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About Quadrant Regulatory Group
Quadrant Regulatory Group provides Broker-Dealers and Registered Investment Advisors with services that support compliance with SEC, FINRA, MSRB, NFA, SRO, and state securities laws. Quadrant delivers expert guidance, ongoing assistance during regulatory examinations, compliance support, testing, and financial and accounting services. Quadrant has a dedicated team of Certified Anti-Money Laundering Specialists that perform independent tests of firms’ anti-money laundering compliance programs.
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