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COMPLIANCE WATCH: Regulators Eye Brokers’ Outside Business

October 22, 2010
The Wall Street Journal Online

Litigation Partner Brian L. Rubin commented on the "automatic inquiries” brokerages are facing following an adviser’s firing for outside business activity. Rubin said, "Regulators’ inquiries generally hone in on a brokerage’s compliance procedures for preventing and monitoring outside business activities, and they seem to be occurring more frequently."

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