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The experts answering the questions are attorneys from Barton Barton & Plotkin's Securities Regulatory Group, a law firm located in New York. Attorneys in its Securities Regulatory Group counsel and represent a wide range of clients engaged in the securities industry that provide brokerage, investment banking and investment advisory services, including full service broker-dealers, discount brokers, exchange specialists, direct access and floor brokerage firms, hedge funds, investment managers, funds, and banks.

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