Registration Requirements for Securities, Brokerage Firms & Investment Professionals Investor Claims Is What We Do - All Day, Every Day

Registration Requirements for Securities, Brokerage Firms & Investment Professionals

There are a lot of regulations when it comes to securities and the firms that sell them. Some of these regulations have to do with the registration of securities, the brokerage firm, and the investment salesperson.

Registration of Securities

Under federal and state laws, securities must be registered and there are only limited exceptions to these rules. In many cases, securities also have to be registered with the U.S. Securities and Exchange Commission (SEC). One of the purposes of registration is to disclose pertinent financial information to investors, which will help protect them from fraud.

Registration of Brokerage Firms & Their Employees

Any firm that sells registered securities to the public is required to register with the state securities regulator, the SEC or the Financial Industry Regulatory Authority (FINRA), depending on the business in which the firm is involved. An employee of the brokerage firm who offers or sells registered securities is also required to register with the state securities regulator and/or FINRA.

There are additional licenses that are required for people who sell annuities, insurance and other similar products, as well as registration requirements for those who offer investment advice for a fee. A general rule of thumb to follow is that if someone gave you investment recommendations and charged you a fee, there is a good chance that he or she should be registered and licensed.

What Happens When the Securities Were Not Registered?

If you discover that the securities you invested in were not registered and should have been or if the firm or investment professional did not complete the proper licensing or registration, you could have a registration violations claim. Generally, this type of claim arises when you lose money on an investment. If your case is successful, you may be able to recover your losses.

The Meyer Wilson Way

Results-Focused Representation
  • More than $350,000,000 Recovered
  • Voted Best Lawyers in America┬« for over Ten Years Running
  • David Meyer is President of Public Investors Advocate Bar Association (PIABA)
  • Over a Thousand Investor Claim Cases Since 1999
  • Exclusive Focus on Investor Claims & Class/Mass Action Lawsuits
  • Deep Bench of Skilled Attorneys and Staff Members

We Recover Investment Losses

Helping You Take Back What Is Yours
  • Jury Verdict Won Against Prudential Securities $262 Million
  • Recovered for 100-Year Old Widow $30 Million
  • Recovered in Retirement Losses $10 Million
  • Recovered for a Large Group of Individual Investors $6.5 Million
  • Recovered for Elderly Victim in Ponzi Scheme Case $3.8 Million
  • Recovered for Elderly Ponzi Scheme Victim $3.2 Million
  • Recovered for More Than 50 Families of Ponzi Scheme in California $3.2 Million
  • Recovered for 35 Families in Northeast Ohio $3.1 Million
  • Losses Recovered for 20 Retirees $3 Million
  • Recovered for Retired Physician Against Major Wall Street Firm Prior to Filing FINRA Arbitration $2.5 Million

Talk to Our Team

Get Started with a Free Evaluation
  • Please enter your first name.
  • Please enter your last name.
  • Please enter your phone number.
    This isn't a valid phone number.
  • Please enter your email address.
    This isn't a valid email address.
  • Please make a selection.
  • Please enter a message.