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Faculty Scholarship

Surveillant and Counselor: A Reorientation in Compliance for Broker-Dealers

James A. Fanto, Brooklyn Law SchoolFollow

Document Type

Article

Publication Date

2014

First Page

1121

Last Page

1184

Volume Number

2014

Issue Number

5

Recommended Citation

2014 BYU L. Rev. 1121 (2014)

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Included in

Banking and Finance Law Commons, Securities Law Commons

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