Sec broker dealer registration
[DOCX File]Broker-Dealer Formation Process Overview
https://info.5y1.org/sec-broker-dealer-registration_1_6bce96.html
Municipal securities dealer or Municipal securities broker. Broker or dealer selling variable life insurance or annuities . Solicitor of time deposits in a financial institution. Real estate syndicator. Broker or dealer selling oil and gas interests . Put and call broker or dealer or option writer
Sec_36b-31_Regs - Connecticut
Sec. 36b-31-6a. Broker-dealer and agent registration 4. Sec. 36b-31-6b. Investment adviser and investment adviser agent registration 4. Sec. 36b-31-6c. Central Registration Depository 5. Sec. 36b-31-6d. Temporary transfer procedures 5. Sec. 36b-31-6e. Private securities transactions by broker-dealer agents 5. Sec. 36b-31-6f. Supervision ...
[DOC File]Title 36b - Connecticut
https://info.5y1.org/sec-broker-dealer-registration_1_a3d21d.html
(Formerly Sec. 36-474). Broker-dealer, agent or investment adviser required to register. Exemptions. Branch offices. Notice re termination of business. (a) No person shall transact business in this state as a broker-dealer unless such person is registered under sections 36b-2 to 36b-34, inclusive. ... Withdrawal from registration as a broker ...
[DOC File]NO-ACT, FSLR 78,056, BondGlobe, Inc
https://info.5y1.org/sec-broker-dealer-registration_1_3a9a80.html
(On SEC significant list of April 20, 2001.) WSB File No. 0212200107. Correspondence in full text. Exchange Act--Broker-Dealers--Registration.--The SEC staff declined to offer no-action assurance if a company engaged in certain activities without registering as a broker-dealer …
[DOC File]Broker’s Representation Letter
https://info.5y1.org/sec-broker-dealer-registration_1_878f63.html
We are acting on behalf of _____ (“Seller”) as Seller’s broker regarding the proposed sale by Seller of _____ shares of securities issued by _____. We have been provided with a representation letter from Seller stating that Seller is not an affiliate of the issuer and has not …
EB5Info
Injunctions may be issued against unregistered broker-dealers and civil and criminal monetary penalties may be assessed. The SEC may also use a violation of the registration requirements as grounds to deny a future application for broker-dealer registration. 3. Recent Caselaw. A Florida court in SEC v.
[DOC File]INSTRUCTIONS TO FORM NF - NASAA
https://info.5y1.org/sec-broker-dealer-registration_1_b9e98c.html
Name of Issuer: State the name of the investment company for which the notice filing is being made. Do not use the name of the broker-dealer or distributor. ITEM 3. Amendment Filings: Provide the applicable information. However, it may not be necessary to complete the entire form.
[DOC File]SEC FORM 28-S
https://info.5y1.org/sec-broker-dealer-registration_1_3f9d16.html
The registration of a Salesman shall cease when he is no longer employed as such by the Broker Dealer identified in his registration application. Thus, a new and complete SEC Form 28-S must be filed when an individual changes employment and desires to become registered with another broker/dealer or investment house.
[DOC File]SEC FORM 28-S
https://info.5y1.org/sec-broker-dealer-registration_1_88dde1.html
The registration of an Associated Person shall cease when he is no longer employed as such by the Broker Dealer identified in his registration application. Thus, a new and complete SEC Form 28-AP must be filed when an individual changes employment and desires to become registered with another broker/dealer or investment house.
[DOC File]Outline of Recent SEC Enforcement Actions Involving Broker ...
https://info.5y1.org/sec-broker-dealer-registration_1_5172bc.html
The complaint further charged that Gilabert violated the broker-dealer registration provision, Section 15(a) of the Exchange Act. The Commission sought permanent injunctions, disgorgement with prejudgment interest, and civil penalties against each of the defendants. SEC v. Langley Partners, et al. Litigation Release No. 19607 (Mar. 14, 2006)
Nearby & related entries:
To fulfill the demand for quickly locating and searching documents.
It is intelligent file search solution for home and business.