Dcs1076701 finra and sec priorities overview

And broker dealer surveillance and reporting of... broker dealers have controls in place that address the... dcs1076701 finra and sec priorities overview.pptx...

Broker-dealer controls regarding retail sales of ...

. by the office of compliance inspections and examinations ("ocie") 1. volume iv, issue 7 august 24, 2015. broker-dealer controls regarding retail

Forex transactions: a regulatory guide - nfa

A regulatory guide….. a dealer is any person that holds itself out as a dealer in forex or in retail commodity... a broker-dealer registered with the u.s...

The prime brokerage industry - kpmg | us

The prime brokerage industry is ever expanding... and controls. one prime broker... of the aicpa broker-dealer expert panel...

#23 retail sale of non deposit products - texas

Rf23 retail sales of non-deposit prod... procedures and internal controls regarding... if the activity is conducted through a third-party broker/dealer...

Key issues for broker-dealers - grant thornton llp

Highlights from grant thornton llp's broker-dealer industry roundtable key issues for broker-dealers on may 11, 2011... † controls around direct market access.

Broker-dealer supervision: a new paradigm - suny

Broker-dealer supervision: a new paradigm... best execution to its retail customers... "the regulatory focus on broker-dealer legal and compliance


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