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Dually Registered Broker-Dealers and Advisers – Regulatory, Compliance and Enforcement 2021
U.S. Securities and Exchange Commission, Press Release, SEC Charges Investment Advisory Firms and Broker-Dealers in Connection with Sales of Complex Exchange-Traded Products (November 13, 2020)
Clifford E. Kirsch
Enforcement (Securities and other financial products),
Regulation and compliance (Securities and other financial products),
Securities and other financial products
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