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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2010) 11 (3): 20–24.
Published: 14 September 2010
...Michael R. Weissmann; Paul M. Tyrrell Purpose The purpose of this paper is to explain FINRA's proposed new registration category, qualification examination, and continuing education requirements for certain back office and operations personnel, as published in Regulatory Notice 10‐25, which would...
