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PROCU 2012 ANNUAL MEETING REGULATORY UPDATE

PROCU 2012 ANNUAL MEETING REGULATORY UPDATE. Michael D. Burns Chief Compliance Officer October 1, 2012. Topics For Discussion. Where has Dodd-Frank Led us to Today SEC Activities and Status Investment Adviser Regulatory Overhaul Financial Industry Regulatory Authority (FINRA) Focus

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Self regulator - PowerPoint PPT Presentation

PROCU 2012 ANNUAL MEETING REGULATORY UPDATE