Annual Compliance and Supervision Certification: Lessons Learned by Broker-Dealers

Michelle L. Jacko and V. Aileen Farrales

National Society of Compliance Professionals (NSCP) HotLine Memo

05.2006

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.

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Attorneys

Michelle L. Jacko, Esq.

Practice Areas

Broker-Dealer: Regulatory Compliance Services
Regulatory Examinations and Enforcement Counsel

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