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Honey, You Must Register

Honey, You Must Register

Getting out of the registration requirements ain’t just a dream for the agents of issuers; it can happen to broker-dealers agents, too. Here’s what the USA has to say about it:

“Agent” does not include an individual who represents a broker-dealer in effecting transactions in this state limited to those transactions described in section 15(h)(2) of the Securities Exchange Act of 1934. A partner, officer, or director of a broker-dealer or issuer, or a person occupying a similar statu...

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