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Books and Records

Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P
A peer shares the firm's policies and procedures for maintaining records
FAQ tackles how new realities play with rules pertaining to gifts and entertainment
New order updates filing threshold for first time in nearly 30 years
This is an example of a trade ticket submitted by a peer
Whatever your document destruction approach is, be consistent
Certain records may be exempt from your destruction policy
Commission proposing tweaking record-keeping rule in light of advertising proposal
For nearly three years, Merrill Lynch failed to produce reliable audit trail data requested by Enforcement
Imagine seeking a position with a multinational financial services company and not having to undergo a formal application process, having no defined qualifications requirements or ...

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