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- New Entitlement Process for Firms Changing Their SAA
- MSRB Proposes Professional Qualification Standards for Municipal Advisors
- FINRA Set to Intensify Scrutiny of Broker Dealer Cybersecurity Practices
- SEC Publishes Frequently Asked Questions about Liability of Compliance and Legal Personnel at Broker-Dealers
- SEC’s No. 1 priority is more adviser examinations
- Securities Industry Expert Witness