Hey B-D, NASD Rule 3010 audit management got you down?
No, I have not seen it yet myself but it certainly sounds good. Broker-dealers going through the annual…
No, I have not seen it yet myself but it certainly sounds good.
Broker-dealers going through the annual branch office blues over their compliance inspection have a new tool at their disposal.
That's because there is an updated version of the Wolters Kluwer TeamMate audit management system availabl
Learn more about reprints and licensing for this article.
