Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models

Michelle L. Jacko

Charles Schwab Compliance Review

05.2011

Michelle L. Jacko's article,"Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models," was published in Charles Schwab's Compliance Review in the May 2011 issue.

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Attorneys

Michelle L. Jacko, Esq.

Practice Areas

FINRA Regulatory Counsel & Compliance Services
Investment Adviser Counsel
Investment Adviser: Regulatory Compliance Services
SEC/State: Regulatory Compliance Services

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