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The top documents tagged [nasd rule]
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nasd rule
Financial Advisors’ Use of Social Media - 2010 Survey
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Financial Advisors' Use of Social Media - 2010 Survey
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Linked In for Penn Mutual
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Dropping Anchor Under the Waterfall: Legal and Policy Challenges of the Social Data Deluge
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THE NASDAQ STOCK MARKET, INC. Marketplace Rules
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FIRMA Presentation Dual Hatting Melody Bohlmann IM&T Investment Risk Manager March 31, 2010.
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2010 Broker Dealer Regulation
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Strategy & Tactics 1 NYU – Stern School of Business March 24, 2009 Tobias M. Levkovich Managing Director, Chief U.S. Equity Strategist
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1 Deborah Weinswig Citi Investment Research 212-816-1860
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See Appendix A-1 for Analyst Certification and Important Disclosures.
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Deborah Weinswig Citi Investment Research 212-816-1860 deborah.weinswig@citi
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1 NASD Rule 3040 & Proposed FINRA Rule 3110: Oversight of Dual-Hatted Employees Joan R. Dindoffer, VP and Chief Compliance Officer, Private Fiduciary Services,
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