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Second Circuit: Convertible Note Lenders Not Always Required to Register as a Securities Dealer

7/1/2025 7:53:21 PM

Second Circuit: Convertible Note Lenders Not Always Required to Register as a Securities Dealer

By Melissa Hodgman Peter Linken Amanda Huang

In a significant decision, the U.S. Court of Appeals for the Second Circuit recently affirmed the dismissal of claims alleging that a...

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