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.NEW MEMBER APPLICATION BROKER & MANAGING BROKER LICENSEESSEPTEMBER 2022For Broker Licensees or Managing Broker Licensees joining an existing CAR Affiliated Office. If you are a Managing Broker opening
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Broker-dealer services provided by attorneys involve legal advice and guidance related to securities transactions and regulatory compliance.
Attorneys who provide broker-dealer services are required to file with the appropriate regulatory authorities.
Attorneys must accurately report the details of their broker-dealer services, including client information, transaction specifics, and regulatory compliance measures.
The purpose of broker-dealer services provided by attorneys is to ensure that securities transactions are conducted legally and in compliance with regulatory requirements.
Attorneys providing broker-dealer services must report client information, transaction details, regulatory compliance measures, and any other relevant information.
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