LEGAL AND BUSINESS CONSULTING SERVICES, NAMELY, PROVIDING LEGAL AND BUSINESS SERVICES AND RELATED INFORMATION TO BROKER-DEALER FIRMS, INVESTMENT ADVISORY FIRMS, INVESTMENT ADVISERS, REGISTERED REPRESENTATIVES, REGISTERED PRINCIPALS, INVESTMENT COMPANIES AND OTHERS PERSONS OR ENTITIES IN FINANCIAL AND INVESTMENT RELATED FIELDS ON COMPLIANCE-RELATED MATTERS, POLICIES AND PROCEDURES, REGISTRATIONS AND/OR OTHER REGULATORY ISSUES PROVIDED IN PERSON AND/OR DELIVERED VIA THE INTERNET AND/OR AN INTRANET

'advis':24 'advisori':21 'and/or':51,58,63 'broker':17 'broker-deal':16 'busi':3,10 'compani':30 'complianc':44 'compliance-rel':43 'consult':4 'dealer':18 'deliv':59 'entiti':35 'field':41 'financi':37 'firm':19,22 'inform':14 'internet':62 'intranet':65 'invest':20,23,29,39 'issu':54 'legal':1,8 'matter':46 'name':6 'other':32 'person':33,57 'polici':47 'princip':28 'procedur':49 'provid':7,55 'regist':25,27 'registr':50 'regulatori':53 'relat':13,40,45 'repres':26 'servic':5,11 'via':60

COMPLIANCE COUNSEL

Owner

Goods & Services