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Review of Securities & Commodities Regulation

ISSN 0884-2426, Online ISSN:

Volume 52,  Number 09, May 1 2019.   Click on Article Title for Abstract and Full Text PDF


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Regulatory Focus on “High-Risk” Registered Representatives and Recidivism  
pp.97-104 (8)
Authors:  Corin R. Swift.; Benjamin L. Nager.; Jordan S. Schwartz.

The Growing Importance of Fully Integrated Compliance Programs  
pp.105-111 (7)
Authors:  William D. Semins.; Jared Kephart.

Complete Issue (May 8, 2019)  Volume 52, Number 9
pp.97-111 (15)
Authors:  Corin R. Swift (et al.).; William D. Semins (et al.).

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