Updated Thursday, July 24, 2014 as of 5:33 PM ET
Practice - Regulatory/Compliance
Broker-Dealers Must Prepare For New Regulatory Rules: Panel
On Wall Street
Saturday, May 14, 2011
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Broker-dealers answering to new and upcoming regulations must adapt to changes ranging from new exams for certain individuals to closer monitoring of internal activity, a panel of industry experts including the Financial Industry Regulatory Authority said this week.

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