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Keywords: Reasonable inquirty
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Journal Articles
What does it take to make the SEC happy? SEC criticism of broker-dealers’ due diligence for sales of unregistered securities leaves more questions than answers
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (1): 52–58.
Published: 05 May 2015
...-dealer Reasonable inquirty Registration exemption Section 4(a)(4) Unlawful distribution To ensure that broker-dealers (BDs) do not inadvertently facilitate an unlawful distribution of securities, the Securities and Exchange Commission has long required BDs to conduct a “reasonable inquiry...
