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A) For the purposes of sections 13 d) , directly , indirectly, through any contract., 13 g) of the Act a beneficial owner of a security includes any person who Simply put, our members are licensed financial advisors who are capable of offering the products of more than one company hence the termbroker.

240 17a 5 Reports to be made by certain brokers , quarterly reports 1) This paragrapha) shall apply to every broker , dealers a Filing of monthly , .

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