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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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