Georgia Securities Regulation Expert #7808

I have 20 years of experience and specialize in the field of securities regulation with specific knowledge in the areas of what the Securities and Exchange Commission and financial industry regulatory authority rule really require with regards to operational procedures and compliance procedures. I have published on such topics as compliance for small firms and building an efficient and effective compliance system. I have testified 15 times on topics such as the adequacy of a firm’s system of supervision, back office compliance requirements and the requirements under financial industry regulatory authority and the securities exchange commission rules.

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