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Academic

: Securities Law Prof Blog

SEC Extends Temporary Rule on Dual Registrants' Principal Trades

By Securites Lawprof

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The SEC amended rule 206(3)-3T under the Investment Advisers Act of 1940, a temporary rule that establishes an alternative means for investment advisers who are registered with the Commission as broker-dealers to meet the requirements of section 206(3) of the...

Full post as published by Securities Law Prof Blog on December 28, 2010 (boomark / email).

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