Series 52: 8.2.2.1. SEC Registration

Taken from our Series 52 Online Guide

8.2.2.1. SEC Registration

Before conducting any business or advising clients, brokers and dealers doing business in interstate commerce must register with the SEC, including those who deal in municipal securities. This is required under Section 15 of the Exc

Since you're reading about Series 52: 8.2.2.1. SEC Registration, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 52
Please Enable Javascript
to view this content!