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Jennifer DiValerio
Recent Posts
2 minute read
Given the ongoing uncertainties related to the pandemic, broker-dealer firms have been monitoring...
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Sometimes gifts and entertainment may be acceptable and appreciated; however, for individuals...
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While the pandemic has given us many personal and professional challenges and considerations, a...
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In February 2020 FINRA published Regulatory Notice 20-05 requesting comments to their proposal to...
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A recent alert published on July 31, 2019 from the North American Securities Administrators...