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Google Keyword Rankings for : supervision broker dealer
1
https://www.sia-partners.com/en/news-and-publications/from-our-experts/does-your-broker-dealer-have-adequate-supervisory-system
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https://www.sia-partners.com/en/news-and-publications/from-our-experts/does-your-broker-dealer-have-adequate-supervisory-system
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2
https://study.com/academy/lesson/broker-dealer-supervision-requirements.html
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https://study.com/academy/lesson/broker-dealer-supervision-requirements.html
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3
https://www.sec.gov/tm/divisionsmarketregfaq-cco-supervision-093013htm
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https://www.sec.gov/tm/divisionsmarketregfaq-cco-supervision-093013htm
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4
https://media.financialservices.org/wp-content/uploads/2019/05/IBD-Supervision-White-Paper.pdf
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https://media.financialservices.org/wp-content/uploads/2019/05/IBD-Supervision-White-Paper.pdf
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5
https://www.ganalawfirm.com/files/gana-depasquale-submit-to-publisher.pdf
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6
https://prfirmpwwwcdn0001.azureedge.net/prfirmstgacctpwwwcdncont0001/uploads/c7287e6e5ce0d8a8a112f96444f86529.pdf
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7
https://www.mcguirewoods.com/client-resources/Alerts/2021/2/broker-dealers-supervision-of-personal-device-use
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https://www.mcguirewoods.com/client-resources/Alerts/2021/2/broker-dealers-supervision-of-personal-device-use
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8
https://www.investopedia.com/terms/b/brokerage-supervisor.asp
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https://www.investopedia.com/terms/b/brokerage-supervisor.asp
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9
https://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-27
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https://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-27
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10
https://casetext.com/regulation/california-code-of-regulations/title-10-investment/chapter-3-commissioner-of-financial-protection-and-innovation/subchapter-2-corporate-securities/article-9-regulation-of-broker-dealers-and-agents/section-2602184-supervision-of-agents
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https://casetext.com/regulation/california-code-of-regulations/title-10-investment/chapter-3-commissioner-of-financial-protection-and-innovation/subchapter-2-corporate-securities/article-9-regulation-of-broker-dealers-and-agents/section-2602184-supervision-of-agents
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11
https://www.laxneville.com/failure-to-supervise.html
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https://www.laxneville.com/failure-to-supervise.html
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12
https://uk.practicallaw.thomsonreuters.com/w-001-6555?transitionType=Default&contextData=(sc.Default)
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https://uk.practicallaw.thomsonreuters.com/w-001-6555?transitionType=Default&contextData=(sc.Default)
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13
https://www.lmkohn.com/wp-content/uploads/2020/05/Broker-Dealer-Written-Supervisory-Procedures.pdf
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https://www.lmkohn.com/wp-content/uploads/2020/05/Broker-Dealer-Written-Supervisory-Procedures.pdf
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14
https://securitiesce.com/media/series26chap4.pdf
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https://securitiesce.com/media/series26chap4.pdf
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15
https://financialinstitutions.bakermckenzie.com/2022/03/21/finra-clarifies-that-unless-expressly-designated-ccos-are-not-responsible-for-supervision/
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https://financialinstitutions.bakermckenzie.com/2022/03/21/finra-clarifies-that-unless-expressly-designated-ccos-are-not-responsible-for-supervision/
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16
https://www.dechert.com/knowledge/onpoint/2022/4/supervisory-liability-for-ccos-under-finra-rule-3110.html
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https://www.dechert.com/knowledge/onpoint/2022/4/supervisory-liability-for-ccos-under-finra-rule-3110.html
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17
https://www.newyorksecuritieslawyersblog.com/can-a-broker-dealer-firm-be-sued-for-failure-to-supervise-a-broker/
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https://www.newyorksecuritieslawyersblog.com/can-a-broker-dealer-firm-be-sued-for-failure-to-supervise-a-broker/
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18
https://www.oysterllc.com/what-we-do/outsourcing/trading-supervision/
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https://www.oysterllc.com/what-we-do/outsourcing/trading-supervision/
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19
https://sec.report/CIK/0001770093
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https://sec.report/CIK/0001770093
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20
https://www.rieralaw.com/negligent-supervision
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https://www.rieralaw.com/negligent-supervision
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21
https://www.lawrencekaminlaw.com/wp-content/uploads/2018/07/36Broker-DealerSupervisionofBranchandRemoteOffices.pdf
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https://www.lawrencekaminlaw.com/wp-content/uploads/2018/07/36Broker-DealerSupervisionofBranchandRemoteOffices.pdf
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22
https://www.indeed.com/q-Compliance-Supervisor-Broker-Dealer-jobs.html
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https://www.indeed.com/q-Compliance-Supervisor-Broker-Dealer-jobs.html
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23
https://www.complianceonline.com/general-broker-dealer-supervision-regulatory-requirements-webinar-training-703135-prdw
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https://www.complianceonline.com/general-broker-dealer-supervision-regulatory-requirements-webinar-training-703135-prdw
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24
http://www.brokerdealerlawblog.com/wp-content/uploads/2018/03/Compliance-and-Legal-Officer-Guidelines.pdf
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http://www.brokerdealerlawblog.com/wp-content/uploads/2018/03/Compliance-and-Legal-Officer-Guidelines.pdf
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25
https://www.forkeylaw.com/blog/broker-dealer-remote-office-supervision-south-florida-finra-arbitration-and-regulatory-attorney/
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https://www.forkeylaw.com/blog/broker-dealer-remote-office-supervision-south-florida-finra-arbitration-and-regulatory-attorney/
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26
https://www.complianceweek.com/regulatory-enforcement/finra-stresses-supervisory-authority-as-key-to-cco-liability-cases/31483.article
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https://www.complianceweek.com/regulatory-enforcement/finra-stresses-supervisory-authority-as-key-to-cco-liability-cases/31483.article
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27
https://www.kestrafinancial.com/ac/-/media/project/advisorcomplete/documents/compliance/bd_written_supervisory_procedures.pdf
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https://www.kestrafinancial.com/ac/-/media/project/advisorcomplete/documents/compliance/bd_written_supervisory_procedures.pdf
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28
https://www.businesswire.com/news/home/20220317005908/en/FINRA-Issues-Reminder-About-the-Scope-of-Chief-Compliance-Officer-Supervisory-Liability
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https://www.businesswire.com/news/home/20220317005908/en/FINRA-Issues-Reminder-About-the-Scope-of-Chief-Compliance-Officer-Supervisory-Liability
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29
https://www.law.cornell.edu/regulations/california/10-CCR-260.217
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https://www.law.cornell.edu/regulations/california/10-CCR-260.217
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30
https://www.batesgroup.com/icontact/broker-dealer-branch-office-compliance-update-2021
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https://www.batesgroup.com/icontact/broker-dealer-branch-office-compliance-update-2021
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31
https://scholarship.law.stjohns.edu/cgi/viewcontent.cgi?article=1266&context=faculty_publications
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https://scholarship.law.stjohns.edu/cgi/viewcontent.cgi?article=1266&context=faculty_publications
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32
https://www.carlson-law.net/finra-arbitration-panel-in-florida-holds-broker-dealer-liable-for-negligent-supervision/
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https://www.carlson-law.net/finra-arbitration-panel-in-florida-holds-broker-dealer-liable-for-negligent-supervision/
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33
https://quizlet.com/145412800/broker-dealer-supervision-flash-cards/
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https://quizlet.com/145412800/broker-dealer-supervision-flash-cards/
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34
https://www.morganlewis.com/pubs/2021/08/outsourcing-finra-outlines-onboarding-and-supervision-suggestions-for-use-of-third-party-vendors
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https://www.morganlewis.com/pubs/2021/08/outsourcing-finra-outlines-onboarding-and-supervision-suggestions-for-use-of-third-party-vendors
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35
https://securities.lslawyers.com/failure-to-supervise.html
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https://securities.lslawyers.com/failure-to-supervise.html
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36
https://www.wcm.oneamerica.com/wps/wcm/connect/a4dc9f93-fe73-4855-8985-e009337d857e/07-12-2021+WSPs.pdf?MOD=AJPERES&CACHEID=ROOTWORKSPACE-a4dc9f93-fe73-4855-8985-e009337d857e-nGwf-Ac
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https://www.wcm.oneamerica.com/wps/wcm/connect/a4dc9f93-fe73-4855-8985-e009337d857e/07-12-2021+WSPs.pdf?MOD=AJPERES&CACHEID=ROOTWORKSPACE-a4dc9f93-fe73-4855-8985-e009337d857e-nGwf-Ac
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37
https://www.courts.wa.gov/content/petitions/91371-4%20COA%20Reply%20Brief.pdf
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https://www.courts.wa.gov/content/petitions/91371-4%20COA%20Reply%20Brief.pdf
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38
https://www.wealthmanagement.com/regulation-compliance/finra-announces-sweep-bds-supervision-options-trading
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https://www.wealthmanagement.com/regulation-compliance/finra-announces-sweep-bds-supervision-options-trading
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39
https://www.nasaa.org/wp-content/uploads/2018/09/BD-Coordinated-Examination-Report-2018.pdf
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https://www.nasaa.org/wp-content/uploads/2018/09/BD-Coordinated-Examination-Report-2018.pdf
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40
https://mastercompliance.com/2022/02/office-of-supervisory-jurisdiction-osj/
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https://mastercompliance.com/2022/02/office-of-supervisory-jurisdiction-osj/
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41
https://blog.starcompliance.com/finra-rule-3110-10-ways-to-create-effective-supervision-structures
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https://blog.starcompliance.com/finra-rule-3110-10-ways-to-create-effective-supervision-structures
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42
https://sos.ks.gov/publications/pubs_kar_Regs.aspx?KAR=81-3-7
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https://sos.ks.gov/publications/pubs_kar_Regs.aspx?KAR=81-3-7
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43
https://feltl.com/FeltlForms/Compliance%20Manual.pdf
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https://feltl.com/FeltlForms/Compliance%20Manual.pdf
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44
https://www.kurtalawfirm.com/failure-to-supervise/
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https://www.kurtalawfirm.com/failure-to-supervise/
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45
https://flofr.gov/sitePages/documents/69W-200.0025.pdf
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https://flofr.gov/sitePages/documents/69W-200.0025.pdf
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46
https://www.investmentnews.com/sec-seeks-more-input-on-finra-proposal-to-allow-supervision-from-home-offices-228656
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https://www.investmentnews.com/sec-seeks-more-input-on-finra-proposal-to-allow-supervision-from-home-offices-228656
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47
https://www.jackolg.com/legal-risk-management-tips/what-the-new-finra-supervisory-rules-mean-for-your-brokerage-practices/
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https://www.jackolg.com/legal-risk-management-tips/what-the-new-finra-supervisory-rules-mean-for-your-brokerage-practices/
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48
https://regulations.justia.com/states/missouri/title-15/division-30/chapter-51/section-15-csr-30-51-171/
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https://regulations.justia.com/states/missouri/title-15/division-30/chapter-51/section-15-csr-30-51-171/
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49
http://www.pacodeandbulletin.gov/Display/pacode?file=/secure/pacode/data/010/chapter305/s305.011.html&d=reduce
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50
https://www.thinkadvisor.com/2022/03/17/compliance-officers-supervisory-duties-and-enforcement-actions-finra-explains/
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https://www.thinkadvisor.com/2022/03/17/compliance-officers-supervisory-duties-and-enforcement-actions-finra-explains/
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51
https://secure.triadsecurities.com/data/triad_docs/Written_Supervisory_Procedures.pdf
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https://secure.triadsecurities.com/data/triad_docs/Written_Supervisory_Procedures.pdf
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52
https://www.missioncriticalservices.com/broker-dealers/
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https://www.missioncriticalservices.com/broker-dealers/
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53
https://heinonline.org/hol-cgi-bin/get_pdf.cgi?handle=hein.journals/ucdbulj22§ion=11
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https://heinonline.org/hol-cgi-bin/get_pdf.cgi?handle=hein.journals/ucdbulj22§ion=11
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54
https://www.ria-compliance-consultants.com/2008/07/finras-proposed-rule-3110-may-extend-the-scope-of-broker-dealer-supervision-of-investment-advisors/
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https://www.ria-compliance-consultants.com/2008/07/finras-proposed-rule-3110-may-extend-the-scope-of-broker-dealer-supervision-of-investment-advisors/
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55
https://www.bclplaw.com/en-US/insights/supervision-of-vendors-when-outsourcing-the-buck-stops-with-finra-member-firms.html
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https://www.bclplaw.com/en-US/insights/supervision-of-vendors-when-outsourcing-the-buck-stops-with-finra-member-firms.html
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56
https://www.sifma.org/wp-content/uploads/2017/05/sifma-submits-comments-to-the-sec-on-proposed-new-finra-rules-on-supervision-and-supervisory-control-systems.pdf
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https://www.sifma.org/wp-content/uploads/2017/05/sifma-submits-comments-to-the-sec-on-proposed-new-finra-rules-on-supervision-and-supervisory-control-systems.pdf
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57
https://www.proskauer.com/newsletter/broker-dealer-beat-august-2019
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https://www.proskauer.com/newsletter/broker-dealer-beat-august-2019
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58
https://www.erado.com/supervision-rules/
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https://www.erado.com/supervision-rules/
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59
https://www.bdlawcorner.com/category/supervision/
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https://www.bdlawcorner.com/category/supervision/
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60
https://www.lexology.com/library/detail.aspx?g=41713f3b-64d5-4a63-8ba0-9433ee895a4f
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https://www.lexology.com/library/detail.aspx?g=41713f3b-64d5-4a63-8ba0-9433ee895a4f
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61
https://rules.sos.ga.gov/gac/590-4-5
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https://rules.sos.ga.gov/gac/590-4-5
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62
https://fortunefinancialservices.com/site/assets/files/1150/wsp-_9-2021.pdf
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https://fortunefinancialservices.com/site/assets/files/1150/wsp-_9-2021.pdf
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63
https://sdlegislature.gov/api/Rules/20:08:03:01.html
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64
https://www.lalitigationlawyers.com/failure-to-supervise.html
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https://www.lalitigationlawyers.com/failure-to-supervise.html
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65
https://www.willkie.com/-/media/files/publications/2012/02/supervisory-obligations-of-broker-dealer-legal-a__/files/supervisoryobligationsofbrokerdealer1pdf/fileattachment/supervisory_obligations_of_broker_dealer1.pdf
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https://www.willkie.com/-/media/files/publications/2012/02/supervisory-obligations-of-broker-dealer-legal-a__/files/supervisoryobligationsofbrokerdealer1pdf/fileattachment/supervisory_obligations_of_broker_dealer1.pdf
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66
https://www.subjecttoinquiry.com/2021/08/finras-important-reminder-firms-supervise-third-party-vendors/
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https://www.subjecttoinquiry.com/2021/08/finras-important-reminder-firms-supervise-third-party-vendors/
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67
https://www.smarsh.com/blog/firms-and-brokers-penalized-for-failing-to-comply-with-recordkeeping-and-supervision-obligations/
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https://www.smarsh.com/blog/firms-and-brokers-penalized-for-failing-to-comply-with-recordkeeping-and-supervision-obligations/
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68
https://ibdcconsulting.com/wp-content/uploads/2019/06/Bates_Research_Broker-Dealer_Branch_Office_Compliance.pdf
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https://ibdcconsulting.com/wp-content/uploads/2019/06/Bates_Research_Broker-Dealer_Branch_Office_Compliance.pdf
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69
https://www.advisorhub.com/home-office-finra-sends-rule-proposal-on-remote-work-locations-to-sec/
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https://www.advisorhub.com/home-office-finra-sends-rule-proposal-on-remote-work-locations-to-sec/
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70
https://www.foley.com/en/insights/publications/2009/04/brokerdealer-supervision-update
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https://www.foley.com/en/insights/publications/2009/04/brokerdealer-supervision-update
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71
https://www.davispolk.com/publications/sec-issues-faq-regarding-supervisory-responsibility-legal-and-compliance-personnel
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https://www.davispolk.com/publications/sec-issues-faq-regarding-supervisory-responsibility-legal-and-compliance-personnel
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72
https://sycamorecompany.com/supervision-surveillance-capabilities/
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https://sycamorecompany.com/supervision-surveillance-capabilities/
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73
https://www.friedfrank.com/uploads/siteFiles/Publications/0DE324C5F11412575C064B192DAC86D6.pdf
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https://www.friedfrank.com/uploads/siteFiles/Publications/0DE324C5F11412575C064B192DAC86D6.pdf
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74
https://regulusadvisors.com/wp-content/uploads/2021/08/Regulus-WSP-3.30.2021.pdf
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https://regulusadvisors.com/wp-content/uploads/2021/08/Regulus-WSP-3.30.2021.pdf
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75
http://citywire.com/ria/news/finra-fines-cetera-1m-over-failure-to-supervise-hybrid-advisors/a1440930?ref=international-usa-ria-most-popular-list&linkSource=home
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http://citywire.com/ria/news/finra-fines-cetera-1m-over-failure-to-supervise-hybrid-advisors/a1440930?ref=international-usa-ria-most-popular-list&linkSource=home
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76
https://piaba.org/system/files/2018-04/FINRA%20Regulatory%20Notice%2018-08%20%28April%2027%2C%202018%29.pdf
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https://piaba.org/system/files/2018-04/FINRA%20Regulatory%20Notice%2018-08%20%28April%2027%2C%202018%29.pdf
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77
https://www.quadrantregulatory.com/broker-dealers
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https://www.quadrantregulatory.com/broker-dealers
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78
https://www.burr.com/securities-litigation/finra-proposal-modernizes-supervision-rule-to-recognize-wfh
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https://www.burr.com/securities-litigation/finra-proposal-modernizes-supervision-rule-to-recognize-wfh
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79
https://financialresourcesgroup.net/compliance-supervision/
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https://financialresourcesgroup.net/compliance-supervision/
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80
https://www.herskovitslaw.com/blog/finra-provides-guidance-for-supervisory-review-of-email/
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https://www.herskovitslaw.com/blog/finra-provides-guidance-for-supervisory-review-of-email/
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81
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82
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83
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84
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85
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86
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87
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88
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89
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90
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91
https://nyccriminallawyer.com/fraud-charge/investment-fraud/failure-to-supervise/
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92
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93
https://www.kcdfinancial.com/files/101629/KCD%20WSP%2005-04-2021.pdf
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94
https://www.bakerlaw.com/alerts/whos-your-supervisor-the-sec-sheds-further-light-on-the-subject-10-17-2013
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https://www.bakerlaw.com/alerts/whos-your-supervisor-the-sec-sheds-further-light-on-the-subject-10-17-2013
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95
https://dfpi.ca.gov/about-broker-dealers-and-broker-dealer-agents/
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96
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