Hiler, Bruce; Kuczajda, Thomas; Rabie, Aseel - In: Journal of Investment Compliance 7 (2006) 1, pp. 34-42
Purpose – The purpose of this paper is to describe the exposure and the responsibilities of a broker‐dealer's senior management under NASD's and the NYSE's new rules, emphasizing a regular review of supervisory and compliance systems. Design/methodology/approach – Describes new rules,...