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Navigating Dealer Status After SEC Settlement With Adviser, Law360

September 16, 2021

Following the US Securities and Exchange Commission's recent settlement with Murchinson over allegations the investment adviser caused a hedge fund to act as an unregistered dealer, hedge funds should reassess their trading practices to avoid triggering SEC and Financial Industry Regulatory Authority dealer registration requirements, write partners Ignacio Sandoval and Steven Stone in an article published by Law360.

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