In line with the SEC’s recent barrage of enforcement actions targeting the crypto industry, the reopening validated concerns voiced in comments to the initial proposal. The SEC notes in the reopening release that its purpose is to address the potential effects of the proposed amendments to Rule 3b-16 on...
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These forms of investors often deal with a large amount of cash for investment but do not have the internal resources to manage the investments on their own. A prime broker is a funds main account whereas an executing broker is another broker a fund deals with that will...
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