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The Broker-Dealer's Liability for Recommendations

is actually provided for under the U.S. securities laws and the so-called suitability rules of self-regulatory organizations (i.e., broker-dealer;

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Accounting Guide

It is critical to understand the complexities of the specialized accounting and regulatory requirements needed for the broker-dealer;

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US Regulation for Asset Managers outside the United States

This new edition covers all aspects of US regulation that affect investment management firms, broker dealers and their advisers outside the;

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Wiley Series 99 Securities Licensing Exam Review 2020 + Test Bank

individual to perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental;

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Wiley Finra Series 99 Exam Review 2017

perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental level;

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Medical Professional Liability and the Delivery of Obstetrical Care

This is the first part of an in-depth study focusing on medical liability and its effect on access to and delivery of obstetrical care;

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The 1997 Vienna Convention on Civil Liability for Nuclear Damage and the 1997 Convention on Supplementary Compensation for Nuclear Damage

of the IAEA's nuclear liability regime. More particularly, the texts deal with the Protocol to Amend the Vienna Convention on Civil Liability for;

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Civil Liability and Financial Security for Offshore Oil and Gas Activities

Civil Liability and Financial Security for Offshore Oil and Gas Activities provides insights into the liability and compensation regime for;

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Civil Liability and Financial Security for Offshore Oil and Gas Activities

Civil Liability and Financial Security for Offshore Oil and Gas Activities provides insights into the liability and compensation regime for;

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Civil Liability in Criminal Justice

The increasing litigation against criminal justice practitioners in the United States poses a significant problem for law enforcement and;

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Civil Liability in Criminal Justice

The increasing litigation against criminal justice practitioners in the United States poses a significant problem for law enforcement and;

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The Appeal

In his first legal thriller since 2005's "The Broker" , New York Times" bestselling author Grisham returns to familiar ground. In most;

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Liability of Legal Persons for Offences in the Eu, 44

Discussions of the possibility to attribute liability to legal persons for committing offenses are far from new. The EU landscape however;

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Protestors United

Nagasaki. He has been a self-employed insurance agent and broker for over thirty years. Along with twenty years experience as a real estate broker;

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Protestors United

Nagasaki. He has been a self-employed insurance agent and broker for over thirty years. Along with twenty years experience as a real estate broker;

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Fairness opinions and liability - S. Parijs - Paperback (9789013030945)

Het boek 'Fairness opinions and liability' van S. Parijs koop je bij bookspot.nl, nu voor 61.50!;

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The Liability Century - Insurance and Tort Law from the Progressive Era to 9/11

Kenneth Abraham explores the development and interdependency of the tort liability regime and the insurance system in the United States;

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Civil Liability for Damage Caused by Global Navigation Satellite System

is irresponsible to wait for an accident to happen merely to justify the need for an appropriate GNSS civil liability regime. This hugely important book;

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Engaging and Changing Higher Education Through Brokerage

broker is an agent, promoter, dealer or trader, or the political world - where the broker is a diplomat, mediator and negotiator. There has been;

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Haftungsrecht Im Dritten Millennium - Liability in the Third Millennium

This Liber Amicorum is dedicated to Prof. Dr. Gert Bruggemeier on his 65th birthday. As reflected in its title "Liability in the Third;

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The Plain Dealer

paid; in the malicious gossip of a school for friends; and even in the perversion of that great plain dealer, justice.;

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The Law of Securities Regulation

Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities. The book treats broker-dealer regulation, market regulation;

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Collapse & Bankruptcy of MF Global

On 31 October 2011, MF Global, a large brokerage firm registered with the Securities and Exchange Commission (SEC) as a broker-dealer and;

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Serie vanwege het Instituut voor Ondernemingsrecht RUG 52 - Fairness opinions and liability

Serie vanwege het Instituut voor Ondernemingsrecht RUG Fairness opinions and liability;

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Foreign direct liability and beyond

in relation to harm caused toward people and the planet. These 'foreign direct liability cases' arise against the background of a global governance;

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Polly's in a PICKLE!

for the first time. Her new-found interest leads her to visit a well-known equipment dealer in the hopes of getting properly outfitted for a;

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Third Party Liability in Tort

Non-vicarious liability for the acts of third parties is distinguishable from the traditional doctrine of vicarious liability insofar as it;

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