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SEC raises broker-dealer exemption threshold for Exchange Act risk assessment rules to $100 million
A “non-carrying broker-dealer,” or one whom holds specific exemptions from Rule 15c3-3, is exempt from Rules 17h-1T and 17h-2T if threshold requirements are met.
A “non-carrying broker-dealer,” or one whom holds specific exemptions from Rule 15c3-3, is exempt from Rules 17h-1T and 17h-2T if threshold requirements are met.
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