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6.23.2026
Broker-dealer regulation remains central to US securities law, with the SEC and FINRA overseeing registration, compliance, and enforcement.
In this BARBRI CLE, Gary Ross provides a practical overview of when broker-dealer registration is required, how to navigate key exemptions, and the core compliance obligations firms must meet. The program also highlights evolving risks, including digital assets, generative AI, and current enforcement trends shaping the regulatory landscape.
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