Broker-Dealer Reporting

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Broker-Dealer Reporting Anonymous Fri Jan 18 21:31:41 2019 No.12486617 [Reply] [Original]

I'm looking for find out what agencies a broker-dealer would need to report to (other than the SEC, FINRA, and SIPC), as well as what requirements those agencies might have regarding corporate culture inside of the company's accounting department. I've already found some information on the SEC website. I just want to make sure my findings are comprehensive. Does anyone have any leads on where I could find such information?

>>	Anonymous Fri Jan 18 21:40:22 2019 No.12486691 You sound like a total faggot why on Earth would you want that info

>>	Anonymous Fri Jan 18 21:42:56 2019 No.12486711 Try to get a hold of Tom he is the key to all of this

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