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FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know
13 Jan 2022, 10:04 am by Glen Barrentine (US)
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know
8 Dec 2021, 8:02 am by Glen Barrentine (US)
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/