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Letter to the Editor on Branch Exams
wealthmanagement.com
A Cure for Branch Exams During Covid-19
Financial Advisor Magazine
Finra Is Failing on Guidance For Post-Pandemic Branch Examinations
wealthmanagement.com
SEC Holds Firm on June 30 Reg BI Implementation Date
IGNITES (a Financial Times Publication)
COVID 19 Could Potentially Push SEC to Delay Reg BI
wealthmanagement.com
COVID-19 Could Be a Harsh Test for Advisors’ Business Continuity Plans
wealthmanagement.com
The Legal Risks of Failing to Disclose Up-Front Bonuses
Real Assets Adviser Magazine
Roundtable: Modernizing SEC and FINRA regulations?
ThinkAdvisor Magazine
Here's Why to Go With an Outsourced Compliance Pro
Financial Advisor Magazine
Essential Edge Launches OSJ/IBD Branch Compliance Inspection Service
Yahoo Finance
Essential Edge Launches With Mission To Substantially Reduce Broker-Dealer Compliance Risks And Costs
wealthmanagement.com
New Consultancy Goes After Thorny IBD Branch Exams