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: Securities Law Prof Blog

FINRA Proposes to Enhance Oversight of Back-Office Operations

By Securites Lawprof

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FINRA today issued a Regulatory Notice soliciting comments on a rule proposal designed to enhance oversight of broker-dealers' "back-office" operations by expanding registration requirements to individuals engaging in, or supervising, activities related to sales and trading support, and handling of...

Full post as published by Securities Law Prof Blog on May 26, 2010 (boomark / email).

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