Takeaways From Broker-Dealers' Section 5 Inadequacies

Law360, New York (October 20, 2014, 12:53 PM EDT) -- The staff of the U.S. Securities and Exchange Commission recently addressed broker-dealers' obligations when they engage in transactions in unregistered securities by issuing FAQs[1] and a risk alert[2] that reported the results of examinations of a number of broker-dealers' practices in handling unregistered securities.[3] The agency's core focus in these areas is curbing and preventing activities that undermine, or threaten to undermine, well-functioning markets, including fraud, manipulation and money laundering.[4]...

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