Broker-Dealers | Industry Publications Annual Compliance and Supervision Certification: Lessons Learned by Broker-Dealers May 1, 2006 by M. Jacko Michelle L. Jacko’s article, “Annual Compliance and Supervision Certification: Lessons Learned by Broker-Dealers,” was published in the National Society of Compliance Professionals’ (NSCP) Hotline Memo in May, 2006. Click to Read the Article.
