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: Securities Law Prof Blog

NASAA Identifies Most Common Deficiencies in Broker-Dealer Compliance

By Securites Lawprof

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NASAA posted on its website its 2010 Broker-Dealer Coordinated Examination Report, which identifies the top compliance deficiencies and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures. David Massey,...

Full post as published by Securities Law Prof Blog on October 12, 2010 (boomark / email).

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