Tag: broker

Broker-dealers and investment advisers are subject to a number of restrictions regarding marketing and advertising their services. In contrast, those who are not registered but acting as, for example, an unregistered investment adviser, are not subject to the same restrictions. …

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Purchasing and selling securities for the account of others without registering as a broker has long been held to be a violation of the Exchange Act Section 15(a). Similarly, purchasing and selling securities for your own account has long been …

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