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National Examination Risk Alert By the Office of Compliance Inspections and Examinations 1 In this Alert: Topic: Duties of broker-dealers
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Document Date: 2012-03-19 11:51:08

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File Size: 132,72 KB

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Company

Quest Strategies Inc / S.C. Nat’l Bank / Firms’ Expectations Some / Consolidated Investment Services Inc. / /

Event

Person Communication and Meetings / /

IndustryTerm

securities law violations / risk management systems / public finance bankers / /

Organization

office of Compliance Inspections and Examinations / Division of Corporation Finance / Securities and Exchange Commission / Division of Trading and Markets / /

Person

Gary E. Bryant / /

Position

Municipal Underwriter / broker / dealer / broker-dealer / chairperson / supervisor / municipal securities dealer / counsel / broker / dealer or municipal securities dealer / municipal securities underwriter / outside counsel / dealer / underwriter / manager / syndicate member / /

URL

http /

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