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Keywords: Regulatory examinations
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (1): 50–52.
Published: 08 May 2018
.... Licensed re-use rights only Broker-dealer Municipal Securities Rulemaking Board (MSRB) Municipal securities Policies and procedures Compliance risks Regulatory examinations The Municipal Securities Rulemaking Board (“MSRB”) published its 2017 Compliance Advisory for Brokers...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (3): 49–51.
Published: 05 September 2016
... to the municipal securities or advisory activities of the recipient’s employer, with certain exceptions. Broker-dealer Municipal Securities Rulemaking Board (MSRB) Municipal securities Policies and procedures Compliance risks Regulatory examinations Earlier this year, the Municipal Securities...
