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The Compliance Checklist

Traders Magazine, February 1998

Howard L. Haykin

Every investigation by the National Association of Securities Dealers carries the risk of fines and sanctions. A single sanctionable event can cost a dealer $20,000.

A penalty depends largely on how well the dealer responds to accusations. However, traders too often adopt the attitude that they have done no wrong, and choose to leave the trading practices in place.

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