Financial Planning Certificate: Identifying and Satisfying

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Language: English

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In addition, those that streamline enterprise architecture and enhance communication processes will gain efficiencies and improve customer service. Wherever oversight or deregulation of such industries is considered, such technological considerations require at least some minimal federal guidance. We advise investment advisers and broker/dealers on the structure and formation of funds, preparation of federal and state registration applications and ongoing filings, compliance with the Investment Advisers Act of 1940, the Securities Exchange Act of 1934 and FINRA regulations.

Pages: 0

Publisher: BPP Publishing Ltd; 5th edition (May 1999)

ISBN: 0751799521

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