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INSIGHT: Single Member of Broker-Dealer Not Entitled to Use Broker-Dealer Sourcing in N.Y.

By Open Weaver Banks & Michael Hilkin on May 31, 2019
Posted in New York

In a case of first impression, a New York administrative law judge (ALJ) ruled that a corporate member of a disregarded limited liability company was not permitted to use a special apportionment rule for broker-dealers even though the disregarded entity was a registered broker-dealer.

Read the full article here.

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