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  1. Focus IIA Report Maker

    NASD Focus IIA Report Program. NASD members list. Print the Focus IIA report from information already entered into your accounting softwre. NASD Member list ...
    FOCUS2
    securities2
    nasd1
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    focus IIA0
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    nasd reports0

    www.saxet.com - 2009-02-05

  2. CRDirect Online

    CRDirect - the complete Registered Rep data management solution.
    compliance3
    Continuing Education2
    NASD1
    CRD1
    Registered Representative1
    Registered Rep1
    Broker Dealer compliance1
    NASD compliance1
    Broker Dealer regulation1
    BD compliance0
    BD regulation0
    Rep tracking0

    www.crdirectonline.com - 2009-02-06

  3. MyComplianceOffice

    MyCompliance office provides web-based, automated compliance solutions for wealth management companies, investment advisers, hedge funds, private funds, ...
    Compliance3
    Regulations2
    Hedge Funds2
    SEC2
    Regulatory Compliance2
    Investment Advisers1
    NASD1
    Compliance management1
    Compliance Software1
    Corporate compliance1
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    Investment Companies1
    SEC Compliance1
    Private Funds1
    Broker-Dealers1
    Financial compliance1
    Broker Dealer Compliance1
    Fund compliance1
    FINRA Compliance1
    NASD Compliance1
    Investment Compliance1
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    Regulatory Service1
    Wealth Management Compliance1
    Mycompliance0
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    mco.fidelity.com - 2009-04-04

  4. Infinity Investigative Solutions, specializing in white collar crime

    Infinity Investigative Solutions is a licensed, private investigative firm specializing in white-collar investigations that provides customized services to all ...
    investigation2
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    data mining2
    private investigator2
    background check2
    hedge fund2
    investigative1
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    asset recovery1
    broker dealer1
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    judgment enforcement1
    NASD arbitration1
    broker dealer compliance1
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    quattrone1
    hedge fund check0
    Nichole Bocra0
    Nicole Bocra0

    www.infinityinvestigative.com - 2009-02-08

  5. L&S Consulting Group, Inc.

    L&S Consulting Group, Inc. is a regulatory compliance company that provides consulting services and technology to firms in the financial services industry. L&S ...
    Inc.3
    compliance3
    broker dealer1
    KYC1
    policies and procedures1
    Anti-Money Laundering1
    Know Your Customer1
    SEC Compliance1
    Brandon Lee1
    L&S1
    regulatory compliance services1
    regulatory software1
    Securities Compliance1
    NASD Compliance1
    Firm Element Training1
    Investment Adviser Consulting1
    NASD Compliance Consulting1
    Advisor Consulting0
    Broker-dealer Compliance Forms0
    Broker-dealer Compliance Tools0
    Broker-dealer Consulting0
    Broker-dealer Firm Element0
    L&S Consulting0
    L&S Consulting Group0
    New York compliance0
    Regulation S-P0
    Rule 30120
    Rule 30130
    SEC Compliance Consulting0
    Steve Solano0

    www.lsconsultinggroup.com - 2009-02-04

  6. Registered Investment Advisor, Investment Management, and Broker Dealer Services

    Partnervest provides comprehensive broker dealer services, backoffice operations compliance, and investment management solutions for the Registered Investment ...
    financial planning3
    financial services3
    financial advisor2
    Santa Barbara2
    RIA2
    registered investment advisor1
    paperless office1
    investment management services1
    broker dealer compliance1
    FINRA compliance1
    broker dealer services1
    NASD compliance1
    In-House Outsourced Solution0
    Ken Hyman0
    Partnervest0

    www.partnervest.com - 2009-02-07

  7. San Diego Law Firm: Seltzer Caplan McMahon Vitek provides legal services in business, litigation, family, real estate, health care and tax law

    One of the largest San Diego law firms and listed in Martindale Hubbell, Seltzer Caplan McMahon Vitek provides a full range of business and litigation legal ...
    american4
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    san diego appeals0
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    san diego litigation services0
    san diego securities law0
    san diego stock options law0

    www.scmv.com - 2009-02-07

  8. Anchovy Software Home

    Anchovy Software specializes in compliance management solutions for financial services firms.
    management5
    solutions4
    compliance3
    continuing education2
    regulatory compliance2
    CMT1
    compliance management1
    Patriot Act1
    securities compliance1
    firm element1
    compliance tracking1
    NASD Compliance1
    financial services compliance1
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    Web CRD1
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    Anchovy Software0
    compliance management tool0
    webeft0
    Web EFT0
    webeft Business Components0
    Web EFT Business Components0

    www.anchovysoft.com - 2009-02-05

  9. Symphony FSG

    Symphony FSG provides a complete range of customized managed IT services designed for hedge fund and financial services.
    services6
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    data3
    recovery3
    backup3
    strategic2
    fund2
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    operations2
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    managed2
    business process consulting1
    financial applications1
    SEC compliance1
    GLBA compliance1
    NASD compliance1
    security policy compliance1
    financial managed services1
    hedge fund IT managed services1
    Symphony FSG1

    www.symphonyfinancialservicesgroup.com - 2009-02-05

  10. MyComplianceOffice - SEC, NASD & FINRA

    MyComplianceOffice provides web-based, automated compliance solutions for wealth management companies, investment advisers, hedge funds, private funds, ...
    Software7
    Personal5
    Broker4
    Dealer4
    Trading3
    Compliance3
    Officer2
    Chief2
    Corporate compliance1
    SEC Compliance1
    Private Funds1
    Financial Compliance1
    Broker Dealer Compliance1
    FINRA Compliance1
    NASD Compliance1
    Investment Adviser Compliance1
    RIA Compliance1
    Asset Management Compliance1
    Hedge Fund Compliance Software1
    Investment Compliance Software1
    MyComplianceOffice1
    My Compliance Office1
    Wealth Management Compliance1
    FINRA Compliance Software0
    Fund compliance Software0
    NASD Compliance Software0
    SEC Compliance Software0

    www.mycomplianceoffice.com - 2009-02-09

sec compliance1 finra compliance1 broker dealer compliance1 compliance3 broker dealer consulting1 management5 audit3 consulting5 broker dealer services1

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