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Who Is a Broker-Dealer? How Do Broker-Dealers Register? The Different Types of Broker-Dealers

Recorded on: Jul. 23, 2018
Running Time: 01:19:28

Full Transcript:



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Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2018 Recorded July 2018 in New York

Who Is a Broker-Dealer? How Do Broker-Dealers Register? The Different Types of Broker-Dealers [01:19:28]
  • The broker-dealer definition
  • Exceptions to the definition
  • Status of finders and placement agents
  • Registration as a broker-dealer: The Form BD

David W. Blass, Brandon A. Hill

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • U.S. Securities and Exchange Commission: Division of Trading and Markets—Investor Publications: Guide to Broker-Dealer Registration (October 6, 2009)
    Clifford E. Kirsch
Presentation Material
  • Broker-Dealer 101
    David W. Blass
  • FINRA’s Membership Program
    David W. Blass, Brandon A. Hill
  • (s)
    David W. Blass ~ Simpson Thacher & Bartlett LLP
    Brandon A. Hill ~ Senior Counsel in the Office of Chief Counsel, Division of Trading and Markets , U.S. Securities and Exchange Commission
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