www.tradesecretslaw.com/2019/04/articles/trade-secrets/finra-issues-guidance-on-the-handling-of-customers-when-a-broker-leaves-a-firm/
www.kslaw.com/news-and-insights/safe-and-sound-finra-and-the-sec-issue-guidance-on-handling-customer-information-and-communications
www.manatt.com/Insights/Newsletters/Financial-Services-Law/From-SEC-to-FinCEN-Enforcement-Everywhere