Securities Dealers

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Looking For The List Of OTC Margin Stocks? You’ll Find It In California’s New LLC Act

When originally enacted, the Securities Exchange Act of 1934 banned brokers and dealers from extending margin credit on over-the-counter (OTC) securities. This changed in 1969 when the Exchange Act was amended. The Federal...more

MSRB Requests Comment On Consolidated Registration Rule

The Municipal Securities Rulemaking Board, or MSRB, is seeking comment on proposed rule changes that would set forth in a single rule the requirements to and process by which brokers, dealers and municipal securities dealers...more

Securities Update: Florida Allows Notice Filing for Branch Offices

Under a new law aggressively advocated by the Florida Securities Dealers Association (“FSDA”) and Financial Services Institute (“FSI”) Florida recently streamlined its regulation of securities broker-dealers and state-covered...more

Strategies for Complying with Canada’s Dealer Registration Requirements - Volume 1, Number 2 - July 2, 2013

Securities dealers, investment fund managers and others selling securities into Canada need to be aware of Canada’s securities dealer registration requirements and determine the best way to comply with them....more

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