Municipal Dealer Registration | Practical Law

Municipal Dealer Registration | Practical Law

A Practice Note discussing the requirements that brokers and dealers underwriting or otherwise engaging in transactions in municipal securities register with the SEC as brokers or dealers with the SEC under Section 15 of the Exchange Act and that "municipal securities dealers" (as separately defined in the Exchange Act) register with the SEC under Section 15B of the Exchange Act.

Municipal Dealer Registration

Practical Law Practice Note w-005-3666 (Approx. 14 pages)

Municipal Dealer Registration

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
A Practice Note discussing the requirements that brokers and dealers underwriting or otherwise engaging in transactions in municipal securities register with the SEC as brokers or dealers with the SEC under Section 15 of the Exchange Act and that "municipal securities dealers" (as separately defined in the Exchange Act) register with the SEC under Section 15B of the Exchange Act.