Rebecca Lawrence

Rebecca Lawrence

Ballard Spahr LLP

Contact
View Bio
RSS

Latest Posts › Registration Requirement

Share:

SEC Issues Temporary Order Exempting Municipal Advisors From Broker-Dealer Registration Requirements Under Certain Limited...

The U.S. Securities and Exchange Commission (SEC) on June 16, 2020, granted a temporary conditional exemption (Temporary Order) from broker registration under Section 15 of the Securities Exchange Act of 1934 (Exchange Act). ...more

6/24/2020  /  Municipal Securities Market , Registered Investment Advisors , Registration Requirement , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation , Securities Transactions
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide