Daniel A. Nathan

Daniel A. Nathan

Morrison & Foerster LLP

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Broker-Dealer Email Systems Must Keep Pace with Firm Growth, FINRA Says

A recent FINRA disciplinary action sends a strong message to broker-dealers that the development of their compliance systems — particularly with respect to email review and retention — must keep pace with the growth of their...more

5/29/2013 - Broker-Dealer Discovery Email FINRA Recordkeeping Requirements Sanctions Supervision

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