Examiners Become The Examined – Flash Crash Reflections Produce SRO Exam Remedy

You arent an SRO, or directly regulated by one (so far). Chances are though, you may be partially regulated by an SRO as a dual registrant, or you may conform certain compliance practices to standards set by an SRO where the SEC has not yet provided clear guidance. SROs have long been squarely on the regulating […]
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