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Google Keyword Rankings for : size of broker dealers
1
https://www.finra.org/rules-guidance/guidance/reports-studies/2020-industry-snapshot/firm-data
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https://www.finra.org/rules-guidance/guidance/reports-studies/2020-industry-snapshot/firm-data
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2
https://data.investmentnews.com/apps/index.php/broker-dealer-data/rankings
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https://data.investmentnews.com/apps/index.php/broker-dealer-data/rankings
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3
https://www.thinkadvisor.com/2022/05/02/what-the-broker-dealer-industry-looks-like-now-in-5-charts/
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https://www.thinkadvisor.com/2022/05/02/what-the-broker-dealer-industry-looks-like-now-in-5-charts/
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4
https://www.investopedia.com/terms/b/broker-dealer.asp
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https://www.investopedia.com/terms/b/broker-dealer.asp
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5
https://www.sec.gov/news/statement/uyeda-statement-electronic-recordkeeping-requirements-101222
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https://www.sec.gov/news/statement/uyeda-statement-electronic-recordkeeping-requirements-101222
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6
https://www.wealthmanagement.com/industry/whats-future-ibd
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https://www.wealthmanagement.com/industry/whats-future-ibd
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7
https://www.ajg.com/us/news-and-insights/2021/mar/2021-broker-dealers-market-conditions-report/
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https://www.ajg.com/us/news-and-insights/2021/mar/2021-broker-dealers-market-conditions-report/
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8
https://www.rand.org/pubs/research_briefs/RB9337.html
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https://www.rand.org/pubs/research_briefs/RB9337.html
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9
https://blog.auditanalytics.com/auditors-of-broker-dealers/
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https://blog.auditanalytics.com/auditors-of-broker-dealers/
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10
https://www.pershing.com/perspectives/what-on-the-mind-of-institutional-broker-dealers
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https://www.pershing.com/perspectives/what-on-the-mind-of-institutional-broker-dealers
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11
https://henschenassoc.com/the-pros-and-cons-of-independent-bd-styles/
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https://henschenassoc.com/the-pros-and-cons-of-independent-bd-styles/
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12
https://portal.ct.gov/DOB/Securities-Licensing/Broker-dealers/Broker-Dealer-Information-Page
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https://portal.ct.gov/DOB/Securities-Licensing/Broker-dealers/Broker-Dealer-Information-Page
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13
https://spicerjeffries.com/broker-dealers/
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https://spicerjeffries.com/broker-dealers/
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14
https://www.whiteman-law.com/finra-reminds-broker-dealers-and-investment-advisers-to-comply-with-the-secs-best-interest-requirements/
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https://www.whiteman-law.com/finra-reminds-broker-dealers-and-investment-advisers-to-comply-with-the-secs-best-interest-requirements/
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15
https://thediwire.com/finra-number-broker-dealers-registered-reps-decline-second-year/?print=print
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https://thediwire.com/finra-number-broker-dealers-registered-reps-decline-second-year/?print=print
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16
https://www.acaglobal.com/who-we-serve/broker-dealers
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https://www.acaglobal.com/who-we-serve/broker-dealers
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17
https://en.wikipedia.org/wiki/Financial_Industry_Regulatory_Authority
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https://en.wikipedia.org/wiki/Financial_Industry_Regulatory_Authority
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18
https://iid.iowa.gov/broker-dealers
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https://iid.iowa.gov/broker-dealers
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19
https://www.sifma.org/resources/general/sifma-outlines-broker-dealer-functions-supporting-proxy-distributions/
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https://www.sifma.org/resources/general/sifma-outlines-broker-dealer-functions-supporting-proxy-distributions/
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20
https://www.nrs-inc.com/what-we-do/broker-dealers/
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https://www.nrs-inc.com/what-we-do/broker-dealers/
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21
https://www.thompsonhine.com/insights/finra-raises-stakes-in-2022-for-firms-tolerating-bad-brokerage-disciplinary-histories/
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https://www.thompsonhine.com/insights/finra-raises-stakes-in-2022-for-firms-tolerating-bad-brokerage-disciplinary-histories/
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22
https://www.mossadams.com/industries/financial-services/broker-dealers
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https://www.mossadams.com/industries/financial-services/broker-dealers
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23
http://cecouncil.com/firm-element/
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http://cecouncil.com/firm-element/
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24
https://www.cfp.net/knowledge/industry-insights/2022/09/the-role-of-wirehouses-and-national-regional-broker-dealers-in-a-growing
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https://www.cfp.net/knowledge/industry-insights/2022/09/the-role-of-wirehouses-and-national-regional-broker-dealers-in-a-growing
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25
https://www.tradersmagazine.com/departments/brokerage/the-basel-iii-threat-to-smaller-broker-dealers/
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https://www.tradersmagazine.com/departments/brokerage/the-basel-iii-threat-to-smaller-broker-dealers/
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26
https://crsreports.congress.gov/product/pdf/IF/IF11800/2
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https://crsreports.congress.gov/product/pdf/IF/IF11800/2
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27
https://www.maine.gov/pfr/financialinstitutions/sites/maine.gov.pfr.financialinstitutions/files/pdf/regulations/Reg-29.pdf
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https://www.maine.gov/pfr/financialinstitutions/sites/maine.gov.pfr.financialinstitutions/files/pdf/regulations/Reg-29.pdf
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28
https://www.advisorgroup.com/our-firms
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https://www.advisorgroup.com/our-firms
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29
https://www.wsgr.com/en/services/practice-areas/corporate/broker-dealer.html
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https://www.wsgr.com/en/services/practice-areas/corporate/broker-dealer.html
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30
https://www.riacompliancelawyer.com/broker-dealer-formation-regulation-and-compliance.html
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https://www.riacompliancelawyer.com/broker-dealer-formation-regulation-and-compliance.html
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31
https://www.mcguirewoods.com/news-resources/publications/financial_services/broker-dealer.doc
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https://www.mcguirewoods.com/news-resources/publications/financial_services/broker-dealer.doc
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32
https://www.law.cornell.edu/cfr/text/31/1023.220
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https://www.law.cornell.edu/cfr/text/31/1023.220
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33
https://cxgllc.com/services/broker-dealers-for-sale/
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https://cxgllc.com/services/broker-dealers-for-sale/
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34
https://kehrerbielan.com/assets/uploads/sites/715/2020/04/the-broker-dealer-conundrum.pdf
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https://kehrerbielan.com/assets/uploads/sites/715/2020/04/the-broker-dealer-conundrum.pdf
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35
https://www.ibisworld.com/industry-statistics/market-size/securities-brokering-united-states/
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https://www.ibisworld.com/industry-statistics/market-size/securities-brokering-united-states/
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36
https://www.ecfr.gov/current/title-31/subtitle-B/chapter-X/part-1023/subpart-B/section-1023.220
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https://www.ecfr.gov/current/title-31/subtitle-B/chapter-X/part-1023/subpart-B/section-1023.220
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37
https://www.sullcrom.com/Broker-Dealer
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https://www.sullcrom.com/Broker-Dealer
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38
https://www.tn.gov/commerce/securities/industry-professionals/investment-adviser-broker-dealer-check.html
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https://www.tn.gov/commerce/securities/industry-professionals/investment-adviser-broker-dealer-check.html
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39
https://www.koreconx.com/why-do-i-need-a-finra-broker-dealer/
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https://www.koreconx.com/why-do-i-need-a-finra-broker-dealer/
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40
https://asc.alabama.gov/Best%20Practices_BD.aspx
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https://asc.alabama.gov/Best%20Practices_BD.aspx
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41
https://www.govinfo.gov/content/pkg/GAOREPORTS-GAO-02-111/html/GAOREPORTS-GAO-02-111.htm
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https://www.govinfo.gov/content/pkg/GAOREPORTS-GAO-02-111/html/GAOREPORTS-GAO-02-111.htm
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42
https://www.finracompliance.com/broker-dealer/bd-audits-reviews-exams/
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https://www.finracompliance.com/broker-dealer/bd-audits-reviews-exams/
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43
https://www.bdlawcorner.com/2018/08/finra-stats-reveal-horribly-kept-secret-small-firms-are-the-heart-and-soul-of-the-brokerage-industry-but-dying-off-nevertheless/
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https://www.bdlawcorner.com/2018/08/finra-stats-reveal-horribly-kept-secret-small-firms-are-the-heart-and-soul-of-the-brokerage-industry-but-dying-off-nevertheless/
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44
https://www.fdic.gov/regulations/laws/rules/8000-1800.html
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https://www.fdic.gov/regulations/laws/rules/8000-1800.html
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45
http://www.mainstaycomp.com/Regulatory-Compliance-Investment-Advisor-Broker-Dealer-Securities/Investment-Advisor-Registration-Process.html
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http://www.mainstaycomp.com/Regulatory-Compliance-Investment-Advisor-Broker-Dealer-Securities/Investment-Advisor-Registration-Process.html
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46
https://clearingcustody.fidelity.com/app/item/RD_13569_45419/broker-dealers.html
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https://clearingcustody.fidelity.com/app/item/RD_13569_45419/broker-dealers.html
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47
https://www.bnymellon.com/us/en/solutions/broker-dealers.html
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https://www.bnymellon.com/us/en/solutions/broker-dealers.html
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48
https://www.bostonfed.org/-/media/Documents/events/2022/0106/Adam-Copeland-Cecilia-Caglio-Antoine-Martin-The-Value-of-Internal-Sources-of-Funding-Liquidity.pdf?la=en
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https://www.bostonfed.org/-/media/Documents/events/2022/0106/Adam-Copeland-Cecilia-Caglio-Antoine-Martin-The-Value-of-Internal-Sources-of-Funding-Liquidity.pdf?la=en
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49
https://dfpi.ca.gov/broker-dealers-state-investment-advisers-and-sec-investment-advisers/
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https://dfpi.ca.gov/broker-dealers-state-investment-advisers-and-sec-investment-advisers/
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50
https://smartasset.com/financial-advisor/ria-vs-broker-dealer
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https://smartasset.com/financial-advisor/ria-vs-broker-dealer
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51
https://www.cabq.gov/dfa/treasury/investor-information/debt-investment-policies/broker-dealer-selection-policy
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https://www.cabq.gov/dfa/treasury/investor-information/debt-investment-policies/broker-dealer-selection-policy
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52
https://investmentadviser.org/wp-content/uploads/2021/08/Investment_Adviser_Industry_Snapshot_2021.pdf
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https://investmentadviser.org/wp-content/uploads/2021/08/Investment_Adviser_Industry_Snapshot_2021.pdf
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53
https://www.statista.com/statistics/322550/leading-independent-broker-dealers-usa-by-assets/
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https://www.statista.com/statistics/322550/leading-independent-broker-dealers-usa-by-assets/
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54
https://cca.hawaii.gov/sec/securities_filing_fees/broker_dealer_reg/
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https://cca.hawaii.gov/sec/securities_filing_fees/broker_dealer_reg/
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55
https://www.federalreserve.gov/econres/feds/files/2021036pap.pdf
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https://www.federalreserve.gov/econres/feds/files/2021036pap.pdf
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56
https://lexcowealth.com/what-is-a-broker-dealer/
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https://lexcowealth.com/what-is-a-broker-dealer/
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57
https://dbr.ri.gov/insurance-banking-securities-and-charitable-organizations/securities-and-charities
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https://dbr.ri.gov/insurance-banking-securities-and-charitable-organizations/securities-and-charities
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58
https://www.federalregister.gov/documents/2022/11/03/2022-22670/electronic-recordkeeping-requirements-for-broker-dealers-security-based-swap-dealers-and-major
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https://www.federalregister.gov/documents/2022/11/03/2022-22670/electronic-recordkeeping-requirements-for-broker-dealers-security-based-swap-dealers-and-major
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59
https://www.financial-planning.com/news/more-millennials-invest-with-a-broker-dealer-than-an-online-brokerage
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https://www.financial-planning.com/news/more-millennials-invest-with-a-broker-dealer-than-an-online-brokerage
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60
https://www.bedfordandmain.com/uploads/examining-the-diminishing-broker-dealer-landscape.pdf
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https://www.bedfordandmain.com/uploads/examining-the-diminishing-broker-dealer-landscape.pdf
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61
https://www.cerulli.com/reports/us-broker-dealer-marketplace-2021
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https://www.cerulli.com/reports/us-broker-dealer-marketplace-2021
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62
https://www.rainesfischer.com/hedge-fund-cpa/
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https://www.rainesfischer.com/hedge-fund-cpa/
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63
https://legal.thomsonreuters.com/en/insights/articles/building-a-broker-dealer-compliance-program
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https://legal.thomsonreuters.com/en/insights/articles/building-a-broker-dealer-compliance-program
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64
https://aldeninvestmentgroup.com/ibd-elite-2022-top-50-independent-broker-dealers/
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https://aldeninvestmentgroup.com/ibd-elite-2022-top-50-independent-broker-dealers/
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65
https://www.hklaw.com/en/insights/publications/2022/07/red-flag-refresher-broker-dealers-and-the-importance
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https://www.hklaw.com/en/insights/publications/2022/07/red-flag-refresher-broker-dealers-and-the-importance
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66
https://www.newyorkfed.org/markets/primarydealers
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https://www.newyorkfed.org/markets/primarydealers
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67
https://securitiesce.com/definitions/5764-introducing-broker/
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https://securitiesce.com/definitions/5764-introducing-broker/
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68
https://prfirmpwwwcdn0001.azureedge.net/prfirmstgacctpwwwcdncont0001/uploads/75db202aaef7e1e4cae498a54a3b7005.pdf
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https://prfirmpwwwcdn0001.azureedge.net/prfirmstgacctpwwwcdncont0001/uploads/75db202aaef7e1e4cae498a54a3b7005.pdf
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69
https://learn.questce.com/firmelement/ferequirement.asp
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https://learn.questce.com/firmelement/ferequirement.asp
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70
https://www.nasaa.org/wp-content/uploads/2014/04/NASAA-Fee-Survey-4-24-14.pdf
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https://www.nasaa.org/wp-content/uploads/2014/04/NASAA-Fee-Survey-4-24-14.pdf
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71
https://www.sec.state.ma.us/sct/sctpdf/HS-White-Paper-12-08-16.pdf
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https://www.sec.state.ma.us/sct/sctpdf/HS-White-Paper-12-08-16.pdf
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72
https://www.msrb.org/sites/default/files/RFC/2014-20/Fidelity.pdf
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https://www.msrb.org/sites/default/files/RFC/2014-20/Fidelity.pdf
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73
https://pcaobus.org/resources/information-for-academics/publications-and-workingpapers/Working-Paper-Weak-Incentives-for-Audit-Quality-Evidence-from-Broker-Dealers
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https://pcaobus.org/resources/information-for-academics/publications-and-workingpapers/Working-Paper-Weak-Incentives-for-Audit-Quality-Evidence-from-Broker-Dealers
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74
https://www.cetera.com/cetera-investment-services-financial-strength
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https://www.cetera.com/cetera-investment-services-financial-strength
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75
https://rules.mt.gov/gateway/RuleNo.asp?RN=6%2E10%2E401
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https://rules.mt.gov/gateway/RuleNo.asp?RN=6%2E10%2E401
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76
https://www.bclplaw.com/en-US/insights/a-cautionary-tale-of-a-small-broker-dealers-and-its-associated-persons-failure-to-honor-finras-suspension-rules.html
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https://www.bclplaw.com/en-US/insights/a-cautionary-tale-of-a-small-broker-dealers-and-its-associated-persons-failure-to-honor-finras-suspension-rules.html
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77
https://www.davispolk.com/sites/default/files/2017-09-20_so_now_you_own_broker_dealer.pdf
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https://www.davispolk.com/sites/default/files/2017-09-20_so_now_you_own_broker_dealer.pdf
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78
https://www.lpl.com/join-lpl/why-choose-lpl/news-and-insights/find-the-right-broker-dealer.html
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https://www.lpl.com/join-lpl/why-choose-lpl/news-and-insights/find-the-right-broker-dealer.html
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79
https://terrapintech.com/third-party-broker-dealers-explained/
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https://terrapintech.com/third-party-broker-dealers-explained/
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80
https://www.wilmerhale.com/en/insights/client-alerts/20200403-no-relief-on-reg-bi-and-form-crs-firms-must-comply-by-june-30th-although-examiners-will-apply-a-good-faith-effort-standard
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https://www.wilmerhale.com/en/insights/client-alerts/20200403-no-relief-on-reg-bi-and-form-crs-firms-must-comply-by-june-30th-although-examiners-will-apply-a-good-faith-effort-standard
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81
https://thebusinessprofessor.com/investments-trading-financial-markets/broker-dealer-definition
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https://thebusinessprofessor.com/investments-trading-financial-markets/broker-dealer-definition
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82
https://www.joincambridge.com/insights/insights/factors-you-should-not-overlook-in-selecting-a-broker-dealer-or-a-registered-investment-advisor/
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https://www.joincambridge.com/insights/insights/factors-you-should-not-overlook-in-selecting-a-broker-dealer-or-a-registered-investment-advisor/
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83
https://cdn.cboe.com/resources/regulation/Tick-Size-Pilot-Program-Data-Collection-Requirements-for-Broker-dealers-Frequently-Asked-Questions-2015-10-09.pdf
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https://cdn.cboe.com/resources/regulation/Tick-Size-Pilot-Program-Data-Collection-Requirements-for-Broker-dealers-Frequently-Asked-Questions-2015-10-09.pdf
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84
https://www.nvsos.gov/sos/licensing/securities/broker-dealer
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https://www.nvsos.gov/sos/licensing/securities/broker-dealer
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85
https://www.reedsmith.com/en/capabilities/industries/financial-services/financial-regulatory/broker-dealers-and-investment-advisers
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https://www.reedsmith.com/en/capabilities/industries/financial-services/financial-regulatory/broker-dealers-and-investment-advisers
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91
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