Carlo
Sun Sep 29 2024
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5 answers
1433
Do broker-dealers register with SEC or state?
Excuse me, but could you please clarify for me which authority broker-dealers are required to register with? Is it the Securities and Exchange Commission (SEC) at the federal level, or do they also need to register with individual states? I'm seeking clarity on the regulatory framework governing broker-dealers in the financial industry. Thank you for your assistance in elucidating this matter.
