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General Consulting
SRP’s professionals offer a confidential and practical source for compliance questions.
Broker/Dealer Consulting services offered by SRP include, but are not limited to, the following:
1. Daily Compliance Matters |
5. Review of advertising and correspondence |
2. Research and answers to specific compliance inquiries |
6. Review and analysis of customer complaints |
3. Updates on new and amended rules, regulations and laws |
7. Review and analysis of regulatory inquiries |
4. Filing deadlines |
8. Book and Records requirements |
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