Supervisory obligations of broker‐dealer legal and compliance personnel after the Urban case
Year of publication: |
2012
|
---|---|
Authors: | Blanc, Roger D. ; Kramer, Howard L. ; Miller, Martin R. ; Comstock, Matthew B. |
Published in: |
Journal of Investment Compliance. - Emerald Group Publishing Limited, ISSN 1758-7476, ZDB-ID 2048718-6. - Vol. 13.2012, 2, p. 40-43
|
Publisher: |
Emerald Group Publishing Limited |
Subject: | Securities and Exchange Commission | Broker‐dealer | Supervisory responsibilities | Registered representative | Regulation | Investments |
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