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: Securities Law Prof Blog

NASAA Examinations Find Problem Areas for Investment Advisers

By Securites Lawprof

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NASAA today released an updated series of recommended best practices that investment advisers should consider in order to improve their compliance practices and procedures. The best practices were developed after a series of coordinated examinations of investment advisers by 35...

Full post as published by Securities Law Prof Blog on September 29, 2009 (boomark / email).

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