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Questions tagged [broker dealers]

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DigitalLegendGuard DigitalLegendGuard Wed Oct 09 2024 | 7 answers 1573

Do broker dealers register with SEC or state?

I am trying to understand the registration requirements for broker dealers. Specifically, I want to know if they need to register with the SEC or the state, or both.

Do broker dealers register with SEC or state?

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Risk warning: Digital asset trading is an emerging industry with bright prospects, but it also comes with huge risks as it is a new market. The risk is especially high in leveraged trading since leverage magnifies profits and amplifies risks at the same time. Please make sure you have a thorough understanding of the industry, the leveraged trading models, and the rules of trading before opening a position. Additionally, we strongly recommend that you identify your risk tolerance and only accept the risks you are willing to take. All trading involves risks, so you must be cautious when entering the market.

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