NASD Notice to Members 98-028 - March 1998
Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) includes 13 members representing a cross-section of securities firms and six self-regulatory organizations (SROs). Both the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) have appointed liaisons to the Council.
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