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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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