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Independent Broker Dealer Consortium

September 2019 Monthly Regulatory Review and Outlook

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients in keeping abreast of notable regulatory developments and deadlines in an effort to strengthen their compliance and regulatory initiatives. Click below to read the full September 2019 monthly regulatory review and outlook. 

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