
| Format: | Electronic Website |
| Language: | English |
| Published: |
[Arlington, Va.] :
Bloomberg BNA,
[2014?]-
|
| Series: | Securities practice portfolio series ;
381. |
| Subjects: |
Internet
Law Students, Faculty, and Staff (via Bloomberg Law)Law - Electronic Resources
| Available |