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Revised Dealer Rules | Tannenbaum Helpern Syracuse & Hirschtritt LLP : comparemela.com
Revised Dealer Rules | Tannenbaum Helpern Syracuse & Hirschtritt LLP
On February 6, 2024, the Securities and Exchange Commission (“SEC”) in a 3-2 vote adopted new Rules 3a5‑4 and 3a44‑2 (the “Dealer Rules”) that expand the definition of a “dealer” and a...
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