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Bridge over ocean
23 May 2007 Comment Letter

Comment Letter to the U.S. Securities and Exchange Commission Regarding Clarification of “Investment Adviser” and “Broker-Dealer” under Federal Securities Law

  1. Kurt Schacht, JD, CFA

Re: Clarification of “Investment Adviser” and “Broker-Dealer” under Federal Securities Law

Re: Clarification of “Investment Adviser” and “Broker-Dealer” under Federal Securities Law

View Comment Letter
Publisher Information
CFA Institute