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What are the ramifications of the violation to the individual, the firm, the client, and the profession when Sections 4C1 and 21C of the Securities
What are the ramifications of the violation to the individual, the firm, the client, and the profession when Sections 4C1 and 21C of the Securities Exchange Act of 1934 (Exchange Act) and Rule 102(e)(1)(ii) and Rule 102(e)(1)(iii) of the Commissions Rules of Practice.2 is violated ?
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