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The top documents tagged [nfa regulatory requirements]
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The NFA Examination Process November 6, 2014 Regina Thoele, Senior Vice President Patricia Cushing, Director, Compliance J.P. Bruynes, Partner, Akin Gump
216 views
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The NFA Examination Process Patricia Cushing, Director, Compliance
20 views
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Session 5: The NFA Audit Process Panelists: Roxanne Bennett, Price Asset Management Jennifer Sunu, NFA Matt Pendell, NFA
238 views
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The NFA Examination Process March 18 and 19, 2015 Patricia Cushing, Director, Compliance Michael Braden, Manager, Compliance Jacob Preiserowicz, Special
213 views
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Session 5: The NFA Audit Process Moderator: Regina Thoele, NFA Panelists: Larry Block, Kenmar Group Joseph Picone, NFA Lennox Compass, NFA
240 views
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Session 5: The NFA Audit Process Moderator: Regina Thoele, NFA
39 views