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Keywords: Registration exemption
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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
... there is a more stringent obligation on broker-dealers to inquire into their customers’ proposed sales of unregistered securities. Findings – The SEC’s recent settlement states that various inquiries conducted by a broker-dealer into its customers’ claimed registration exemptions were insufficient...
