< Return to previous page

Research Center : Article

Mar 11,2010 | Thomson Reuters/Securities Regulation Law Journal

Some Comments on the Pre-Clearance Procedure

In our article “FINRA Reminds Securities Broker-Dealers Of Their Duty Of Due Diligence To Prevent The Public Resale Of ‘Unregistered Securities’ ’’ (Vol 37 Issue 3 Securities Regulation Law Journal 6 at pp. 293–302), we discussed the duty of securities broker-dealers to exercise due diligence to prevent the public resale of “unregistered securities.”

About Us

The National Association of Stock Plan Professionals is the largest and oldest professional association for the stock and executive compensation community, with over two decades of leadership providing expert resources, education and other benefits for our more than 6,000 members across 32 affiliated chapters.

NASPP

P.O. Box 21639 Concord, CA 94521-0639 Telephone: (925) 685-9271 Fax: (925) 930-9284

©NASPP 2019, All Rights Reserved.