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The SIPA | 2018 | October

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for October, 2018

Government proves AML and SAR’s are worthless

Why burden brokerage firms? For years we have questioned why the federal government relies on brokerage firms to do a laundry list of cartwheels and hoop jumping to fight potential terrorism. September 11th 2001 was 17 years ago and every month FINRA and the SEC take dramatic and draconian action against firms for not seeing […]
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