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Research Center : Article

Mar 11,2010 | Thomson Reuters/Securities Regulation Law Journal

Some Comments on the Pre-Clearance Procedure

In our article “FINRA Reminds Securities Broker-Dealers Of Their Duty Of Due Diligence To Prevent The Public Resale Of ‘Unregistered Securities’ ’’ (Vol 37 Issue 3 Securities Regulation Law Journal 6 at pp. 293–302), we discussed the duty of securities broker-dealers to exercise due diligence to prevent the public resale of “unregistered securities.”

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