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Google Keyword Rankings for : broker dealer supervisory controls
1
https://www.finra.org/rules-guidance/rulebooks/finra-rules/3120
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https://www.finra.org/rules-guidance/rulebooks/finra-rules/3120
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2
https://www.sia-partners.com/en/news-and-publications/from-our-experts/does-your-broker-dealer-have-adequate-supervisory-system
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https://www.sia-partners.com/en/news-and-publications/from-our-experts/does-your-broker-dealer-have-adequate-supervisory-system
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3
https://prfirmpwwwcdn0001.azureedge.net/prfirmstgacctpwwwcdncont0001/uploads/c7287e6e5ce0d8a8a112f96444f86529.pdf
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4
https://www.oysterllc.com/what-we-think/supervisory-controls-testing-is-rule-3120-on-your-to-do-list/
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https://www.oysterllc.com/what-we-think/supervisory-controls-testing-is-rule-3120-on-your-to-do-list/
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5
https://media.financialservices.org/wp-content/uploads/2019/05/IBD-Supervision-White-Paper.pdf
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https://media.financialservices.org/wp-content/uploads/2019/05/IBD-Supervision-White-Paper.pdf
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6
https://www.sec.gov/rules/final/2010/34-63241.pdf
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https://www.sec.gov/rules/final/2010/34-63241.pdf
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7
https://www.quadrantregulatory.com/broker-dealers
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https://www.quadrantregulatory.com/broker-dealers
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8
https://media.cmsmax.com/akn9ft03zpfmps3dbkuzp/bd-wsp-may-2021.pdf
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https://media.cmsmax.com/akn9ft03zpfmps3dbkuzp/bd-wsp-may-2021.pdf
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9
https://www.dechert.com/knowledge/onpoint/2022/4/supervisory-liability-for-ccos-under-finra-rule-3110.html
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https://www.dechert.com/knowledge/onpoint/2022/4/supervisory-liability-for-ccos-under-finra-rule-3110.html
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10
https://www.law.cornell.edu/cfr/text/17/240.15c3-5
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https://www.law.cornell.edu/cfr/text/17/240.15c3-5
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11
https://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-27
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https://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-27
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12
https://www.sifma.org/wp-content/uploads/2017/05/sifma-submits-comments-to-the-sec-on-proposed-new-finra-rules-on-supervision-and-supervisory-control-systems.pdf
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https://www.sifma.org/wp-content/uploads/2017/05/sifma-submits-comments-to-the-sec-on-proposed-new-finra-rules-on-supervision-and-supervisory-control-systems.pdf
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13
https://financialinstitutions.bakermckenzie.com/2022/03/21/finra-clarifies-that-unless-expressly-designated-ccos-are-not-responsible-for-supervision/
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https://financialinstitutions.bakermckenzie.com/2022/03/21/finra-clarifies-that-unless-expressly-designated-ccos-are-not-responsible-for-supervision/
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14
https://www.wcm.oneamerica.com/wps/wcm/connect/a4dc9f93-fe73-4855-8985-e009337d857e/07-12-2021+WSPs.pdf?MOD=AJPERES&CACHEID=ROOTWORKSPACE-a4dc9f93-fe73-4855-8985-e009337d857e-nGwf-Ac
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https://www.wcm.oneamerica.com/wps/wcm/connect/a4dc9f93-fe73-4855-8985-e009337d857e/07-12-2021+WSPs.pdf?MOD=AJPERES&CACHEID=ROOTWORKSPACE-a4dc9f93-fe73-4855-8985-e009337d857e-nGwf-Ac
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15
https://www.secadvisors.com/sca-services/broker-dealer/sca-supervisory-control-program/
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https://www.secadvisors.com/sca-services/broker-dealer/sca-supervisory-control-program/
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16
https://www.kestrafinancial.com/ac/-/media/project/advisorcomplete/documents/compliance/bd_written_supervisory_procedures.pdf
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https://www.kestrafinancial.com/ac/-/media/project/advisorcomplete/documents/compliance/bd_written_supervisory_procedures.pdf
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17
https://www.lawrencekaminlaw.com/wp-content/uploads/2019/03/35Broker-DealerSupervisionandSurveillance.pdf
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https://www.lawrencekaminlaw.com/wp-content/uploads/2019/03/35Broker-DealerSupervisionandSurveillance.pdf
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18
https://www.tradersmagazine.com/departments/regulation/put-it-in-writing/
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https://www.tradersmagazine.com/departments/regulation/put-it-in-writing/
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19
https://www.mcguirewoods.com/client-resources/Alerts/2021/2/broker-dealers-supervision-of-personal-device-use
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https://www.mcguirewoods.com/client-resources/Alerts/2021/2/broker-dealers-supervision-of-personal-device-use
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20
https://content.next.westlaw.com/practical-law/document/I5a1d34b8adf611e498db8b09b4f043e0/FINRA-Supervision-Rules?viewType=FullText&originationContext=document&transitionType=DocumentItem&ppcid=06a3753d0dea48ee9ee3eec673354bb9&contextData=(sc.DocLink)
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https://content.next.westlaw.com/practical-law/document/I5a1d34b8adf611e498db8b09b4f043e0/FINRA-Supervision-Rules?viewType=FullText&originationContext=document&transitionType=DocumentItem&ppcid=06a3753d0dea48ee9ee3eec673354bb9&contextData=(sc.DocLink)
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21
https://blog.starcompliance.com/finra-rule-3110-10-ways-to-create-effective-supervision-structures
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https://blog.starcompliance.com/finra-rule-3110-10-ways-to-create-effective-supervision-structures
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22
https://www.lmkohn.com/wp-content/uploads/2020/05/Broker-Dealer-Written-Supervisory-Procedures.pdf
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https://www.lmkohn.com/wp-content/uploads/2020/05/Broker-Dealer-Written-Supervisory-Procedures.pdf
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23
https://www.steel-eye.com/regulators/finra
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https://www.steel-eye.com/regulators/finra
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24
https://solomonexamprep.com/content-txt/33493/35/3-4-broker-dealer-supervisory-controls
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https://solomonexamprep.com/content-txt/33493/35/3-4-broker-dealer-supervisory-controls
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25
https://feltl.com/FeltlForms/Compliance%20Manual.pdf
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https://feltl.com/FeltlForms/Compliance%20Manual.pdf
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26
https://www.skadden.com/-/media/files/publications/2015/05/finraprovidesguidanceoneffectivesupervisionandcont.pdf
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https://www.skadden.com/-/media/files/publications/2015/05/finraprovidesguidanceoneffectivesupervisionandcont.pdf
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27
https://www.ganalawfirm.com/failure-to-supervise.html
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https://www.ganalawfirm.com/failure-to-supervise.html
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28
https://casetext.com/regulation/maine-administrative-code/department-02-department-of-professional-and-financial-regulation/division-032-office-of-securities/chapter-504-broker-dealer-and-agent-licensing/section-032-504-7-reasonable-supervision
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https://casetext.com/regulation/maine-administrative-code/department-02-department-of-professional-and-financial-regulation/division-032-office-of-securities/chapter-504-broker-dealer-and-agent-licensing/section-032-504-7-reasonable-supervision
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29
https://ibdcconsulting.com/wp-content/uploads/2019/06/Bates_Research_Broker-Dealer_Branch_Office_Compliance.pdf
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https://ibdcconsulting.com/wp-content/uploads/2019/06/Bates_Research_Broker-Dealer_Branch_Office_Compliance.pdf
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30
https://uk.practicallaw.thomsonreuters.com/3-589-4451?transitionType=Default&contextData=(sc.Default)
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https://uk.practicallaw.thomsonreuters.com/3-589-4451?transitionType=Default&contextData=(sc.Default)
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31
https://securities.lslawyers.com/failure-to-supervise.html
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https://securities.lslawyers.com/failure-to-supervise.html
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32
https://study.com/academy/lesson/broker-dealer-supervision-requirements.html
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https://study.com/academy/lesson/broker-dealer-supervision-requirements.html
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33
https://www.kcdfinancial.com/files/101629/KCD%20WSP%2005-04-2021.pdf
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https://www.kcdfinancial.com/files/101629/KCD%20WSP%2005-04-2021.pdf
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34
https://www.jackolg.com/legal-risk-management-tips/what-the-new-finra-supervisory-rules-mean-for-your-brokerage-practices/
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https://www.jackolg.com/legal-risk-management-tips/what-the-new-finra-supervisory-rules-mean-for-your-brokerage-practices/
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35
https://www.maine.gov/sos/cec/rules/02/032/032c504.docx
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https://www.maine.gov/sos/cec/rules/02/032/032c504.docx
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36
https://www.eisneramper.com/broker-dealer-compliance-coronavirus-0320/
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https://www.eisneramper.com/broker-dealer-compliance-coronavirus-0320/
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37
https://datamatters.sidley.com/2020/02/20/sec-and-finra-issue-2020-examination-priorities-for-broker-dealers-and-investment-advisers/
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https://datamatters.sidley.com/2020/02/20/sec-and-finra-issue-2020-examination-priorities-for-broker-dealers-and-investment-advisers/
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38
https://www.missioncriticalservices.com/broker-dealers/
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https://www.missioncriticalservices.com/broker-dealers/
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39
https://www.flrules.org/gateway/readRefFile.asp?refId=12541&filename=42%20--%20FINRA%20Rule%203000%20Series%20as%20of%206.24.20%20NO%20LINKS-1_Part1.pdf
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https://www.flrules.org/gateway/readRefFile.asp?refId=12541&filename=42%20--%20FINRA%20Rule%203000%20Series%20as%20of%206.24.20%20NO%20LINKS-1_Part1.pdf
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40
https://www.complianceweek.com/regulatory-enforcement/finra-stresses-supervisory-authority-as-key-to-cco-liability-cases/31483.article
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https://www.complianceweek.com/regulatory-enforcement/finra-stresses-supervisory-authority-as-key-to-cco-liability-cases/31483.article
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41
https://www.courts.wa.gov/content/petitions/91371-4%20COA%20Reply%20Brief.pdf
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https://www.courts.wa.gov/content/petitions/91371-4%20COA%20Reply%20Brief.pdf
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42
https://www.cadwalader.com/resources/clients-friends-memos/the-sec-publishes-final-rule-regulating-access-to-securities-markets
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https://www.cadwalader.com/resources/clients-friends-memos/the-sec-publishes-final-rule-regulating-access-to-securities-markets
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43
https://scholarship.law.stjohns.edu/cgi/viewcontent.cgi?article=1266&context=faculty_publications
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https://scholarship.law.stjohns.edu/cgi/viewcontent.cgi?article=1266&context=faculty_publications
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44
https://www.acaglobal.com/insights/summary-finra-regulatory-actions-2021
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https://www.acaglobal.com/insights/summary-finra-regulatory-actions-2021
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45
https://www.thorntonandassociates.com/wp-content/uploads/2015/05/3120-Writtern-Supervisory-Systems-Testingv21.pdf
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https://www.thorntonandassociates.com/wp-content/uploads/2015/05/3120-Writtern-Supervisory-Systems-Testingv21.pdf
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46
https://www.mayerbrown.com/-/media/finra-alert-feb-15.pdf
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https://www.mayerbrown.com/-/media/finra-alert-feb-15.pdf
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47
https://regulusadvisors.com/wp-content/uploads/2021/08/Regulus-WSP-3.30.2021.pdf
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https://regulusadvisors.com/wp-content/uploads/2021/08/Regulus-WSP-3.30.2021.pdf
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48
https://asc.alabama.gov/Best%20Practices_BD.aspx
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https://asc.alabama.gov/Best%20Practices_BD.aspx
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49
http://www.mainstaycomp.com/Regulatory-Compliance-Investment-Advisor-Broker-Dealer-Securities/Investment-Advisor-Registration-Process.html
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http://www.mainstaycomp.com/Regulatory-Compliance-Investment-Advisor-Broker-Dealer-Securities/Investment-Advisor-Registration-Process.html
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50
https://www.americanbar.org/groups/business_law/publications/the_business_lawyer/find_by_subject/buslaw_tbl_mci_brokerdeal/
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https://www.americanbar.org/groups/business_law/publications/the_business_lawyer/find_by_subject/buslaw_tbl_mci_brokerdeal/
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51
https://www.smarsh.com/regulations/finra-rule-3120-supervisory-control-system/
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https://www.smarsh.com/regulations/finra-rule-3120-supervisory-control-system/
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52
https://www.bakerdonelson.com/Recent-FINRA-Guidance-on-Supervisory-Control-Systems-07-20-2012
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https://www.bakerdonelson.com/Recent-FINRA-Guidance-on-Supervisory-Control-Systems-07-20-2012
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53
https://fortunefinancialservices.com/site/assets/files/1150/wsp-_9-2021.pdf
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https://fortunefinancialservices.com/site/assets/files/1150/wsp-_9-2021.pdf
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54
https://www.kurtalawfirm.com/blog/finra-rule-3110/
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https://www.kurtalawfirm.com/blog/finra-rule-3110/
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55
https://securitiesce.com/media/series26chap4.pdf
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https://securitiesce.com/media/series26chap4.pdf
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56
https://www.erado.com/supervision-rules/
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https://www.erado.com/supervision-rules/
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57
https://public-inspection.federalregister.gov/2022-21200.pdf
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https://public-inspection.federalregister.gov/2022-21200.pdf
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58
http://multiplefinancial.com/compliance/wsp2011wsupvsrcontrols.pdf
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http://multiplefinancial.com/compliance/wsp2011wsupvsrcontrols.pdf
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59
https://www.indeed.com/q-Broker-Dealer-Supervisor-jobs.html
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https://www.indeed.com/q-Broker-Dealer-Supervisor-jobs.html
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60
https://www.unit21.ai/blog/finra-examination-report-highlights
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https://www.unit21.ai/blog/finra-examination-report-highlights
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61
https://www.lit-wc.shearman.com/siteFiles/39298/EN_FINRA.org%20_%20Regulatory%20Notice%2022-10.pdf
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https://www.lit-wc.shearman.com/siteFiles/39298/EN_FINRA.org%20_%20Regulatory%20Notice%2022-10.pdf
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62
https://accvm.ca/wp-content/themes/IIAC/resources/5043/original/US%20BD%20Registration%20(Toronto)_(EAST_55498860_1).pdf
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https://accvm.ca/wp-content/themes/IIAC/resources/5043/original/US%20BD%20Registration%20(Toronto)_(EAST_55498860_1).pdf
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63
https://www.morganlewis.com/~/media/files/publication/presentation/speech/ayanian2pdf.ashx
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https://www.morganlewis.com/~/media/files/publication/presentation/speech/ayanian2pdf.ashx
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64
https://secure.triadsecurities.com/data/triad_docs/Written_Supervisory_Procedures.pdf
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https://secure.triadsecurities.com/data/triad_docs/Written_Supervisory_Procedures.pdf
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65
https://www.corecls.com/risk-management-updates-rmu/dually-registered-firms-steps-for-performing-an-efficient-annual-review-and-gap-analysis/
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https://www.corecls.com/risk-management-updates-rmu/dually-registered-firms-steps-for-performing-an-efficient-annual-review-and-gap-analysis/
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66
https://firstmarksolutions.com/services/finra-rule-3120-testing/
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https://firstmarksolutions.com/services/finra-rule-3120-testing/
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67
https://www.nyse.com/publicdocs/nyse/markets/nyse-american/disciplinary-actions/2016/LSCI%20(20100215956-09)%20NYSE%20MKT%20Complaint.pdf
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68
https://www.iosco.org/library/pubdocs/pdf/IOSCOPD78.pdf
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https://www.iosco.org/library/pubdocs/pdf/IOSCOPD78.pdf
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69
http://www.brokerdealerlawblog.com/wp-content/uploads/2018/03/Compliance-and-Legal-Officer-Guidelines.pdf
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http://www.brokerdealerlawblog.com/wp-content/uploads/2018/03/Compliance-and-Legal-Officer-Guidelines.pdf
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70
http://www.mitchatkinsfinrarulesconsulting.com/category/finra-rules/
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71
https://rules.sos.ga.gov/gac/590-4-5
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72
https://www.bclplaw.com/en-US/insights/supervision-of-vendors-when-outsourcing-the-buck-stops-with-finra-member-firms.html
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73
https://www.clm.com/wp-content/uploads/2020/11/7526376_1-1.pdf
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74
https://www.thefirma.org/2009_conference/Overview%20of%20Key%20Rules%20and%20Recent%20Regulatory%20Developments%20Affecting%20BDIA/Gray.ppt
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https://www.thefirma.org/2009_conference/Overview%20of%20Key%20Rules%20and%20Recent%20Regulatory%20Developments%20Affecting%20BDIA/Gray.ppt
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75
https://www.kroll.com/en/services/financial-services-compliance-and-regulation/us-compliance-services/broker-dealer-services
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https://www.kroll.com/en/services/financial-services-compliance-and-regulation/us-compliance-services/broker-dealer-services
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76
https://katten.com/new-and-familiar-compliance-challenges-for-finra-members-in-2021-and-what-that-means-for-2022
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https://katten.com/new-and-familiar-compliance-challenges-for-finra-members-in-2021-and-what-that-means-for-2022
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77
https://www.hflawreport.com/2651656/finra-report-highlights-common-broker-dealer-compliance-shortcomings.thtml
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https://www.hflawreport.com/2651656/finra-report-highlights-common-broker-dealer-compliance-shortcomings.thtml
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78
https://www.faegredrinker.com/-/media/files/insights_db/news/2018/compliance-and-legal-officer-guidelines-2018.pdf
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https://www.faegredrinker.com/-/media/files/insights_db/news/2018/compliance-and-legal-officer-guidelines-2018.pdf
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79
https://www.davispolk.com/sites/default/files/2017-09-20_so_now_you_own_broker_dealer.pdf
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https://www.davispolk.com/sites/default/files/2017-09-20_so_now_you_own_broker_dealer.pdf
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80
https://flofr.gov/sitePages/documents/69W-200.00239.pdf
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https://flofr.gov/sitePages/documents/69W-200.00239.pdf
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81
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82
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84
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89
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90
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91
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92
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https://www.wealthmanagement.com/regulation-compliance/finra-announces-sweep-bds-supervision-options-trading
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