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Davis, 2008 - Google Patents

Summary of selected FINRA Regulatory Notices and Disciplinary Actions: January‐March 2008

Davis, 2008

Document ID
648773699415615810
Author
Davis H
Publication year
Publication venue
Journal of Investment Compliance

External Links

Snippet

Background The Financial Industry Regulatory Authority (FINRA), is the largest non‐ governmental regulator for all securities firms doing business in the USA. All told, FINRA oversees nearly 5,100 brokerage firms, about 173,000 branch offices and more than …
Continue reading at www.emerald.com (other versions)

Classifications

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    • G06Q99/00—Subject matter not provided for in other groups of this subclass

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