Operations Conference and Exhibit
Reengineering Account Transfers - Events - sifma
Reengineering Account Transfers - Events - sifma
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Customer Complaints<br />
Quarterly meetings with FINRA/SEC<br />
– Discuss strategic plan<br />
– Solicit support for inclusion of banks<br />
– Reviewed NSCC Rule # 50 - paperwork requirement<br />
– Supplied list of complaint categories<br />
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