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This article on 12b-1 fee reform by Barbara Roper, director of investor protection for the Consumer Federation of America, originally appeared in The Broker/Dealer Report, a special supplement to the Journal...
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04-01-2008
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144
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File Size 135.7kB
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This article on Regulation S-P by Shane B. Hansen, who chairs the broker-dealer and investment adviser practice group of the Grand Rapids, Mich.-based law firm, Warner Norcross & Judd LLP, originally...
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04-04-2008
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135
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File Size 207.3kB
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