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SIFMA › Broker-Dealer › Anti-Money Laundering

Katten Muchin Rosenman LLP

SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification...

Katten Muchin Rosenman LLP on

The Securities and Exchange Commission has extended a no-action letter dated February 12, 2004 (the 2004 Letter) from the Securities Industry Financial Markets Association (SIFMA) that permits broker-dealers, subject to...more

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