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Municipal Securities and Municipal Advisors:
Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Mar. 9, 2013 John F. Cockerill, Pleasantville, New York
Oct. 30, 2010 Krista Zipfel, Advisor Solutions Group, Inc., Newport Beach, California
Oct. 13, 2010 Memorandum from the Office of the Chairman regarding an October 12, 2010, meeting with Labor Union Representatives






Modified: 03/21/2013