Year: 2023

The Investment Advisers Act requires that firms or individuals that are in the business of advising others about securities investments and are compensated for their services register with the Commission with few exceptions. A number of provisions of the Advisers …

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Purchasing and selling securities for the account of others without registering as a broker has long been held to be a violation of the Exchange Act Section 15(a). Similarly, purchasing and selling securities for your own account has long been …

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