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Keywords: Complex products
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (2): 66–89.
Published: 08 June 2012
... 2012, Complex Products: Heightened Supervision of Complex Products; Regulatory Notice 12‐05, January 2012, Customer Account Protection: Verification of Emailed Instructions to Transmit or Withdraw Assets from Customer Accounts; Regulatory Notice 12‐13, March 2012, Best Execution, SEC Approves...
