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Nasdaq Stock Market also has proposed higher market data fees on some products, incl. a 30% increase in a basic service trading and compliance data package.

2006-11-15 01:35:34 · 1 answers · asked by Anonymous in Business & Finance Investing

1 answers

At my former brokerage, the Compliance Department simply made sure that whatever we did was in line with the industry's rules and recommendations. It can sometimes be tricky with some investments, so the folks at Compliance made sure we had all the necessary paperwork required. Whatever your compliance data specifically is, you can be sure some lawyers are involved to be sure the law is followed.

2006-11-15 13:01:22 · answer #1 · answered by Mike S 7 · 0 1

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