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starfire

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starfire

Re: cowtown jay post# 294414

Sunday, 02/14/2010 5:20:18 AM

Sunday, February 14, 2010 5:20:18 AM

Post# of 346921

Does that mean that the application will be denied if the answer is "yes?"



I believe, if the answer is 'yes', then the MM has to be doubly sure that the filings are accurate and the MM is responsible to convince FINRA of that fact. I would think a SEC stamp of approval regarding the accuracy of filings should suffice. Hoping for the best!
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