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Whats The Deal With New SEC Rule 3a5-4 And California? | Allen Matkins : vimarsana.com
What's The Deal With New SEC Rule 3a5-4 And California? | Allen Matkins
Section 3(a)(5) of the Securities Exchange Act of 1934 defines the term “dealer” to mean “any person engaged in the business of buying and selling securities . . . for such person’s own...
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