Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Friday, March 21, 2014

SEC and FINRA to Host Regional Compliance Outreach Programs for Broker-Dealers

By Eric C. Chaffee

Details available here.

https://lawprofessors.typepad.com/securities/2014/03/sec-and-finra-to-host-regional-compliance-outreach-programs-for-broker-dealers.html

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