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.)
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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
:MCB UP Ltd
Copyright © 2001, MCB UP Limited