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Can advisors keep their dirty compliance laundry in the closet thanks to lack of NASAA, SEC and FINRA coordination?

Mostly not but Jack Waymire and Brian Hamburger flesh out the issue with the right questions and answers

Author Guest Columnist Jack Waymire September 19, 2014 at 5:39 PM
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Jack Waymire: Our cause for concern was the number of advisors who did not appear to have accessible compliance records.


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Mentioned in this article:

MarketCounsel | HamburgerLaw
Compliance Expert, RIA Set-up Firm, Regulatory Consultant
Top Executive: Brian Hamburger

Paladin Digital Marketing
Consulting Firm, Marketing & Public Relations, Investor Referrals
Top Executive: Jack Waymire



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