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What is the name for the legal framework of state laws for broker-dealers, registered representatives, investment advisors and investment advisor representatives?

Sagot :

The Uniform Securities Act is the name for the legal framework of state laws for broker-dealers, registered representatives, investment advisors and investment advisor representatives.

This has been created as the model law formed as a starting point for regulation at securities level.  The purpose of this act is to deal with any kind of securities fraud done at the state level. It thus assists the Securities and Exchange Commission, in enforcement of rules and regulation of the same.

The creation of the Uniform Securities Act was required because not all investment dealers are covered under federal laws, therefore SEC could not cover all these investors earlier.

To know more about The Uniform Securities Act, click

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