5/29/2023 0 Comments Register guard subscriber servicesFinancial Responsibility of Broker-Dealers.Privacy of Consumer Financial Information (Regulation S-P).Regulation ATS: Broker-Dealer Trading Systems.Trading by Members of Exchanges, Brokers and Dealers.Restrictions on Private Securities Transactions.Trading During an Offering (Regulation M).Restrictions on Short Sales (Regulation SHO).Withdrawal from Registration Cancellation of Registration.Broker-Dealer Relationships with Affinity Groups.Real Estate Securities and Real Estate Brokers/Agents.Special Rules That Apply to Banks and Other Financial Institutions.Requirements Regarding Brokers and Dealers of Government and Municipal Securities, including Repurchase Agreements.Broker-Dealers Must Register Before Selling Unregistered Securities - Including Private Placements (or Regulation D offerings).Broker-Dealers that Limit their Business to Excluded and Exempted Securities. ![]()
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