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Michael F. Lee, Jr. Hatteras Funds, Raleigh, NC

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John Watlington, Merrill Lynch, Raleigh, NC

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Series 66: 9.3.6.3 Describing A Price As “At The Market” If It Is Not

Taken from our Series 66 Online Guide

9.3.6.3 Describing a Price as “At the Market” If It Is Not

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