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Chicago B/D Settles Reporting Case

November 3, 2011
Sutherland Partner Brian L. Rubin was quoted in a recent Compliance Intelligence article covering a reporting case settlement between Chicago-based Birkelbach Investment Securities Inc., and FINRA. In the article, Rubin notes that the issues raised in the case were uncommon. However, FINRA recently released a number of notices emphasizing that if a brokerage outsources any compliance work, then it needs to supervise the third party.
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