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Keywords: Section 4(a)(4)
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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
... the traditional interpretation of Section 4(a)(4) of the Securities Act of 1933, which requires broker-dealers to conduct a reasonable inquiry into the basis for their customers’ proposed sales of unregistered securities. Then reviews a recent SEC settlement that appears to suggest the SEC believes...
