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SB496: relative to supervision and registration requirements for associates of broker-dealers.
Bill details
Version history, amendments, and roll-call votes were not present in the imported local bill data.
Official links
ssociates of broker-dealers. Be it Enacted by the Senate and House of Representatives in General Court convened: 1 Securities; Uniform Securities Act; Definitions. Amend RSA 421-B:1-102, 5(B) to read as follows: (B) Notwithstanding the exclusions provided in subsection (5)(A)(ii), any location that is responsible for supervising the activities of agents of the broker dealer at one or more non-branch l
Extraction diagnostics
Related law links
RSA references from bill data
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421-B:1-102
· amend
ssociates of broker-dealers. Be it Enacted by the Senate and House of Representatives in General Court convened: 1 Securities; Uniform Securities Act; Definitions. Amend RSA 421-B:1-102, 5(B) to read as follows: (B) Notwithstanding the exclusions provided in subsection (5)(A)(ii), any location that is responsible for supervising the activities of agents of the broker dealer at one or more non-branch l