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Protected "Unregistered Broker-dealers" ([Edit=Allow only administrators] (indefinite) [Move=Allow only administrators] (indefinite))

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→‎SEC Enforcement Actions

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→‎SEC Fines Florida-based Mining Corp. $8.5 Million

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→‎SEC Enforcement Action Against Offshore Broker-Dealers

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→‎SEC Enforcement Action Against Private Equity Fund

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Created page with "Under Section 15 of the Securities Exchange Act of 1934, most “brokers” and “dealers” must register with the SEC. A “broker” is defined broadly as “any person (..."