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Broker-dealer advisory services : current legal and compliance issues facing dual registrants.
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Subjects
- Subject Headings A:
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- StockbrokersStockbrokersLegal status, laws, etcStockbrokersLegal status, laws, etcUnited States
- Financial plannersFinancial plannersLegal status, laws, etcFinancial plannersLegal status, laws, etcUnited States
- Securities industrySecurities industryLaw and legislationSecurities industryLaw and legislationUnited States
- SecuritiesSecuritiesUnited States
- StockbrokersStockbrokers