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Review of Securities & Commodities Regulation

ISSN 0884-2426, Online ISSN:

Volume 51,  Number 21, December 1 2018.   Click on Article Title for Abstract and Full Text PDF


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Modernizing the Regulatory Framework for BDCs  
pp.259-264 (6)
Authors:  Anna T. Pinedo.

Form U-5 Requirements for FINRA Member Firms  
pp.265-269 (5)
Authors:  Tracey Salmon-Smith.; Jennifer Chawla.

Complete Issue (December 5, 2018)  Volume 51, Number 21
pp.259-269 (11)
Authors:  Anna T. Pinedo.; Tracey Salmon-Smith (et al.).

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