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Guidance

July 2, 2019 //  by admin

Here are some links to regulatory guidance that helps us shape our approach to serving our clients. Broker-Dealer Branch Inspections Deploying our branch examiners will help you execute on practices outlined by FINRA in its National Examination Risk Alert, which recommends: Using highly experienced branch officers with industry expertise and the capacity to challenge assumptions …

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Contact us to discuss
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Beth C. Barak
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Sander J. Ressler
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