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Investment Funds › Broker-Dealer › Registration

Troutman Pepper

Cease and Desist Proceedings Against an Asset Manager for Acting as an Unlicensed Broker-Dealer

Troutman Pepper on

Industry participants are well-advised to review their practices to ensure compliance with the Advisers Act, and the SEC’s and SEC’s Staff’s interpretations of when registration as a broker-dealer is required....more

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