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Does anyone have compliance information regarding the relationship with 3rd parties in selling non deposit investment products? I know NASD has rules and there is an Interagency Statement (SR 94-11); however, I can not find things that “commit” to what banks are supposed to do.
Some issues of concern are the following:
If someone has an APG, procedures, or a contact at the NASD they are willing to share, I would be grateful.
Thanks
Justin
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