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Member since February 2025

About us

Regulatory Framework
• Securities Act of 1933: Regulates new securities offerings.
• Securities Exchange Act of 1934: Governs secondary market transactions and created the SEC.
• Investment Company Act of 1940: Regulates mutual funds and investment companies.
• FINRA Rules: Establish guidelines for member firms and registered representatives.
• Anti-Money Laundering (AML) Regulations: Focus on detecting and preventing financial crimes.

Address

New York
New York