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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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  1. Rules & Guidance
  2. Notices
  3. Regulatory Notice 21-19
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Gerard DeLeo Comment On Regulatory Notice 21-19
Gerard DeLeo
n/a

FINES MUST EXCEED ill-gotten gains "EARNED" by bad actors in the markets!

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