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Suggested Escrow Agreement Provisions for Members Finra Form

Suggested Escrow Agreement Provisions for Members Finra Form

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so that's a perspective on how to implement this effectively on larger firm scale before we go back to your your comments Joe let me just ask Jack from the perspective of firm that say 150 persons or less a medium to a small firm uh those resources and dedicated resources just may not be available from a practical perspective so what's your your thought or your advice on how to ensure the implementation of a quality supervisory control program well you're right on point uh forget about the firm that's 150 reps how about the firm that's four or five reps you know the same people would be in the room doing the same functions throughout 30 10 302 3130 it's a it's it's a blended process but you still have to get to the same endpoint so you have to think about a reasonable approach to how you do it you have to make sure that you're communicating with people you have to understand your business and you have to use tools

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