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Journal Articles

MSRB publishes 2017 compliance advisory for broker-dealers

Scott R. Anderson, James Audette, Kate S. Poorbaugh

Journal of Investment Compliance (2018) 19 (1): 50–52.

https://doi.org/10.1108/JOIC-02-2018-0007

Published: 08 May 2018

... that the Compliance Advisory highlights as presenting key compliance risks for brokers, dealers and municipal securities dealers. Discusses the factors included in the Compliance Advisory that dealers should consider when evaluating compliance procedures and controls. Findings By highlighting some key compliance...

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Journal Articles

MSRB publishes its first compliance advisory for broker-dealers

Scott R. Anderson, Kate S. Poorbaugh

Journal of Investment Compliance (2016) 17 (3): 49–51.

https://doi.org/10.1108/JOIC-07-2016-0026

Published: 05 September 2016

... that the Compliance Advisory highlights as presenting key compliance risks for brokers, dealers and municipal securities dealers. Discusses the factors included in the Compliance Advisory that dealers should consider when evaluating compliance procedures and controls. Findings By highlighting some key compliance...

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