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Related Publications
05/18/12
Mapping a Smart and Efficient Investment Adviser Annual Review, presented at the NRS 27th Annual Spring Compliance Conference, Colonial Williamsburg, Virginia
(PDF)
05/17/12
Outside Forces: Other Regulatory Agencies with which Broker-Dealers Should be Familiar, presented at the NRS 27th Annual Spring Compliance Conference, Colonial Williamsburg, Virginia
(PDF)
03/08/12
Social Media Issues, presented at the 2012 IAA Investment Adviser Compliance Conference, Arlington, Virginia
(pdf)
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