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Securities and Exchange Commission Broadens Dealer Definition

Securities and Exchange Commission Broadens Dealer Definition
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SEC And FINRA Broker-Dealer Enforcement: Recapping 2023 And Previewing 2024 - Securities

With the close of FINRA's fiscal year comes the opportunity for broker-dealer firms to consider where regulators have focused their enforcement efforts and also what can be expected in the coming year.

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SEC and FINRA Broker-Dealer Enforcement: Recapping 2023 and Previewing 2024 | K&L Gates LLP

With the close of FINRA’s fiscal year comes the opportunity for broker-dealer firms to consider where regulators have focused their enforcement efforts and also what can be expected in.

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Statement On Further Definition Of As A Part Of A Regular Business In The Definition Of Dealer, SEC Commissioner Mark T Uyeda, Feb 6, 2024

Statement On Further Definition Of As A Part Of A Regular Business In The Definition Of Dealer, SEC Commissioner Mark T Uyeda, Feb 6, 2024
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Statement On Adopting Changes To The Definition Of Dealer And Government Securities Dealer, SEC Commissioner Caroline A Crenshaw, Feb 6, 2024

Statement On Adopting Changes To The Definition Of Dealer And Government Securities Dealer, SEC Commissioner Caroline A Crenshaw, Feb 6, 2024
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