National Examination Risk Alert By the Office of Compliance Inspections and Examinations 1 In this Alert: Topic: Duties of broker-dealers

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Date: 2012-03-19 11:51:08 Business Finance 73rd United States Congress United States Securities and Exchange Commission Self-regulatory organizations Municipal Securities Rulemaking Board Securities Act Due diligence Securities Exchange Act Financial economics Economics United States securities law		National Examination Risk Alert By the Office of Compliance Inspections and Examinations 1 In this Alert: Topic: Duties of broker-dealers Add to Reading List Source URL: www.sec.gov Download Document from Source Website File Size: 132,72 KB Share Document on Facebook

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