<img height="1" width="1" style="display:none" src="https://www.facebook.com/tr?id=533208126839177&amp;ev=PageView&amp;noscript=1">

THE BROKER REGISTRATION REQUIREMENT
AND ITS ENFORCEMENT

Recent SEC enforcement actions continue to grab headlines. As the cases highlighted in this whitepaper reveal, the SEC may prevail on a Section 15(a) violation charge even if the broker did not have knowledge that his or her actions constituted illegal activity.

Broker-Reg-thumb.png

This whitepaper includes:
  • A full breakdown of
    Section 15(a)
  • Recent cases of SEC enforcement actions 
  • The future of the registration requirement for securities issuers
  • ...and more