To address this concern, the Division issued an open letter regarding business brokering, dated 7 May 2009, to explain that engaging in business brokering activities may require licensing as a broker-dealer or agent. Wh - Open Financial Exchange - Document - PDFSEARCH.IO

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	To address this concern, the Division issued an open letter regarding business brokering, dated 7 May 2009, to explain that engaging in business brokering activities may require licensing as a broker-dealer or agent. Wh Add to Reading List Document Date: 2014-04-14 15:44:30 Open Document File Size: 193,52 KB Share Result on Facebook Company Country Business Inc. / / Event Reorganization / Security Buyback / / IndustryTerm business broker / business brokering / business brokers / / Organization U.S. Securities and Exchange Commission / United States Senate / U.S. House of Representatives / North American Securities Administrators Association / / Position independent auditor / broker dealer / Broker / representative / business broker / / ProvinceOrState Utah / / SocialTag Financial markets United States securities law Financial regulation Short selling Financial services Business broker Securities Exchange Act Short Broker-dealer Business

To address this concern, the Division issued an open letter regarding business brokering, dated 7 May 2009, to explain that engaging in business brokering activities may require licensing as a broker-dealer or agent. WhAdd to Reading List