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The federal securities laws empower the Securities and Exchange Commission (SEC) with broad authority over all aspects of the securities industry. The …See more
I am a registered broker-dealer, and I have determined that I have no retail investors to whom I must deliver a relationship summary. Am I required to prepare and file one?
A:
No. If your firm does not have any retail investors to whom it must deliver a relationship summary, you are not required to prepare or file a relationship summary...
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