Broker-Dealer Compliance Part I: Status and Exemptions from Registration
1h 2m
Created on June 17, 2019
Advanced
Course Price
$89
- Instant Certificate Upon Completion
- Mobile, Desktop and Laptop Access
- Money-Back Guarantee
Overview
This program is the first of four segments led by K. Susan Grafton, leader of Dechert LLP's Broker-Dealer, Securities and Trading Markets product line, exploring key regulatory issues applicable to broker-dealers.
Part I of the series will focus on the legal analysis of whether an entity or person is a "broker" or "dealer", and the implications of being a broker-dealer, including registration with the Securities and Exchange Commission. This segment will also cover the conditions of various exemptions from registration as a broker-dealer.
Learning Objectives:
- Determine "broker" and "dealer" status
- Examine the conditions of exemptions from registration with the SEC
- Understand the implications of being a broker or dealer
Credits
Reviews
Recent Reviews
Great refresher course for dealing with complicated international transactions
Very good overall.
Outstanding program! Very helpful!
Excellent course. The presenters took a subject that is sophisticated and dry and presented it in a way which, while not exciting by any means, kept my interest. The material was logically organized and well structured; and I thought that their conversational approach was effective. Having had some experience with BD Law, it seemed to me they addressed some important points which can imagine other presenters might have glossed over.
easy to understand; informative
Plus
Gain access to this course, and unlimited access to 2,000+ courses, with a Plus subscription.
Explore Lawline Subscriptions