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A Better Partnership


Sep 2007
September 01, 2007

Balancing Client Privacy and Client Service--Regulation S-P Applied to Recruiting Representatives

This is Part I of a two-part article explaining the issues raised by the Securities and Exchange Commission (“SEC”) in a recently filed enforcement action against a broker-dealer alleging violations of Regulation S-P. Download a PDF of the article here.
NSCP Currents

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