1 . . . . . . . . Sales Practice Sweep Report
U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

The Joint Regulatory Sales Practice Sweep Report

A Review of the Sales Practice Acitivities of Selected Registered Representatives and the Hiring, Retention, and Supervisory Practices of the Brokerage Firms Employing Them

http://www.sec.gov/news/sweeptoc.htm


Modified:11/5/96