The Joint Regulatory Sales Practice Sweep Report

A Review of the Sales Practice Acitivities of Selected Registered Representatives and the Hiring, Retention, and Supervisory Practices of the Brokerage Firms Employing Them

• Executive Summary
• Report
• Appendix A
• Appendix B
• Appendix C
• Appendix D
• Appendix E

http://www.sec.gov/news/sweeptoc.htm