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Coverage of Financial and Sales Practice Modules in
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According to SEC Amex arbitration awards associated persons Association of Securities Atlanta district branch office examinations business conduct committee cold call rule companies compliance customer complaints Denver district devoted to penny disciplinary actions district business conduct district office enforcement actions examinations of penny examining branch offices excessive markups exchange listing federal fraud and abuse fraudulent identified investors listing requirements main offices markdowns market maker NASD and SEC NASD districts NASD examination NASD officials NASD staff NASD'S Atlanta NASD'S regulatory NASD's Resources NASDAQ NYSE offices of penny operations OTCBB over-the-counter securities penny stock broker-dealers penny stock fraud Penny Stock Market Penny Stock Reform penny stock regulation percent Philadelphia Stock Exchange pink sheets procedures quotation registered representatives require broker-dealers routine examinations sales practice examinations sales practice violations sanctions SEC Rule SEC'S Securities Dealers Stock Exchange Stock Reform Act Techniques for Regulation toll-free number transactions U.S. Attorney York districts