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The rules require firms to establish
Total Page Count: 63
Members also downloaded Broker-Dealer Trade Blotter for Mutual Fund Direct Business and Trade Blotter for Unregistered Offerings
information about the client’s current plan as well as prepare a comparison between the plan’s fees and expenses
Source/Author(s): Connexien
Broker-Dealer OSJ Branch Audit Review Template- 2024 Subscription Updates WSP Library The rules require firms toOur Broker Dealer OSJ Branch Office Audit Review Template Annual Subscription Updates are designed to keep broker dealers informed and updated on material changes to the regulatory landscape that may impact their internal audit processes. Our one time fee for Annual Updates covers regulatory updates to new and existing SEC & FINRA rules and regulatory notices for members using our OSJ Branch Audit Template. All subscribers to our updates post purchase
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