Advisers to Air Concerns About Broker-Dealer Registration

Hume, Lynn
April 2001
Bond Buyer;04/04/2001, Vol. 336 Issue 31111, p5
Trade Publication
Focuses on the National Association of Independent Public Finance Advisors' report that reviews the range of the activities of independent financial advisers and whether those activities may require them to register as broker-dealers in the United States. Guidance from the United States Securities & Exchange Commission which prompted the writing of the report; Definition of broker in the Securities Exchange Act.


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