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In the wide world of finance, broker-dealers (BDs) and investment advisers (IAs) are considered ‘persons’ in the legal sense, but don’t confuse them with ‘natural persons.’ (Despite sounding ridiculous, as if…it is really easy to do if you’re reading the USA because we normal human beings have a hard time imaginatively thinking of business entities as a person as we read, try it out). What this means is that, legally speaking, ‘person’ can often refer to a broker-dealer or investment adviser ...
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