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Registration Can Be a Big Deal for Nontraditional “Broker‐Dealers”

MARK S. SHELTON (Partner at Wilmer, Cutler & Pickering, a law firm in Washington, D.C.)
ELIZABETH K. DERBES (Associate at Wilmer, Cutler & Pickering, a law firm in Washington, D.C.)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 1 March 2001

34

Abstract

Much debate has swirled around the issue of registration, regulation or disclosure requirements for financial websites. The authors have put together thoughtful analysis of the issues along with some of the most recent pronouncements and thinking of the regulators.

Citation

SHELTON, M.S. and DERBES, E.K. (2001), "Registration Can Be a Big Deal for Nontraditional “Broker‐Dealers”", Journal of Investment Compliance, Vol. 2 No. 2, pp. 58-63. https://doi.org/10.1108/eb045911

Publisher

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MCB UP Ltd

Copyright © 2001, MCB UP Limited

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