Govt. Securities BD: Registration Requirement

Overview

The material on this page provides information as to the registration requirement, and exemptions therefrom, applicable to dealers in U.S. government securities. There is also a page that provides an overview of the regulation of Government Securities and Government Securities Dealers. For general information on broker-dealers and the securities markets, see the page entitled Broker-Dealers, Markets and the Securities Exchange Act.

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SEA Sections and Rules

Government Securities Act