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Does a broker-dealer have to provide notification in accordance with Rule 504 to another broker-dealer with whom it is associated?

April 26, 2017accordance associated broker-dealer NOTIFICATION rule

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Does a broker-dealer have to provide notification in accordance with Rule 504 to another broker-dealer with whom it is associated?

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Yes. A broker-dealer must provide a Rule 504 notification to any person with whom that broker-dealer is associated who publishes, circulates, or provides research reports, including another broker-dealer.