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Outside Brokerage Account Review (FINRA Rule 3270)

January 18, 2019

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month.

http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

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Date:
January 18, 2019
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Website:
www.finra.org
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