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These are regulations that outline the record keeping and bookkeeping requirements for broker-dealers registered with the SEC in the United States. The rules are part of the Securities Exchange Act (SEA) of 1934 and aim to promote transparency, accountability, and investor protection.
We need to make sure the SPV, and the IRA product provides this compliance.
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These are regulations that outline the record keeping and bookkeeping requirements for broker-dealers registered with the SEC in the United States. The rules are part of the Securities Exchange Act (SEA) of 1934 and aim to promote transparency, accountability, and investor protection.
We need to make sure the SPV, and the IRA product provides this compliance.
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