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FINRA and SEC Scrutiny

In its latest report, Smarsh reviews how firms are managing enhanced SEC and FINRA scrutiny.

Download: Smarsh Regulatory Updates

 

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My Old Man

“My father used to play with my brother and me in the yard. Mother would come out and say, ‘You’re tearing up the grass.’ ‘We’re

History is Calling

Photo from The Anne Frank House, modified for LEVICK blog “Give of yourself…you can always give something, even if it is only kindness…no one has

Loss & Hope

“Ah death. A change of clothes.” – The Dalai Lama What we remember are the stories. It is what holds us together. Families. Communities. Countries.