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Saturday, 08/30/2014 12:04:24 AM

Saturday, August 30, 2014 12:04:24 AM

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The OTC market and broker-dealers’ activities in the market are regulated by The Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission (SEC) and various state securities regulators. In addition, companies with SEC-registered securities are regulated by the SEC.

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