Content Corporate & business organization The SEC Proposes Big Changes to the Custody Rule Ready to take your firm’s compliance up a notch? DUALLY REGISTERED BROKER-DEALERS/INVESTMENT ADVISERS Ranked Band 1, USA—Nationwide for Financial Services Regulation: Broker-Dealer (Compliance & Enforcement) U.S. News and Best Lawyers® “Best Law Firms” List Protect Your Firm with Broker-Dealer Compliance Software …
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