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The LeGaye Law Firm P.C. - Financial Services Compliance Counsel

Legal compliance counsel to the financial services industry, including broker-dealers and investment advisers.
Categories: Business, Government and Legal Organizations
Topics: 3210 letter, california finder's fee agreement, financial services compliance counsel, finra dual registration, finra rule 3210, legaye law firm, the legaye law firm p.c

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investmentlawblog.com

investmentlawblog.com investmentlawblog.com           
Investment Law Blog - Published by Catherine DeBono Holmes of Jeffer Mangels Butler & Mitchell LLP
Investment Law Blog - Published by Catherine DeBono Holmes of Jeffer Mangels Butler & Mitchell LLP

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mastercompliance.com

mastercompliance.com mastercompliance.com           
MasterCompliance - Consulting | Training | Regulatory Applications
Consulting | Training | Regulatory Applications

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sddco.com

sddco.com sddco.com           
Homepage
Homepage

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shufirm.com

shufirm.com shufirm.com           
Shustak: Securities Attorney, FINRA Attorney, Securities Arbitration Attorney
Core Practice: Securities, Litigation, and Arbitration. Representing Broker-Dealers, Registered Persons & Investment Advisers. SEC/FINRA Litigation/Enforcement Actions. Complex Business Disputes. Corporate & Securities Transactions.


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wbhulaw.com

wbhulaw.com wbhulaw.com           
WBHU Law Firm
Wexler Burkhart Hirschberg & Unger, LLP is a boutique litigation and corporate law firm in New York with over 40 years of experience in securities litigation.

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patrina.com

patrina.com patrina.com           
Patrina Compliant Archiving - Email & Message Archiving & Compliance Softwarea
Patrina Compliant Archiving - Email & Message Archiving & Compliance Softwarea Indian hindi-language daily newspaper. Rajasthan Patrika is an Indian Hindi-language daily newspaper. It was founded by Karpoor Chandra Kulish in 1956 and published as Rajasthan Patrika in Delhi and Rajasthan, and as Patrika in 9 other states.As per Indian Readership Survey 2013, Rajasthan Patrika emerged as the fourth most-read Hindi language newspaper in India, and Patrika emerged sixth.

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acacompliancegroup.com

acacompliancegroup.com acacompliancegroup.com           
Governance, risk, and compliance advisory in financial services
ACA Group (“ACA”) is the leading governance, risk, and compliance (GRC) advisor in financial services.

Moz DA: 38 Moz Rank: 3.9 Semrush Rank: 4,641,047
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bdlawcorner.com

bdlawcorner.com bdlawcorner.com           
Broker- Dealer Law Corner | Ulmer & Berne LLP
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brokeandbroker.com

brokeandbroker.com brokeandbroker.com           
BrokeAndBroker.com by Bill Singer, 917-520-2836 :: Irreverent Wall Street Blog
BrokeAndBroker.com by Bill Singer, 917-520-2836 :: Irreverent Wall Street Blog

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cecouncil.com

cecouncil.com cecouncil.com           
CE Council | Home
CE Council | Home

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acisecure.com

acisecure.com acisecure.com           
Broker Dealer FinOp & Financial Accounting Consultants | ACI
Our team of FinOps (Financial and Operation Principals) and Accountants has provided turnkey accounting solutions to broker dealers since 1984.

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financialish.com

financialish.com financialish.com           
Financial News, Stock Markets, Business New, Financials, Earnings, Hirings and Firings - Financialish
We cover the top financial and business news as well as other 'ish' that people should know about.


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redoakcompliance.com

redoakcompliance.com redoakcompliance.com           
Intelligent Compliance Software | Red Oak Compliance Solutions
Intelligent compliance software powered by AI for advertising review, disclosure management, registration management, and more.


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feltl.com

feltl.com feltl.com           
Feltl and Company
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finracompliance.com

finracompliance.com finracompliance.com           
RND Compliance | FINRA & SEC Regulatory Compliance Experts - RND Compliance
RND Compliance FINRA and SEC experts provide actionable guidance for complex regulatory challenges so you can focus on what you do best.


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thorntonandassociates.com

thorntonandassociates.com thorntonandassociates.com           
Home - Thornton & Associates
Home - Thornton & Associates

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rrscompliance.com

rrscompliance.com rrscompliance.com           
Renaissance: Home
Renaissance: Home


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entreda.com

entreda.com entreda.com           
Cybersecurity | Smarsh
Cybersecurity | Smarsh

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bdiaregulator.com

bdiaregulator.com bdiaregulator.com           
IM Insights | Providing securities and derivatives regulatory updates for investment management industry participants
Providing securities and derivatives regulatory updates for investment management industry participants

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solomonexamprep.com

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Solomon Exam Prep - Helping you pass your FINRA, NASAA, MSRB and NFA exams - Solomon Exam Prep
Solomon Exam Prep has helped tens of thousands pass their FINRA, NASAA, MSRB and NFA licensing exams.

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financialservices.org

financialservices.org financialservices.org           
Voice of Independent Financial Service Firms & Financial Advisors
Membership in FSI is an investment in the future of your business. Join Now

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asgardcompliance.com

asgardcompliance.com asgardcompliance.com           
Broker Dealer Compliance | Asgard
Asgard Regulatory Group is a leading provider of broker dealer compliance
consulting services, registered investment advisers and private equity
firms.

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oysterllc.com

oysterllc.com oysterllc.com           
Consulting Outsourcing Software | Oyster Consulting
Oyster Consulting provides expert consulting, outsourcing, and software solutions to the financial services industry with our experienced industry consultants.

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questce.com

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Home - Quest CE
Services
Get more out of your training courses, programs and events.
Customer-Centered Solutions
At Quest CE, we’re most successful, when you’re successful. Plain and simple. Our promise is to not only deliver innovative solutions, but more importantly deliver added value to the clients we work with, giving them

Moz DA: 33 Moz Rank: 4.1 Semrush Rank: 351,521
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yankowitzlaw.com

yankowitzlaw.com yankowitzlaw.com           
Contact Support

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bcgsecurities.com

bcgsecurities.com bcgsecurities.com           
Home | BCG Securities, Inc
Home | BCG Securities, Inc


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herskovitslaw.com

herskovitslaw.com herskovitslaw.com           
New York FINRA Arbitration Lawyer | NYC Securities Litigation Attorney | Herskovits PLLC
Free Initial Consultation - Call (212) 897-5410 - Herskovits PLLC is dedicated to providing our clients with legal services in FINRA Arbitration and Securities Litigation cases.


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hardincompliance.com

hardincompliance.com hardincompliance.com           
Governance, risk, and compliance advisory in financial services
ACA Group (“ACA”) is the leading governance, risk, and compliance (GRC) advisor in financial services.

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burchco.com

burchco.com burchco.com           
Burch & Company, Inc. | Registered Broker-Dealer
Licensed in all fifty states & registered with the Securities and Exchange Commission, FINRA and SIPC, Burch & Company, Inc. is a registered broker/dealer.


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complinet.com

complinet.com complinet.com           
Regulation and compliance management | Thomson Reuters
Software and services that help you navigate the global regulatory environment and build a culture of compliance.

Moz DA: 54 Moz Rank: 4.2 Facebook ♡: 2
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riacomplianceblog.com

riacomplianceblog.com riacomplianceblog.com           
RIA Compliance Blog — Published by RIA Compliance Lawyers — Registered Investment Advisor Regulation Attorneys — Parker MacIntyre
RIA Compliance Blog — Published by RIA Compliance Lawyers — Registered Investment Advisor Regulation Attorneys — Parker MacIntyre


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piaba.org

piaba.org piaba.org           
| PIABA

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startupblog.com

startupblog.com startupblog.com           
startupblog - Legal Information for Startups
Legal Information for Startups

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sonnlaw.com

sonnlaw.com sonnlaw.com           
Securities Fraud Attorneys in Miami, Florida»Sonn Law Group
Significant investment losses? Our Miami-based securities fraud attorneys aggressively represent investors throughout the U.S and Puerto Rico against.

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kcbpem.com

kcbpem.com kcbpem.com           
Home | KCB Private Equity
Home | KCB Private Equity

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corecls.com

corecls.com corecls.com           
SEC Compliance Services | Core Compliance
We handle your compliance needs so you can focus on your firm’s growth. Learn about our expert SEC compliance services and customized solutions today.

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rmstark.com

rmstark.com rmstark.com           
R.M. Stark & Co., Inc.
R.M. Stark & Co., Inc.

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samcocapital.com

samcocapital.com samcocapital.com           
SAMCO Capital Markets, Inc.
SAMCO Capital Markets, Inc.
Founded in 1987 and headquartered in Austin, SAMCO Capital Markets, Inc., an employee-owned company, combines depth of experience and the highest integrity.
With deep local knowledge about our dynamic Texas market, our professionals have experience in both up and down markets and

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findknowdo.com findknowdo.com           
Home Page | Find Know Do
Home Page | Find Know Do

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invpro.com

invpro.com invpro.com           


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spillerlaw.com

spillerlaw.com spillerlaw.com           
Business-Entertainment-Estate Planning Law|Spiller Law|San Francisco
Spiller Law is a law practice founded by small business lawyer, entertainment and music lawyer, and estate planning lawyer, Lindsay Spiller. Attorney Spiller advises startups, small businesses, film and music producers, and media companies in San Francisco, Los Angeles, and throughout California.

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estates-ca.com

estates-ca.com estates-ca.com           
Estates of California - you real estate investment Matchmaker
Estates of California - you real estate investment Matchmaker


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wiandlaw.com

wiandlaw.com wiandlaw.com           
Guerra King
Guerra King

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firstmarksolutions.com

firstmarksolutions.com firstmarksolutions.com           
Home - FirstMark Regulatory Solutions
FirstMark Regulatory Solutions - We help solve problems. Expert broker-dealer consulting services. Boca Raton, FL. Call (561) 948-6511

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gregorylevinelaw.com

gregorylevinelaw.com gregorylevinelaw.com           
Gregory Levine Law - Broker-Dealer & RIA and Legal Compliance
Let me help you form your new BD or RIA. If you need ongoing compliance support my unique, clarity based approached will provide the comfort you're seeking.

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jimhamiltonblog.blogspot.com

jimhamiltonblog.blogspot.com jimhamiltonblog.blogspot.com           
Jim Hamilton’s World of Securities Regulation
A blog focusing on securities regulation and trending issues by the securities law editors at Wolters Kluwer.

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1031financial.com 1031financial.com           
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Small Business Law and Financial Advisor Law in Lawrenceville, GA | The Beck Law Firm LLC
The Beck Law Firm, LLC is a leading law firm in Gwinnett County, GA providing legal services to small businesses, as well as to financial advisors, broker-dealers and registered investment advisers.


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cangelosefinancial.com

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Mark Cangelose
We are a financial services firm committed to helping people pursue their financial goals. We offer a wide range of financial products and services to individuals and business owners.


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erado.com

erado.com erado.com           
Digital Compliance Archiving: Software, Supervision, Reporting
With more than 50 content channels archived through our seamlessly integrated platform, Erado offers a complete software, supervision, and reporting solution. Command in various operating systems. In computing, del (or erase) is a command in command-line interpreters (shells) such as COMMAND.COM, cmd.exe, 4DOS, NDOS, 4OS2, 4NT and Windows PowerShell. It is used to delete one or more files or directories from a file system.


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The domain name Rstart.com is for sale
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soleburygroup.com

soleburygroup.com soleburygroup.com           
SOLEBURY ASSET MANAGEMENT, LLC.
Solebury Asset Management, LLC. is a Registered Investment Advisory Firm located in Bucks County, PA specializing in: Wealth Management, 401k design, Retirement Planning, Coordinating Estate Planning, College Planning, Wealth Management, implementation and management for companies, Annuities, and Insurance Based Planning.


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cbgfin.com

cbgfin.com cbgfin.com           
CBG Financial, Inc.
Investment management in central New Jersey.


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bdcaonline.com

bdcaonline.com bdcaonline.com           
Outsourced FINOP Services - BD Consulting Associates
BD Consulting Associates offers you the most reliable Outsourced FINOP Services. We have experienced and professional staff for your convenient assistance.

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triumphwealthadvisors.com

triumphwealthadvisors.com triumphwealthadvisors.com           
Triumph Wealth Advisors |
Triumph Wealth Advisors |

Moz DA: 10 Moz Rank: 2.4 Semrush Rank: 31,352,353 Facebook ♡: 19
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dwhlegal.com

dwhlegal.com dwhlegal.com           
Lewitas Hyman | Attorneys for Advisors, Investors & Firms
Lewitas Hyman PC represents financial professionals, firms and investors. Representation in Chicago and nationwide. Free consultations: 312-291-4600.

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jackolg.com jackolg.com           
SEC Regulatory Attorneys & Corporate Counsel | Jacko Law Group
From SEC and FINRA regulatory counsel to M&A transactions & more, our SEC regulatory attorneys will help you reach your company goals. Contact us today.

Moz DA: 18 Moz Rank: 3.5 Semrush Rank: 1,551,211
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Experienced New York City litigation attorneys specializing in Investment Negligence and Fraud, Securities Employees, and Criminal Defense.


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thecomplianceresource.com thecomplianceresource.com           
Home | Compliance Resource Partners
Compliance Resource Partners


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preserverfunds.com preserverfunds.com           
Preserver Funds – Home
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reged.com reged.com           
Home - RegEd.com
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

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lancebrowning.com lancebrowning.com           
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dimatas.com dimatas.com           
Under Construction

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ratnerplc.com ratnerplc.com           
Home - Ratner Law
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Jeff Leaf // Chief Creative Officer // Brand Builder
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American Investors Group, Inc.
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