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Securities Commission

Montgomery, 美国 中的 地方和州政府办公室
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The Alabama Securities Commission (ASC) regulates the securities industry in Alabama. The Commission is committed to protecting investors …

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常见问题解答

问:
What is the purpose of an audit or examination?
答:
An examination of a dealer or adviser’s books, records and operations is to ensure the dealer and its agents or investment adviser and its representatives are in compliance with...
答:
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