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Google Keyword Rankings for : sec regulations broker
1
https://www.sec.gov/reportspubs/investor-publications/divisionsmarketregbdguidehtm.html
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https://www.sec.gov/reportspubs/investor-publications/divisionsmarketregbdguidehtm.html
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2
https://www.sec.gov/divisions/marketreg/mrbdealers
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https://www.sec.gov/divisions/marketreg/mrbdealers
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3
https://www.sec.gov/tm/faq-regulation-best-interest
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https://www.sec.gov/tm/faq-regulation-best-interest
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4
https://www.sec.gov/fast-answers/answersbdregis
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https://www.sec.gov/fast-answers/answersbdregis
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5
https://www.sec.gov/tm/iabd-staff-bulletin
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https://www.sec.gov/tm/iabd-staff-bulletin
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6
https://www.sec.gov/tm/iabd-staff-bulletin-conflicts-interest
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https://www.sec.gov/tm/iabd-staff-bulletin-conflicts-interest
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7
https://www.sec.gov/info/smallbus/secg/regulation-best-interest
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https://www.sec.gov/info/smallbus/secg/regulation-best-interest
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8
https://www.sec.gov/divisions/trading-markets
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https://www.sec.gov/divisions/trading-markets
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9
https://www.sec.gov/rules/final/2019/34-86031.pdf
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https://www.sec.gov/rules/final/2019/34-86031.pdf
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10
https://www.jdsupra.com/legalnews/overview-of-u-s-securities-laws-22612/
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https://www.jdsupra.com/legalnews/overview-of-u-s-securities-laws-22612/
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11
https://www.seclaw.com/brokerdealerregistration/
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https://www.seclaw.com/brokerdealerregistration/
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12
https://www.finra.org/rules-guidance
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https://www.finra.org/rules-guidance
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13
https://content.next.westlaw.com/practical-law/document/Iea45321d86ea11e498db8b09b4f043e0/Broker-Dealer-Registration-Overview?viewType=FullText&transitionType=Default&contextData=(sc.Default)
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https://content.next.westlaw.com/practical-law/document/Iea45321d86ea11e498db8b09b4f043e0/Broker-Dealer-Registration-Overview?viewType=FullText&transitionType=Default&contextData=(sc.Default)
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14
https://www.paulweiss.com/practices/transactional/capital-markets/publications/sec-adopts-new-standard-of-conduct-for-broker-dealers?id=28919
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https://www.paulweiss.com/practices/transactional/capital-markets/publications/sec-adopts-new-standard-of-conduct-for-broker-dealers?id=28919
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15
https://dfpi.ca.gov/broker-dealers-state-investment-advisers-and-sec-investment-advisers/
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https://dfpi.ca.gov/broker-dealers-state-investment-advisers-and-sec-investment-advisers/
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16
https://www.investor.gov/introduction-investing/investing-basics/role-sec/laws-govern-securities-industry
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https://www.investor.gov/introduction-investing/investing-basics/role-sec/laws-govern-securities-industry
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17
https://www.investopedia.com/ask/answers/how-does-finra-differ-sec/
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https://www.investopedia.com/ask/answers/how-does-finra-differ-sec/
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18
https://www.dechert.com/knowledge/onpoint/2022/6/sec-publishes-staff-bulletin-on-the-standards-of-conduct-for-bro.html
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https://www.dechert.com/knowledge/onpoint/2022/6/sec-publishes-staff-bulletin-on-the-standards-of-conduct-for-bro.html
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19
https://www.proskauer.com/practices/broker-dealer/broker-dealer-resources
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https://www.proskauer.com/practices/broker-dealer/broker-dealer-resources
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20
https://www.americanbar.org/groups/business_law/publications/blt/2020/05/reg-best-interest/
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https://www.americanbar.org/groups/business_law/publications/blt/2020/05/reg-best-interest/
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21
https://www.bakerbotts.com/thought-leadership/publications/2022/october/sec-charges-broker-dealers-affiliated-investment-adviser-with-widespread-recordkeeping-failures
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https://www.bakerbotts.com/thought-leadership/publications/2022/october/sec-charges-broker-dealers-affiliated-investment-adviser-with-widespread-recordkeeping-failures
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22
https://www.fdic.gov/regulations/laws/rules/8000-1800.html
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https://www.fdic.gov/regulations/laws/rules/8000-1800.html
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23
https://www.nasdaq.com/articles/new-sec-regulations-for-broker-dealers-coming-in-june-2020-03-24
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https://www.nasdaq.com/articles/new-sec-regulations-for-broker-dealers-coming-in-june-2020-03-24
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24
https://www.sidley.com/en/insights/newsupdates/2022/08/sec-publishes-bulletin-on-conflicts-of-interest-for-broker-dealers-and-investment-advisers
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https://www.sidley.com/en/insights/newsupdates/2022/08/sec-publishes-bulletin-on-conflicts-of-interest-for-broker-dealers-and-investment-advisers
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25
https://news.bloomberglaw.com/bloomberg-law-analysis/analysis-sec-to-change-rules-for-brokers-insiders-and-proxies-1
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https://news.bloomberglaw.com/bloomberg-law-analysis/analysis-sec-to-change-rules-for-brokers-insiders-and-proxies-1
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26
https://www.reuters.com/business/finance/us-sec-issues-new-guidance-brokers-advisors-investment-recommendations-2022-03-30/
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https://www.reuters.com/business/finance/us-sec-issues-new-guidance-brokers-advisors-investment-recommendations-2022-03-30/
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27
https://www.bakertilly.com/insights/secs-new-rule-for-broker-dealers-regulation-best
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https://www.bakertilly.com/insights/secs-new-rule-for-broker-dealers-regulation-best
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28
https://corpgov.law.harvard.edu/2013/04/05/sec-responds-to-rule-15a-6-and-foreign-broker-dealer-faqs/
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https://corpgov.law.harvard.edu/2013/04/05/sec-responds-to-rule-15a-6-and-foreign-broker-dealer-faqs/
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29
https://crsreports.congress.gov/product/pdf/R/R46115
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https://crsreports.congress.gov/product/pdf/R/R46115
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30
https://www.goodwinlaw.com/publications/2022/04/04_14-sec-staff-provides-guidance-on-broker-dealer
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https://www.goodwinlaw.com/publications/2022/04/04_14-sec-staff-provides-guidance-on-broker-dealer
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31
https://www.law.cornell.edu/cfr/text/17/240.3a4-1
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https://www.law.cornell.edu/cfr/text/17/240.3a4-1
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32
https://www.federalregister.gov/documents/2019/07/12/2019-12164/regulation-best-interest-the-broker-dealer-standard-of-conduct
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https://www.federalregister.gov/documents/2019/07/12/2019-12164/regulation-best-interest-the-broker-dealer-standard-of-conduct
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33
https://www.treasurydirect.gov/laws-and-regulations/gsa/regulatory-cites/cite-04-17-1997/
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https://www.treasurydirect.gov/laws-and-regulations/gsa/regulatory-cites/cite-04-17-1997/
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34
https://www.whiteman-law.com/finra-reminds-broker-dealers-and-investment-advisers-to-comply-with-the-secs-best-interest-requirements/
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https://www.whiteman-law.com/finra-reminds-broker-dealers-and-investment-advisers-to-comply-with-the-secs-best-interest-requirements/
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35
https://www.mayerbrown.com/en/perspectives-events/publications/2022/08/sec-staff-posts-conflicts-of-interest-guidance-for-investment-advisers-and-brokerdealers
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https://www.mayerbrown.com/en/perspectives-events/publications/2022/08/sec-staff-posts-conflicts-of-interest-guidance-for-investment-advisers-and-brokerdealers
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36
https://www.natlawreview.com/article/does-sec-best-interest-regulation-go-far-enough
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https://www.natlawreview.com/article/does-sec-best-interest-regulation-go-far-enough
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37
https://www.pli.edu/catalog/publications/treatise/Broker-Dealer-Regulation
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https://www.pli.edu/catalog/publications/treatise/Broker-Dealer-Regulation
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38
https://katten.com/broker-dealer-proprietary-trading-groups-finra-may-be-in-your-future
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https://katten.com/broker-dealer-proprietary-trading-groups-finra-may-be-in-your-future
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39
https://www.venable.com/insights/publications/2019/08/sec-sued-to-exempt-finders-from-broker-dealer
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https://www.venable.com/insights/publications/2019/08/sec-sued-to-exempt-finders-from-broker-dealer
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40
https://www.law360.com/articles/1521755/keeping-capital-finders-in-step-with-sec-broker-regulations
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https://www.law360.com/articles/1521755/keeping-capital-finders-in-step-with-sec-broker-regulations
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41
https://www.morganlewis.com/pubs/2022/04/sec-seeks-to-make-certain-hedge-funds-digital-asset-traders-and-other-proprietary-traders-register-as-broker-dealers
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https://www.morganlewis.com/pubs/2022/04/sec-seeks-to-make-certain-hedge-funds-digital-asset-traders-and-other-proprietary-traders-register-as-broker-dealers
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42
https://www.stinson.com/newsroom-publications-sec-staff-posts-conflicts-of-interest-guidance-for-broker-dealers-and-investment-advisers
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https://www.stinson.com/newsroom-publications-sec-staff-posts-conflicts-of-interest-guidance-for-broker-dealers-and-investment-advisers
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43
https://scholarship.law.pitt.edu/fac_articles/238/
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https://scholarship.law.pitt.edu/fac_articles/238/
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44
https://webstorage.paulhastings.com/Documents/PDFs/671.pdf
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https://webstorage.paulhastings.com/Documents/PDFs/671.pdf
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45
https://www.barrons.com/advisor/articles/sec-plans-to-update-broker-advisor-rules-client-information-51664468893
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https://www.barrons.com/advisor/articles/sec-plans-to-update-broker-advisor-rules-client-information-51664468893
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46
https://www.hklaw.com/en/services/practices/corporate-transactions-and-finance/brokerdealer-regulation-and-compliance
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https://www.hklaw.com/en/services/practices/corporate-transactions-and-finance/brokerdealer-regulation-and-compliance
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47
https://www.mcguirewoods.com/news-resources/publications/financial_services/broker-dealer.doc
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https://www.mcguirewoods.com/news-resources/publications/financial_services/broker-dealer.doc
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48
https://www.nytimes.com/2019/06/05/your-money/sec-investment-brokers-fiduciary-duty.html
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https://www.nytimes.com/2019/06/05/your-money/sec-investment-brokers-fiduciary-duty.html
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49
https://www.bloomberg.com/news/articles/2021-08-27/sec-seeks-comment-on-game-like-features-used-by-online-brokers
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https://www.bloomberg.com/news/articles/2021-08-27/sec-seeks-comment-on-game-like-features-used-by-online-brokers
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50
https://prfirmpwwwcdn0001.azureedge.net/prfirmstgacctpwwwcdncont0001/uploads/e449c3c05b57741311b79e351c50b4a0.pdf
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https://prfirmpwwwcdn0001.azureedge.net/prfirmstgacctpwwwcdncont0001/uploads/e449c3c05b57741311b79e351c50b4a0.pdf
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51
https://www.everycrsreport.com/reports/R46115.html
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https://www.everycrsreport.com/reports/R46115.html
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52
https://bulletin.hofstra.edu/preview_course_nopop.php?catoid=106&coid=334812
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https://bulletin.hofstra.edu/preview_course_nopop.php?catoid=106&coid=334812
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53
https://www.wsgr.com/en/insights/sec-proposes-changes-to-the-definitions-of-dealer-and-government-securities-dealer-under-the-securities-exchange-act.html
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https://www.wsgr.com/en/insights/sec-proposes-changes-to-the-definitions-of-dealer-and-government-securities-dealer-under-the-securities-exchange-act.html
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54
https://www.ropesgray.com/en/newsroom/alerts/2022/06/sec-files-first-enforcement-action-alleging-violations-best-interest-rule-care-compliance-standards
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https://www.ropesgray.com/en/newsroom/alerts/2022/06/sec-files-first-enforcement-action-alleging-violations-best-interest-rule-care-compliance-standards
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55
https://www.sos.mo.gov/securities/licensing_faq
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https://www.sos.mo.gov/securities/licensing_faq
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56
https://www.bakerlaw.com/SEC-Scrutinizes-Use-of-Fintech-by-Broker-Dealers-and-Investment-Advisers
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https://www.bakerlaw.com/SEC-Scrutinizes-Use-of-Fintech-by-Broker-Dealers-and-Investment-Advisers
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57
https://www.ilsos.gov/publications/securitiespub.html
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https://www.ilsos.gov/publications/securitiespub.html
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58
https://www.bairdholm.com/blog/relief-from-sec-broker-dealer-registration-for-private-company-ma-brokers/
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https://www.bairdholm.com/blog/relief-from-sec-broker-dealer-registration-for-private-company-ma-brokers/
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59
https://www.carltonfields.com/insights/publications/2021/sec-targets-payment-order-flow-what-broker-dealer
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https://www.carltonfields.com/insights/publications/2021/sec-targets-payment-order-flow-what-broker-dealer
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60
https://financialinstitutions.bakermckenzie.com/2021/11/22/sec-proposes-amendments-to-broker-dealer-electronic-storage-requirements/
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https://financialinstitutions.bakermckenzie.com/2021/11/22/sec-proposes-amendments-to-broker-dealer-electronic-storage-requirements/
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61
https://www.klgates.com/SEC-Outlines-Parameters-of-Permissible-Broker-Dealer-Advice-to-Customers-07-10-2019
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https://www.klgates.com/SEC-Outlines-Parameters-of-Permissible-Broker-Dealer-Advice-to-Customers-07-10-2019
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62
https://www.cnbc.com/2022/03/28/sec-seeks-to-broaden-definition-of-dealer-to-ease-liquidity-worries.html
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https://www.cnbc.com/2022/03/28/sec-seeks-to-broaden-definition-of-dealer-to-ease-liquidity-worries.html
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63
https://www.wsj.com/articles/seven-states-sue-sec-on-concern-broker-rule-is-weak-11568085859
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https://www.wsj.com/articles/seven-states-sue-sec-on-concern-broker-rule-is-weak-11568085859
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64
https://advisory.kpmg.us/articles/2019/sec-regulation-best-interest.html
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https://advisory.kpmg.us/articles/2019/sec-regulation-best-interest.html
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65
https://www.sullcrom.com/files/upload/SC-Publication-SEC-Establishes-Standards-of-Conduct-for-Broker-Dealers-and-Provides-Interpretation-of-the-Fiduciary-Duty-of-Investment-Advisers.pdf
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https://www.sullcrom.com/files/upload/SC-Publication-SEC-Establishes-Standards-of-Conduct-for-Broker-Dealers-and-Provides-Interpretation-of-the-Fiduciary-Duty-of-Investment-Advisers.pdf
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66
https://www.fincen.gov/resources/statutes-regulations/guidance/sec-no-action-letter-permitting-securities-broker-dealers
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https://www.fincen.gov/resources/statutes-regulations/guidance/sec-no-action-letter-permitting-securities-broker-dealers
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67
https://www.wilmerhale.com/en/insights/client-alerts/20190617-secs-final-rules-and-guidance-on-the-standards-of-conduct-for-broker-dealers-and-investment-advisers
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https://www.wilmerhale.com/en/insights/client-alerts/20190617-secs-final-rules-and-guidance-on-the-standards-of-conduct-for-broker-dealers-and-investment-advisers
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68
https://www.ultimusfundsolutions.com/blog/new-sec-regulations-for-broker-dealers-coming-in-june/
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https://www.ultimusfundsolutions.com/blog/new-sec-regulations-for-broker-dealers-coming-in-june/
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69
https://www.dickinson-wright.com/news-alerts/gilligan-sec-guidance-to-broker-dealers
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https://www.dickinson-wright.com/news-alerts/gilligan-sec-guidance-to-broker-dealers
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70
https://pcaobus.org/resources/information-for-audit-firms/information-for-auditors-of-broker-dealer
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https://pcaobus.org/resources/information-for-audit-firms/information-for-auditors-of-broker-dealer
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71
https://www.arnoldporter.com/en/perspectives/advisories/2021/01/sec-proposes-limited-exemptive-relief-for-finders
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https://www.arnoldporter.com/en/perspectives/advisories/2021/01/sec-proposes-limited-exemptive-relief-for-finders
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72
https://www.ecfr.gov/current/title-17/chapter-II/part-248
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https://www.ecfr.gov/current/title-17/chapter-II/part-248
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73
https://www.lexology.com/library/detail.aspx?g=55e64b5a-b124-4462-8ada-e1ba97ae73e6
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https://www.lexology.com/library/detail.aspx?g=55e64b5a-b124-4462-8ada-e1ba97ae73e6
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74
https://www.jonesday.com/en/insights/2013/05/securities-and-exchange-commission-gives-guidance-to-nonus-brokerdealers-through-rule-15a6-faqs
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https://www.jonesday.com/en/insights/2013/05/securities-and-exchange-commission-gives-guidance-to-nonus-brokerdealers-through-rule-15a6-faqs
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75
https://www.brokerdealerlawblog.com/
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https://www.brokerdealerlawblog.com/
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76
https://www.mercatus.org/system/files/peirce_reframing_ch6.pdf
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https://www.mercatus.org/system/files/peirce_reframing_ch6.pdf
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77
https://www.regulationtomorrow.com/us/sec-continues-to-allow-broker-dealers-to-rely-on-investment-advisers-for-customer-kyc-requirements/
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https://www.regulationtomorrow.com/us/sec-continues-to-allow-broker-dealers-to-rely-on-investment-advisers-for-customer-kyc-requirements/
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78
https://www.clearygottlieb.com/news-and-insights/publication-listing/sec-proposes-finders-exemption-from-broker-registration-requirements
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https://www.clearygottlieb.com/news-and-insights/publication-listing/sec-proposes-finders-exemption-from-broker-registration-requirements
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79
https://www.sec.state.ma.us/sct/sctreg/regidx.htm
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https://www.sec.state.ma.us/sct/sctreg/regidx.htm
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80
https://www.sec.gov.ph/reportorial-requirements/corporations-with-secondary-licenses/broker-dealers-in-securities/
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https://www.sec.gov.ph/reportorial-requirements/corporations-with-secondary-licenses/broker-dealers-in-securities/
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81
https://www.vedderprice.com/sec-staff-issues-bulletin-on-standards-of-conduct-for-broker-dealers-and-investment-advisers
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82
https://www.reminger.com/report-842
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https://www.reminger.com/report-842
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83
https://dlr.sd.gov/securities/broker_dealer_licensing.aspx
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https://dlr.sd.gov/securities/broker_dealer_licensing.aspx
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84
https://store.legal.thomsonreuters.com/law-products/Practitioner-Treatises/Broker-Dealer-Operations-Under-Securities-and-Commodities-Law-Vols-23-and-23A-Securities-Law-Series/p/100028195
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85
https://www.dorsey.com/newsresources/publications/client-alerts/2018/04/sec-proposes-broker-dealer-and-investment-adviser
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https://www.dorsey.com/newsresources/publications/client-alerts/2018/04/sec-proposes-broker-dealer-and-investment-adviser
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86
https://www.hflawreport.com/2554576/sec-charges-brokerdealer-with-numerous-violations-of-customer-protection-hypothecation-and-reporting-rules.thtml
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https://www.hflawreport.com/2554576/sec-charges-brokerdealer-with-numerous-violations-of-customer-protection-hypothecation-and-reporting-rules.thtml
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87
https://www.kitces.com/blog/advisors-guide-to-the-secs-final-regulation-best-interest-and-form-crs/
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https://www.kitces.com/blog/advisors-guide-to-the-secs-final-regulation-best-interest-and-form-crs/
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88
https://www.maine.gov/pfr/securities/licensing/index.htm
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https://www.maine.gov/pfr/securities/licensing/index.htm
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89
https://joneskeller.com/sec-adopts-regulation-best-interest-new-standards-for-broker-dealers/
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https://joneskeller.com/sec-adopts-regulation-best-interest-new-standards-for-broker-dealers/
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90
https://www.moundcotton.com/media/sec-regulation-best-interest-a-practical-guide-for-broker-dealers-and-investment-advisers/
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https://www.moundcotton.com/media/sec-regulation-best-interest-a-practical-guide-for-broker-dealers-and-investment-advisers/
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91
https://www.shearman.com/perspectives/2019/06/sec-adopts-broker-dealer-standard-of-care-and-guidance-on-investment-advisers-fiduciary-standard
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https://www.shearman.com/perspectives/2019/06/sec-adopts-broker-dealer-standard-of-care-and-guidance-on-investment-advisers-fiduciary-standard
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92
https://corporate.findlaw.com/finance/sec-posts-broker-dealer-compliance-guide-on-website.html
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93
https://www.darroweverett.com/using-an-unregistered-broker-dealer-for-capital-raising-is-a-risky-proposition/
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https://www.darroweverett.com/using-an-unregistered-broker-dealer-for-capital-raising-is-a-risky-proposition/
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94
https://www.davispolk.com/insights/client-update/sec-proposes-requiring-many-private-funds-and-proprietary-trading-vehicles
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https://www.davispolk.com/insights/client-update/sec-proposes-requiring-many-private-funds-and-proprietary-trading-vehicles
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95
https://ffnews.com/newsarticle/unregistered-broker-dealer-penalties-sec-charges/
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https://ffnews.com/newsarticle/unregistered-broker-dealer-penalties-sec-charges/
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96
https://www.intradyn.com/guidelines-for-finra-sec-17a-4-email-compliance/
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https://www.intradyn.com/guidelines-for-finra-sec-17a-4-email-compliance/
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97
https://portal.ct.gov/DOB/Securities-Licensing/Broker-dealers/Applying-For-Broker-Dealer-Registration-In-Connecticut
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https://portal.ct.gov/DOB/Securities-Licensing/Broker-dealers/Applying-For-Broker-Dealer-Registration-In-Connecticut
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98
https://www.polsinelli.com/publications/how-to-apply-to-register-with-the-sec-and-finra-as-a-broker-dealer-or-ats
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https://www.polsinelli.com/publications/how-to-apply-to-register-with-the-sec-and-finra-as-a-broker-dealer-or-ats
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99
https://www.bakerdonelson.com/SEC-Study-Recommends-Uniform-Fiduciary-Standard-for-Broker-Dealers-and-Investment-Advisers-01-25-2011
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https://www.bakerdonelson.com/SEC-Study-Recommends-Uniform-Fiduciary-Standard-for-Broker-Dealers-and-Investment-Advisers-01-25-2011
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