FAs Fear They Must Register as Broker-Dealers Due to SEC Guidance

Hume, Lynn
October 2000
Bond Buyer;10/16/2000, Vol. 334 Issue 30996, p4
Trade Publication
Deals with the concerns of independent financial advisers in the event they are required by the United States Securities and Exchange Commission to register as broker-dealers. Call for a change in rules in the municipal disclosure area; Definition of a broker; Threat posed by registration.


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