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Can advisors keep their dirty compliance laundry in the closet thanks to lack of NASAA, SEC and FINRA coordination?

Mostly not but Jack Waymire and Brian Hamburger flesh out the issue with the right questions and answers

Friday, September 19, 2014 – 5:39 PM by Guest Columnist Jack Waymire
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Jack Waymire: Our cause for concern was the number of advisors who did not appear to have accessible compliance records.

Mentioned in this article:

MarketCounsel | Hamburger Law Firm
Consulting Firm, Compliance Expert, Legal Services for RIAs
Top Executive: Brian Hamburger

Paladin Digital Marketing
Consulting Firm, Marketing & Public Relations, Investor Referrals
Top Executive: Jack Waymire




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