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FINSEG provides the following services to
participants in the financial industry sector.
Services Offered:
- broker-dealer registration and related issues
- comment letters
- compliance memoranda
- compliance policies and procedures
- Congressional testimony
- expert witness services
- industry surveys and studies
- internal investigations
- investment adviser registration and related
issues
- issue tracking
- legal research
- litigation, arbitration and dispute resolution
assistance
- licensing assistance
- no-action requests
- position/issue papers
- settlement services
- white/research papers
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