Disciplinary Decision of FINRA's NAC.

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Bibliographic Details
Imprint:	[New York] : Wolters Kluwer, [2017]-
Description:	1 online resource : digital
Language:	English
Subject:	Securities -- United States. Brokers -- United States. Brokers. Securities. United States.
Format:	E-Resource Journal
URL for this record:	http://pi.lib.uchicago.edu/1001/cat/bib/11619695

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Other authors / contributors:	Wolters Kluwer (Firm)
Notes:	Explanation about Decisions taken by FINRA's National Adjudicatory Council and NASD Regulation's National Business Conduct Committee from 1990 till 2016. Includes bibliographical references. Online resource; title from contents screen of Exchanges & SROs practice area (IntelliConnect, viewed December 30, 2016).
Summary:	A comprehensive source for decisions by FINRA's (and predecessor NASDR's) National Adjudicatory Council from 1990 through the present.

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