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Regulation R Training

Gene R. Elerding of Manatt, Phelps & Phillips, LLP in Los Angeles has provided us with a nine page review of Regulation R. This review of the broker rules includes a brief history, and details of the key provisions, including:

  • Networking Exception
  • Institutional and High Net Worth Customer Exception
  • Trust and Fiduciary Activities Exception
  • Sweep Accounts and Transactions in Money Market Funds
  • Safekeeping and Custody Exception

First published on 01/01/2001

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