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Keywords: Records management
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Journal Articles
Adviser recordkeeping requirements
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2006) 7 (1): 43–54.
Published: 01 January 2006
... (a)(11) requires that a separate memorandum be prepared that memorializes the basis of the recommendation. © Company 2006 Records management Financial institutions Securities Legislation United States of America To comply with the requirements of Paragraphs (a)(7) and (a)(11...
