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By Gary A. Carleton Copies to Via Airborne Express and First Class Mail John L. Greer III Via First Class Mail and Electronic Transmission Andrew A. Thereafter on or about September 24 1998 the Respondent completed a New Account Approval form in the name of J. Lawson Green which was false and misleading. Finally the Complaint alleges that on or Approval form in the name of J. Lawson Green which was false and misleading. According to Enforcement the Respondent s account at Morgan Keegan was...

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NASD Regulation Inc. is a regulatory organization that oversees the conduct of broker-dealers in the financial industry.

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Broker-dealers in the financial industry are required to file NASD Regulation Inc.

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NASD Regulation Inc. can be filled out online through the appropriate regulatory agency's website.

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The purpose of NASD Regulation Inc. is to ensure compliance with regulatory requirements and standards in the financial industry.

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Information such as financial statements, client data, and compliance activities must be reported on NASD Regulation Inc.

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