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Data backup data checks - PowerPoint PPT Presentation

2009 COORDINATED INVESTMENT ADVISER EXAMS

2009 COORDINATED INVESTMENT ADVISER EXAMS. North American Securities Administrators Association. Who Was Examined?. 458 State-level advisers, of which. 100 advisers (21.8%) were affiliated with a BD 76 advisers (16.6%) used or acted as solicitors.

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372 views • 26 slides

2011 COORDINATED INVESTMENT ADVISER EXAMS

2011 COORDINATED INVESTMENT ADVISER EXAMS. North American Securities Administrators Association. Who Was Examined?. 825 State-level advisers between January 1 and June 30, 2011, of which. 155 advisers (18.8%) were affiliated with a Broker-dealer

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223 views • 12 slides

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Data backup data checks - PowerPoint PPT Presentation

2009 COORDINATED INVESTMENT ADVISER EXAMS

2011 COORDINATED INVESTMENT ADVISER EXAMS