Wall Street grapples with defeat of rule, uncertain of its effects
The securities industry is coming to grips with the defeat of the broker-dealer exemption rule.
IRVINE, Calif. — The securities industry is coming to grips with the defeat of the broker-dealer exemption rule.
If the Securities and Exchange Commission doesn’t act quickly, the U.S. Court of Appeals for the District of Columbia Circuit’s ruling that the SEC doesn’t have
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