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Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants
SEC/ FINRA Exam and Enforcement; Practical Compliance Considerations In Connection with Supervising Advisory Activity
Cece Baute Mavico, Joseph M. Gallo, John C. Munch, Lisa M. Francomano
Corporate & Securities
Feb. 17, 2016
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SEC/ FINRA Exam and Enforcement; Practical Compliance Considerations In Connecti ...
Broker-Dealer Advisory Services 2016: Current Legal and Compliance Iss ...
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