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Are Broker-Dealers and Investment Advisors at Risk From FINRA and the SEC?

April 6, 2015
David Kotz and Joe Sremack
Bloomberg BNA

David Kotz and Joe Sremack write about the Financial Industry Regulatory Authority, Securities and Exchange Commission Regulation S-P, and the protection of financial and personal customer information.

Reproduced with permission from Securities Regulation & Law Report, 47 SRLR 711, 4/6/15. Copyright 2015 by The Bureau of National Affairs, Inc. (800-372-1033) http://www.bna.com

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