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A brokerage firm has a trading department and an investment-banking department. Often the investment-banking department receives material non-public information that would be valuable in advising the firm’s brokerage clients. In order to comply with the Standards, the firm: A. should record the exchange of information between the investment-banking department and the brokerage department. B. must divest one of the departments. C. should restrict employee trading in securities for which the firm is in possession of material non-public information. |