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4 Considerations to Meet FINRA & SEC Regulations

White Paper Published By: Smarsh
Smarsh
Published:  Dec 07, 2016
Type:  White Paper
Length:  4 pages

To meet the requirements of FINRA & SEC, you must first understand what they require of investment firms and organizations. Better yet, you must understand what is classified as a violation of those rules, then put practices in play that mitigate the risk and position you as an active advocate for complianceó not a violator or passive enabler for non-compliant activity.



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