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Securities Law
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Online Seminar (Audio & Video)
Online Seminar (Audio & Video)
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Online - 2011 Securities Law Workshop: FINRA as a Gatekeeper: 15(c)(2)(11) and Related Issues
0.5 Self-Study
Price: $18.75 (provides online access for 3 months after purchase).
Course №:V 11-9006B
Course Level: Basic
Duration: 49 Minutes
Original Program Date: Friday, May 6, 2011
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  Item Description | Faculty | Course Materials
Item Description Back to top
2011 Annual Securities Law meeting in Las Vegas.  Chris Stone presents on what FINRA should be for the securities industry.

Faculty Back to top
Chris  Stone, FINRA

Course Materials Back to top

htmAnnual Securities Law (124 Pages, 2 MB)
icon_acrobatFINRA as Gatekeeper: 15 (c)(2)(11) and Related Issues (3 Pages, 198 KB)
htmHelp

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