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Industry News & TrendsThe Broker-Dealer Exemption: Good or Bad for the Investing Public? (Oy, This Still Hasn’t Been Resolved?)The Broker-Dealer Exemption: Good or Bad for the Investing Public? (Oy, This Still Hasn’t Been Resolved?)
Today, the SEC announced that it would officially conduct a study to see if allowing the so-called “Merrill exemption” did in fact confuse retail investors or not. So, the exemption is again being investigated.
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