Broker-Dealer Compliance Part I: Status and Exemptions from Registration
Created on June 17, 2019
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.
- Determine "broker" and "dealer" status
- Examine the conditions of exemptions from registration with the SEC
- Understand the implications of being a broker or dealer
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