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Broker-dealers that have not yet established a compliance strategy or begun a program design in preparation for Reg NMS are well behind the industry curve, according to a new report by McLean, Va.-based consultancy BearingPoint. The report makes recommendations for those stragglers still piecing together their strategy for meeting the provisions of Reg NMS, including:
Stressed Out by Compliance, Reputational Damage & Fines?
Financial services executives are living in a "regulatory pressure cooker." Here's how executives are preparing for the new compliance requirements.
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