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Daniel Nathan
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Journal Articles
In or out? – the CFTC explains when virtual currencies come within its jurisdiction
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2020) 21 (2-3): 167–169.
Published: 25 November 2020
Journal Articles
More of an SRO – FINRA unveils its priorities for 2018
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (1): 39–41.
Published: 08 May 2018
Journal Articles
FINRA gives member firms a thumbs up on suitability rule compliance
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (4): 34–37.
Published: 25 November 2013
