Regulatory Compliance -Compliance Assurance Programs for Broker Dealers and Investment Advisors visit main site        Newsletter         December 2006

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SEC AUM Proposal
New Jersey Hedge Fund Registration
GAO to Review SEC
SEC No Action - Principal Transactions
IARD Fee Waiver Continuance
 
NASD NTM Summaries
Web CRD Renewals - DECEMBER 8 - Preliminary Payment Deadline
Regulatory Consolidation
Reminders & Upcoming Deadlines

Books & Records - Year End Responsibilities

 

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