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Broker-dealer: Difference between revisions
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Rule 15 (a)(1) provides in the gummed up lingo of a securities legistlator scarred by the Crash of 1929, as follows: | Rule 15 (a)(1) provides in the gummed up lingo of a securities legistlator scarred by the Crash of 1929, as follows: | ||
'''15 U.S. Code § | '''15 U.S. Code § 780 - Registration and regulation of [[broker]]s and [[dealer]]s''' | ||
(a) Registration of all persons utilizing exchange facilities to effect transactions; exemptions | (a) Registration of all persons utilizing exchange facilities to effect transactions; exemptions | ||