• Broker-Dealer Registration Update
  • June 19, 2008 | Authors: Edward J. Johnsen; Robert A. Boresta; Jeffrey H. Elkin; Wesley G. Nissen
  • Law Firms: Winston & Strawn LLP - Chicago Office ; Winston & Strawn LLP - New York Office ; Winston & Strawn LLP - Chicago Office
  • The Securities and Exchange Commission (SEC) Division of Trading and Markets (the Division) has updated the Guide to Broker-Dealer Registration (the Guide), which is available on the SEC web site at http://sec.gov/divisions/marketreg/bdguide.htm.