SEC Initiative - Brokers and dealers to have risk controls in place before providing their customers with access to the market: A Measure by the SEC
Abstract:The Securities and Exchange Commission (SEC) adopted a new rule, making it imperative for brokers and dealers to engage risk controls before allowing customers to trade in the market.
Compliance Trainings
Pregnancy in the Workplace: Strategies to Protect Your Organization from Pregnancy Discrimination Claims
By - Christopher W. Olmsted
On Demand Access Anytime
By - Christopher W. Olmsted
On Demand Access Anytime
How to Vet an IRB: Expose and Fix Problems Before They Threaten Your Trial
By - Madhavi Diwanji
On Demand Access Anytime
By - Madhavi Diwanji
On Demand Access Anytime
Compliance Standards
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