Most individual state securities laws today are based on:
BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller broker-dealer, Target Investments, as a subsidiary. TargetInvestments is also registered in the state.After completing the purchase, what actions must BigCash take regarding registration of its new subsidiary?
In order to maintain its registration with a state, a broker-dealer may be required to:I. take a written or oral exam.II. pay an annual filing fee.III. maintain a minimum net capital.IV. file all advertising material with the Administrator.
Once a broker-dealer has applied for and been granted state registration, the registration remains valid
A broker-dealer is required to keep his records for how long?
Blue Sky Laws are designed to:
