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Designing and Implementing an Effective Compliance Program for Mutual Funds, Investment Advisers, and Broker-Dealers

June 16, 2006

American Law Institute-American Bar Association Course of Study, SEC/NASD Compliance

"Designing and Implementing an Effective Compliance Program for Mutual Funds, Investment Advisers, and Broker-Dealers," ALI-ABA's Course of Study, SEC/NASD Compliance

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click to watch Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
Washington, DC
Adam C. Pollet, Associate
Washington, DC
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