What does it take to make the SEC happy? : SEC criticism of broker-dealers' due diligence for sales of unregistered securities leaves more questions than answers
Year of publication: |
2015
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Authors: | Bettigole, Bruce ; Kruly, Charlie |
Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 16.2015, 1, p. 52-58
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Subject: | Securities and Exchange Commission | Broker-dealer | Reasonable inquirty | Registration exemption | Section 4(a)(4) | Unlawful distribution | Finanzmarktaufsicht | Financial supervision | Finanzmarktregulierung | Financial market regulation | Kapitalmarktrecht | Financial markets law |
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