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Keywords: Inspection
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Journal Articles
Heightened supervision of branch offices
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (2): 18–21.
Published: 06 July 2015
...Daniel A. Nathan; Lauren Navarro; Kevin Matta Purpose – To explain expectations of the US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) as to what constitutes successful branch inspection programs for broker-dealers. Design/methodology/approach...
