ABOUT
Cynthia L. King is a Principal of the Law Offices of the Cynthia L. King, and former Regional Counsel for NASD District 3 in Denver, a position she held for 10 years.
OTHER CONTENT BY Cynthia L. King
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May 12, 2020
On June 30, 2020, registered securities broker-dealers must begin their compliance with the new SEC Regulation…
