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For the broker-dealer provisions to be applicable, the statute requires the taxpayer to be a registered securities or commodities broker-dealer, as defined to mean a broker or dealer registered as such by the Securities and Exchange Commission (SEC) or the Commodities Futures Trading Commission (CFTC).
20, 2013), the DTF concluded that an SMLLC that is treated for tax purposes as a disregarded entity is a registered securities broker-dealer, and that its single member should be treated as a registered broker-dealer for purposes of the allocation rules under NYTL section 210.
Predominantly, these obligations include financial covenant protections, yield maintenance provisions, and reporting requirements associated with publicly registered securities,' said Innes.
Finally, as registered securities, REIT bonds offer investors SEC oversight under the requirements of the Securities and Exchange Act of 1934, which outlines periodic reporting requirements including the mandatory filing of issuer specific financial reports.
OB), of New York City are not registered securities, and that only a number of shares equal to 1% (currently 653,000) of Power3's outstanding may be "leaked out" every 90 days, pursuant to an exemption from registration upon certain conditions.
TDSC"), a registered securities broker-dealer and member of the National Association of Securities Dealers, Inc.
Before making a purchase or sale of any securities featured on our website or mentioned in our financial publications, we strongly encourage and recommend consultation with a registered securities representative.

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