Author: Publisher:
ISBN: 9780872241893
Category : Attorney and client
Languages : en
Pages : 880
Book Description
Opinions in SEC Transactions, 1995
Author: Publisher:
ISBN: 9780872241893
Category : Attorney and client
Languages : en
Pages : 880
Book Description
Model Rules of Professional Conduct
Author: American Bar Association. House of DelegatesPublisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Legal Opinion Letters
Author: M. John SterbaPublisher: Wolters Kluwer
ISBN: 0735530815
Category : Law
Languages : en
Pages : 1903
Book Description
Corporate Practice Series
Author: SEC Docket
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Securities
Languages : en
Pages :
Book Description
Clearance and Settlement Systems in the World's Securities Markets
Author: Group of ThirtyPublisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 104
Book Description
Market 2000
Author: United States. Securities and Exchange Commission. Division of Market RegulationPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 462
Book Description
Decisions and Reports
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 1388
Book Description
Wiley FINRA Series 63 Exam Review 2017
Author: WileyPublisher: John Wiley & Sons
ISBN: 1119403154
Category : Business & Economics
Languages : en
Pages : 214
Book Description
The go-to guide to acing the Series 63 Exam! Passing the Uniform Securities Agent State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business within the state. Created by the experts at The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2017 arms you with everything you need to pass this challenging 60-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 63 Exam Review 2017 is your ticket to passing the Series 63 test on the first try—with flying colors!
United States Attorneys Bulletin
Author: Publisher:
ISBN:
Category : Government attorneys
Languages : en
Pages : 230
Book Description