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Fed Regulatory Acts, and a Bunch of Terms to Remember… Drill

  • 1.

    The entity responsible for purchasing securities from the issuer with the intent to sell to the public is the

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  • 11.

    Based on reports, a manager of a brokerage suspects that a customer of one of his brokers is laundering money, but he doesn't take any action. In a subsequent investigation, who might be found guilty of money laundering?