Series 28: Exemptions And Special Provisions

Taken from our Series 28 Online Guide

Exemptions and Special Provisions

Broker-dealers that are exempt from the recordkeeping requirements are, of course, exempt from the reporting requirements. Again, these are introducing brokers that do not maintain capital in excess of $20,000,000, broker-dealers whose only transactions involve investment companies or insurance company se

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Nikita Brown, BMI. Atlanta, GA

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