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Google Keyword Rankings for : top broker dealers 2010
1
https://data.investmentnews.com/apps/index.php/broker-dealer-data/rankings
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https://data.investmentnews.com/apps/index.php/broker-dealer-data/rankings
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2
https://www.thinkadvisor.com/advisorone/files/ckeditor/IA0611_BDDirectory.pdf
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https://www.thinkadvisor.com/advisorone/files/ckeditor/IA0611_BDDirectory.pdf
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3
https://www.prnewswire.com/news-releases/financial-planning-magazine-releases-the-top-50-independent-broker-dealers-124496373.html
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https://www.prnewswire.com/news-releases/financial-planning-magazine-releases-the-top-50-independent-broker-dealers-124496373.html
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4
http://www.investorprotection.com/blog/2011/01/03/2010-a-bad-year-for-brokerdealers/
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http://www.investorprotection.com/blog/2011/01/03/2010-a-bad-year-for-brokerdealers/
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5
https://www.sec.gov/news/studies/2011/913studyfinal.pdf
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https://www.sec.gov/news/studies/2011/913studyfinal.pdf
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6
https://www.goskagit.com/mckeon-financial-earns-a-spot-in-broker-dealers-top-30-producers-for-2010-second-year/article_1894eaa5-26d9-5e0e-8301-a99178978033.html
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https://www.goskagit.com/mckeon-financial-earns-a-spot-in-broker-dealers-top-30-producers-for-2010-second-year/article_1894eaa5-26d9-5e0e-8301-a99178978033.html
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7
https://www.reuters.com/article/us-brokerages-marketshare/wealth-managers-lost-14000-advisers-in-2010-report-idUSTRE77O6J820110825
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https://www.reuters.com/article/us-brokerages-marketshare/wealth-managers-lost-14000-advisers-in-2010-report-idUSTRE77O6J820110825
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8
https://www.wealthmanagement.com/blog/brokerdealer-challenges-shift-2010
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https://www.wealthmanagement.com/blog/brokerdealer-challenges-shift-2010
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9
https://www.prosperafinancial.com/prospera-financial-services-takes-two-top-spots-in-investmentnews-broker-dealer-rankings/
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https://www.prosperafinancial.com/prospera-financial-services-takes-two-top-spots-in-investmentnews-broker-dealer-rankings/
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10
https://www.finra.org/rules-guidance/guidance/reports-studies/2020-industry-snapshot/firm-data
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https://www.finra.org/rules-guidance/guidance/reports-studies/2020-industry-snapshot/firm-data
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11
https://www.investor.gov/introduction-investing/investing-basics/role-sec/laws-govern-securities-industry
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https://www.investor.gov/introduction-investing/investing-basics/role-sec/laws-govern-securities-industry
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12
https://www.visionwmla.com/our-broker-dealer-ria
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https://www.visionwmla.com/our-broker-dealer-ria
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13
https://www.nasaa.org/1510/nasaa-identifies-top-broker-dealer-compliance-deficiencies/
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https://www.nasaa.org/1510/nasaa-identifies-top-broker-dealer-compliance-deficiencies/
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14
https://www.clearygottlieb.com/-/media/organize-archive/cgsh/files/publication-pdfs/fiduciary-duties-broker-dealers-and-sophisticated-clients-a-mis-match-that-could-only-be-made-in-washington.pdf
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https://www.clearygottlieb.com/-/media/organize-archive/cgsh/files/publication-pdfs/fiduciary-duties-broker-dealers-and-sophisticated-clients-a-mis-match-that-could-only-be-made-in-washington.pdf
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15
https://www.nationwideplanning.com/files/pershing_brochure.pdf
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https://www.nationwideplanning.com/files/pershing_brochure.pdf
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16
https://www.cerulli.com/press-releases/consolidation-in-the-u.s.-broker-dealer-channel-continues-apace
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https://www.cerulli.com/press-releases/consolidation-in-the-u.s.-broker-dealer-channel-continues-apace
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17
https://www.newyorkfed.org/markets/primarydealers
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https://www.newyorkfed.org/markets/primarydealers
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18
https://www.bostonfed.org/-/media/Documents/events/2022/0106/Adam-Copeland-Cecilia-Caglio-Antoine-Martin-The-Value-of-Internal-Sources-of-Funding-Liquidity.pdf?la=en
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https://www.bostonfed.org/-/media/Documents/events/2022/0106/Adam-Copeland-Cecilia-Caglio-Antoine-Martin-The-Value-of-Internal-Sources-of-Funding-Liquidity.pdf?la=en
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19
https://www.protectedinvestors.com/services-and-partners
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https://www.protectedinvestors.com/services-and-partners
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20
https://en.wikipedia.org/wiki/Cetera_Financial_Group
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https://en.wikipedia.org/wiki/Cetera_Financial_Group
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21
https://s3.us-east-1.amazonaws.com/cerulli-website-assets/documents/Info-Packs/2021/Cerulli-US-Broker-Dealer-Marketplace-2021-Information-Packet.pdf
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https://s3.us-east-1.amazonaws.com/cerulli-website-assets/documents/Info-Packs/2021/Cerulli-US-Broker-Dealer-Marketplace-2021-Information-Packet.pdf
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22
https://www.businesswire.com/news/home/20180904005792/en/Cambridge-Named-2018-Broker-Dealer-of-the-Year
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https://www.businesswire.com/news/home/20180904005792/en/Cambridge-Named-2018-Broker-Dealer-of-the-Year
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23
https://www.brookings.edu/research/dwindling-numbers-in-the-financial-industry/
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https://www.brookings.edu/research/dwindling-numbers-in-the-financial-industry/
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24
https://www.sipc.org/about-sipc/history
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https://www.sipc.org/about-sipc/history
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25
https://www.fincen.gov/resources/statutes-regulations/guidance/sharing-suspicious-activity-reports-securities-broker
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https://www.fincen.gov/resources/statutes-regulations/guidance/sharing-suspicious-activity-reports-securities-broker
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26
https://www.stonepathwm.com/our-broker-dealer/
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https://www.stonepathwm.com/our-broker-dealer/
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27
https://www.bis.org/publ/work301.pdf
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https://www.bis.org/publ/work301.pdf
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28
https://corpgov.law.harvard.edu/2015/12/26/sec-enforcement-actions-against-broker-dealers/
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https://corpgov.law.harvard.edu/2015/12/26/sec-enforcement-actions-against-broker-dealers/
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29
https://www.clearviewadvisorspa.com/p/our-broker-dealer-cambridge
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https://www.clearviewadvisorspa.com/p/our-broker-dealer-cambridge
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30
https://www.ecfr.gov/current/title-31/subtitle-B/chapter-X/part-1023
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https://www.ecfr.gov/current/title-31/subtitle-B/chapter-X/part-1023
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31
https://www.risk.net/topics/broker-dealers?page=2
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https://www.risk.net/topics/broker-dealers?page=2
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32
https://www.facebook.com/valueofadvice/photos/a.10151104448938692/10152170164538692/?type=3
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https://www.facebook.com/valueofadvice/photos/a.10151104448938692/10152170164538692/?type=3
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33
https://www.ifprofessionals.com/our-broker-dealer
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https://www.ifprofessionals.com/our-broker-dealer
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34
https://www.ici.org/pdf/24266.pdf
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https://www.ici.org/pdf/24266.pdf
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35
https://www.imf.org/external/pubs/ft/fandd/2010/03/dodd.htm
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https://www.imf.org/external/pubs/ft/fandd/2010/03/dodd.htm
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36
https://ifgsd.com/ibd-elite-2021/
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https://ifgsd.com/ibd-elite-2021/
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37
https://fcic-static.law.stanford.edu/cdn_media/fcic-testimony/2010-0505-Sirri.pdf
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https://fcic-static.law.stanford.edu/cdn_media/fcic-testimony/2010-0505-Sirri.pdf
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38
http://www.ing.com/Newsroom/News/Press-releases/PROld/ING-closes-sale-of-three-of-its-U.S.-broker-dealers.htm
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http://www.ing.com/Newsroom/News/Press-releases/PROld/ING-closes-sale-of-three-of-its-U.S.-broker-dealers.htm
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39
https://www.cetera.com/cetera-glance
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https://www.cetera.com/cetera-glance
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40
https://www.statista.com/statistics/322550/leading-independent-broker-dealers-usa-by-assets/
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https://www.statista.com/statistics/322550/leading-independent-broker-dealers-usa-by-assets/
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41
https://www.montroseparkadvisors.com/cambridge
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https://www.montroseparkadvisors.com/cambridge
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42
https://www.jstor.org/stable/41806629
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https://www.jstor.org/stable/41806629
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43
https://information.pershing.com/rs/651-GHF-471/images/per-broker-dealer-of-the-future-ii-part-two.pdf
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https://information.pershing.com/rs/651-GHF-471/images/per-broker-dealer-of-the-future-ii-part-two.pdf
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44
https://pcaobus.org/news-events/speeches/speech-detail/a-story-that-will-not-tell-itself-the-pcaob-s-role-in-the-protection-of-customers-of-broker-dealers
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https://pcaobus.org/news-events/speeches/speech-detail/a-story-that-will-not-tell-itself-the-pcaob-s-role-in-the-protection-of-customers-of-broker-dealers
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45
https://www.davispolk.com/sites/default/files/whats_a_broker_dealer_2.pdf
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https://www.davispolk.com/sites/default/files/whats_a_broker_dealer_2.pdf
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46
https://www.gao.gov/assets/a314689.html
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https://www.gao.gov/assets/a314689.html
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47
https://www.govinfo.gov/content/pkg/FR-2010-09-20/html/2010-23385.htm
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https://www.govinfo.gov/content/pkg/FR-2010-09-20/html/2010-23385.htm
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48
https://www.lawrencekaminlaw.com/wp-content/uploads/2018/07/2010-Broker-Dealer-Regulation.pdf
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https://www.lawrencekaminlaw.com/wp-content/uploads/2018/07/2010-Broker-Dealer-Regulation.pdf
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49
https://www.familywealthreport.com/article.php?id=193214
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https://www.familywealthreport.com/article.php?id=193214
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50
https://clearingcustody.fidelity.com/app/proxy/content?literatureURL=/9882259.PDF
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https://clearingcustody.fidelity.com/app/proxy/content?literatureURL=/9882259.PDF
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51
https://www.bullsfinancialgroup.com/Our-Partners.18.htm
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https://www.bullsfinancialgroup.com/Our-Partners.18.htm
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52
https://www.boycefinancialgroup.com/p/about-cetera
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https://www.boycefinancialgroup.com/p/about-cetera
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53
https://www.annualreports.com/HostedData/AnnualReportArchive/l/NASDAQ_LPLA_2010.pdf
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https://www.annualreports.com/HostedData/AnnualReportArchive/l/NASDAQ_LPLA_2010.pdf
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54
https://law.justia.com/codes/indiana/2010/title23/ar19/ch4.html
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https://law.justia.com/codes/indiana/2010/title23/ar19/ch4.html
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55
https://ncua.gov/regulation-supervision/letters-credit-unions-other-guidance/sales-nondeposit-investments
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https://ncua.gov/regulation-supervision/letters-credit-unions-other-guidance/sales-nondeposit-investments
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56
https://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-17
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https://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-17
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57
https://www.gwadvisors.net/who/our-broker-dealer/
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https://www.gwadvisors.net/who/our-broker-dealer/
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58
https://henschenassoc.com/indie-winners-americas-top-independent-brokerages/
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https://henschenassoc.com/indie-winners-americas-top-independent-brokerages/
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59
https://www.aretewealth.com/who-we-are/
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https://www.aretewealth.com/who-we-are/
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60
http://static.fmgsuite.com/media/documents/2f339fcb-78de-4113-9b2a-8f2f789f03d2.pdf
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http://static.fmgsuite.com/media/documents/2f339fcb-78de-4113-9b2a-8f2f789f03d2.pdf
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61
https://money.cnn.com/news/newsfeeds/articles/marketwire/0663796.htm
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https://money.cnn.com/news/newsfeeds/articles/marketwire/0663796.htm
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62
https://www.financial-planning.com/news/independent-brokerages-with-financial-advisory-services-account-for-a-growing-share-of-the-retail-wealth-management-marketplace-cerulli-associates-says
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https://www.financial-planning.com/news/independent-brokerages-with-financial-advisory-services-account-for-a-growing-share-of-the-retail-wealth-management-marketplace-cerulli-associates-says
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63
https://www.investopedia.com/terms/f/finra.asp
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https://www.investopedia.com/terms/f/finra.asp
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64
https://www.thefreelibrary.com/2010+broker%2Fdealer+resource+guide.-a0229067913
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https://www.thefreelibrary.com/2010+broker%2Fdealer+resource+guide.-a0229067913
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65
https://www.federalreserve.gov/monetarypolicy/bst_lendingprimary.htm
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https://www.federalreserve.gov/monetarypolicy/bst_lendingprimary.htm
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66
https://www.joincambridge.com/about-cambridge/news/cambridge-honored-as-13-time-broker-dealer-of-the-year-2020/
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https://www.joincambridge.com/about-cambridge/news/cambridge-honored-as-13-time-broker-dealer-of-the-year-2020/
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67
https://www.bakerdatacounsel.com/ftc/sec-scrutinizes-use-of-fintech-by-broker-dealers-and-investment-advisers/
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https://www.bakerdatacounsel.com/ftc/sec-scrutinizes-use-of-fintech-by-broker-dealers-and-investment-advisers/
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68
https://portal.ct.gov/DOB/Securities-Bulletin/2010/Fall-2010-Securities-Bulletin
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https://portal.ct.gov/DOB/Securities-Bulletin/2010/Fall-2010-Securities-Bulletin
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69
https://www.sifma.org/people/laura-pruitt/
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https://www.sifma.org/people/laura-pruitt/
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70
https://www.financialplanningassociation.org/sites/default/files/2020-09/JUL12%20JFP%20Finke.pdf
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https://www.financialplanningassociation.org/sites/default/files/2020-09/JUL12%20JFP%20Finke.pdf
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71
https://www.bankofcanada.ca/wp-content/uploads/2018/07/investment-dealer.pdf
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https://www.bankofcanada.ca/wp-content/uploads/2018/07/investment-dealer.pdf
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72
https://www.basecuritiesllc.com/
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https://www.basecuritiesllc.com/
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73
https://3dujp92rvec2pc3lg47bwhw1-wpengine.netdna-ssl.com/assets/2013/03/Choosing_Independence.pdf
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https://3dujp92rvec2pc3lg47bwhw1-wpengine.netdna-ssl.com/assets/2013/03/Choosing_Independence.pdf
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74
https://www.investmentfundlawblog.com/category/broker-dealers/page/4/
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https://www.investmentfundlawblog.com/category/broker-dealers/page/4/
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75
https://www.americanbanker.com/news/independent-broker-dealers-post-top-line-improvement
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https://www.americanbanker.com/news/independent-broker-dealers-post-top-line-improvement
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76
https://www.speedroute.com/about
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https://www.speedroute.com/about
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77
https://www.corecls.com/knowledge-center/broker-dealers/
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https://www.corecls.com/knowledge-center/broker-dealers/
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78
https://www.willkie.com/-/media/files/publications/2010/01/further-sec-action-on-market-structure-issues/files/further-sec-action-on-market-structure-issuespdf/fileattachment/further-sec-action-on-market-structure-issues.pdf
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https://www.willkie.com/-/media/files/publications/2010/01/further-sec-action-on-market-structure-issues/files/further-sec-action-on-market-structure-issuespdf/fileattachment/further-sec-action-on-market-structure-issues.pdf
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79
https://www.morganlewis.com/-/media/files/publication/presentation/speech/retail_brokerage_and_advisory_issues-sifma_new-york_fall_compliance-2010_seminar.pdf
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https://www.morganlewis.com/-/media/files/publication/presentation/speech/retail_brokerage_and_advisory_issues-sifma_new-york_fall_compliance-2010_seminar.pdf
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80
https://www.jackolg.com/legal-risk-management-tips/what-transitioning-advisors-need-to-know-about-broker-protocol/
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https://www.jackolg.com/legal-risk-management-tips/what-transitioning-advisors-need-to-know-about-broker-protocol/
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81
https://www.macrotrends.net/stocks/charts/BGCP/bgc-partners/revenue
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https://www.macrotrends.net/stocks/charts/BGCP/bgc-partners/revenue
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82
https://www.littmankrooks.com/2010/12/heads-up-for-broker-dealers-conducting-private-placements/
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https://www.littmankrooks.com/2010/12/heads-up-for-broker-dealers-conducting-private-placements/
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83
https://www.haynesboone.com/people/domina-daren.pdf
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https://www.haynesboone.com/people/domina-daren.pdf
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84
https://www.gibsondunn.com/2010-mid-year-securities-enforcement-update/
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https://www.gibsondunn.com/2010-mid-year-securities-enforcement-update/
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85
https://www.srz.com/images/content/6/6/v2/66776/022812-US-Securities-Regulators-Issue-Guidance-on-Master-Sub-Acc.pdf
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https://www.srz.com/images/content/6/6/v2/66776/022812-US-Securities-Regulators-Issue-Guidance-on-Master-Sub-Acc.pdf
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86
https://www.sechistorical.org/collection/programs/sechistorical-092910-transcript.pdf
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https://www.sechistorical.org/collection/programs/sechistorical-092910-transcript.pdf
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87
https://www.fa-mag.com/userfiles/0000002019_IMAGES_ALL/FA_ISSUES_2019/04_FA_APRIL_2019/BD_Ranking_Online_2019_Expanded_1.pdf
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https://www.fa-mag.com/userfiles/0000002019_IMAGES_ALL/FA_ISSUES_2019/04_FA_APRIL_2019/BD_Ranking_Online_2019_Expanded_1.pdf
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88
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