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SEC Settlement Highlights Importance of Seeking Best Execution

November 9, 2012

SEC Settlement Highlights Importance of Seeking Best Execution

Legal Risk Management Tips

Private Fund Adviser Updates: The New SEC Presence Examination

November 1, 2012

Private Fund Adviser Updates The New SEC Presence Examination

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NASAA Releases Annual Survey of Enforcement Activity by State Regulators

November 1, 2012

NASAA Releases Annual Survey of Enforcement Activity by State Regulators

Legal Risk Management Tips

Fall 2012 Regulatory Compliance “Hot Topics”

October 31, 2012

Fall 2012 Regulatory Compliance

Blog

FINRA Announces Plans to Open Arbitration Forum to Investment Advisers

October 26, 2012

FINRA Announces Plans to Open Arbitration Forum to Investment Advisers

Blog

BD Corner: SEC Approves FINRA Rule 5123 Requiring Filing of Private Placement Offering Docs

October 18, 2012

BD Corner SEC Approves FINRA Rule 5123 Requiring Filing of Private Placement Offering Docs

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