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Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants
Practical Compliance Considerations for Dual Registrants Regarding Navigating the SEC and FINRA’s Advertising Rules (February 19, 2014)
Clifford E. Kirsch, John C. Munch
Corporate & Securities
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Practical Compliance Considerations for Dual Registrants Regarding Navigating th ...
Broker-Dealer Advisory Services 2015: Current Legal and Compliance Iss ...
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