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What are the reporting obligations in transactions involving hedge funds that are subsidiaries of a registered B/D?

April 26, 2017funds hedge involving obligations registered subsidiaries transactions

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What are the reporting obligations in transactions involving hedge funds that are subsidiaries of a registered B/D?

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If the hedge funds have registered as FINRA members, or are FINRA member subsidiaries of a registered B/D, they are subject to the same dual-side reporting obligation under the Rule 6200 series as any other member firm.