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
Publisher:
ISBN: 9780872241893
Category : Attorney and client
Languages : en
Pages : 880
Book Description
Model Rules of Professional Conduct
Author: American Bar Association. House of Delegates
Publisher: 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.
Publisher: 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 Sterba
Publisher: Wolters Kluwer
ISBN: 0735530815
Category : Law
Languages : en
Pages : 1903
Book Description
Publisher: Wolters Kluwer
ISBN: 0735530815
Category : Law
Languages : en
Pages : 1903
Book Description
Corporate Practice Series
Clearance and Settlement Systems in the World's Securities Markets
Author: Group of Thirty
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 104
Book Description
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 104
Book Description
SEC Docket
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages :
Book Description
Publisher:
ISBN:
Category : Securities
Languages : en
Pages :
Book Description
Market 2000
Author: United States. Securities and Exchange Commission. Division of Market Regulation
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 462
Book Description
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 462
Book Description
Decisions and Reports
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1388
Book Description
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1388
Book Description
Wiley FINRA Series 63 Exam Review 2017
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 1119379849
Category : Business & Economics
Languages : en
Pages : 218
Book Description
The go-to guide to acing the Series 63 Exam! Passing The Uniform Securities 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! Visit www.efficientlearning.com/finra for more information. The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year. Our securities training options include: Onsite classes Private tutoring Classroom training Interactive online video training classes State-of-the-art exam preparation software Printed textbooks Real-time tracking and reporting for managers and training directors As a result, you can choose a securities training solution that matches your skill level, learning style, and schedule. Regardless of the format you choose, you can be sure that our securities training courses are relevant, tested, and designed to help you succeed. It is the experience of our instructors and the quality of our materials that make our courses requested by name at some of the largest financial services firms in the world. To contact The Securities Institute of America, visit us on the web at www.SecuritiesCE.com or call 877-218-1776.
Publisher: John Wiley & Sons
ISBN: 1119379849
Category : Business & Economics
Languages : en
Pages : 218
Book Description
The go-to guide to acing the Series 63 Exam! Passing The Uniform Securities 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! Visit www.efficientlearning.com/finra for more information. The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year. Our securities training options include: Onsite classes Private tutoring Classroom training Interactive online video training classes State-of-the-art exam preparation software Printed textbooks Real-time tracking and reporting for managers and training directors As a result, you can choose a securities training solution that matches your skill level, learning style, and schedule. Regardless of the format you choose, you can be sure that our securities training courses are relevant, tested, and designed to help you succeed. It is the experience of our instructors and the quality of our materials that make our courses requested by name at some of the largest financial services firms in the world. To contact The Securities Institute of America, visit us on the web at www.SecuritiesCE.com or call 877-218-1776.
United States Attorneys Bulletin
Author:
Publisher:
ISBN:
Category : Government attorneys
Languages : en
Pages : 230
Book Description
Publisher:
ISBN:
Category : Government attorneys
Languages : en
Pages : 230
Book Description