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Wedbush Securities Inc.
Wedbush Did Not Conduct a Reasonable Inquiry 7. Section 4(a)(4) of the Securities Act exempts from the registration requirements of Section 5 “brokers’ transactions executed upon customers’ orders on any exchange or in the over-the-counter market but not the solicitation of such orders.” 15 U.S.C. § 77d(4). Rule 144(g)(4)
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