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If I could hold a pencil, I'd mark up those reading passages like it was going out of style. Do it for the buffalo, man. Do it for me.

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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