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Stay calm. You don't want to be the one freaked-out buffalo who starts a stampede. You'll be ribbed for weeks.

You Don’t Gotta Register!

You Don’t Gotta Register!

Now it’s time to talk shop about the broker-dealers that don’t have to play the registration game. These are BDs that:

  • Have no place of business in the state
  • Have no office in the state, but do business with institutional investors
  • Institutional investors include: issuers of securities involved in the transactions, pension or profit-sharing trusts, investment companies as defined in the Investment Company Act of 1940, banks, savings institutions, trust companies, insurance companies, other ...

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Prev: Exclusions and Exemptions for Broker-Dealers

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