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An Entity of Type : prov:Entity, within Data Space : webisa.webdatacommons.org associated with source dataset(s)

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  • In addition to including officers, directors, general partners, associated persons or employees of FINRA member firms or any other broker dealer and any agents of a member firm or any other broker/dealer that is engaged in the investment banking or securities business, Rule 5130 also defines ???restricted persons??? to include any immediate family member of a person specified above.
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