Search results for: “broker dealer”
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Legal Personnel
Legal Personnel Legal Personnel in the United States Liability of Compliance and Legal Personnel at Broker-Dealers under Sections 15(b)(4) and 15(b)(6) of the Exchange Act In relation to the liability that may arise under Sections 15(b)(4) and 15(b)(6) of the Securities Exchange Act of 1934 in connection with the role and duties of Chief Compliance…
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Growth Company
Growth Company Growth Company in the United States There are certain research provisions in Title I of the JOBS Act in relation to growth companies. These provisions include, among others: Analyst Communications. Section 105(b) of the JOBS Act amends Section 15D of the Securities Exchange Act of 1934 (“Exchange Act” ) to prohibit the Commission…
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A Dictionary of Law Enforcement
A Dictionary of Law Enforcement A Dictionary of Law Enforcement is “the only dictionary available -according to Oxford University Press, its publisher- that focuses on United Kingdom (British) law enforcement terms. This legal resource contains over 3,400 legal terms, covering many United Kingdom and European Union institutions.” Most of the entries in “A Dictionary of…
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A Dictionary of Law Enforcement
A Dictionary of Law Enforcement A Dictionary of Law Enforcement is “the only dictionary available -according to Oxford University Press, its publisher- that focuses on United Kingdom (British) law enforcement terms. This legal resource contains over 3,400 legal terms, covering many United Kingdom and European Union institutions.” Most of the entries in “A Dictionary of…
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Foreign Currency Transaction
For accounting purposes, a transaction stated in terms of a currency other than the firm's functional currency. The purchase or sale of goods priced in terms of a foreign currency and the lending or borrowing of foreign funds represent such transactions….
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Solicitation
Criminal Law: Inchoate Crimes SolicitationIntroduction to Inchoate Crimes SolicitationThe crime of solicitation involves encouraging, enticing, requesting, or commanding another to commit a crime. The offense is completed at the time the solicitation is made, and it does not requir…
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Solicitation
Criminal Law: Inchoate Crimes SolicitationIntroduction to Inchoate Crimes SolicitationThe crime of solicitation involves encouraging, enticing, requesting, or commanding another to commit a crime. The offense is completed at the time the solicitation is made, and it does not requir…
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Pawnbroking
Introduction to PawnbrokingPawnbroking, in law, business conducted by a pawnbroker, a person who lends money, to be repaid within a given period, on the pledge or pawn of personal property other than negotiable paper and negotiable instruments. Loans can be made by a pawnbroker only on arti…
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Central Market
A spot commodity market that serves as a national or regional center of trading activity, and often large-scale distribution of the products as well. Transactions are usually performed by dealers who serve as intermediary brokers between buyers and sellers….
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Stimson’s Law Dictionary
Stimson’s Law Dictionary “A concise law dictionary of words, phrases, and maxims : with an explanatory list of abbreviations used in Law books “(1911). The Authors were Stimson, Frederic Jesup, 1855-1943 and Voorhees, Harvey Cortlandt, b. 1867. FREDERIC JESUP STIMSON was PROFESSOR OF COMPARATIVE LEGISLATION IN HARVARD and HARVEY CORTLANDT VOORHEES was lawyer in the…
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Top 25.000 English words
Which are the top 25.000 most popular English words? According to a review from Lawi, these are the 25.000 most popular English words, in order: you the i to a and it of that in is me what this for my on your we have do no don’t are be i’m not was he it’s…
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Commercial Law Questions
Commercial law Questions Questions about Commercial law How did Sherman Anti-Trust Act affect restraints of trade? What are some trade fixtures? What is a securities dealer? What does commercial real estate involve? What are perks? What is habitual intemperance? What is an indorsement? What is an LLC operating agreement? What is an unreasonable restraint of…
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American Jurisprudence, 2d
American Jurisprudence, 2d, Table of Contents About the American Jurisprudence, 2d This set provides an unparalled breadth of coverage of all fields of American law-state and federal, civil and criminal, substantive and procedural. The articles collect, examine, and summarize the broad principles of American law and, at the same time, provide direct leads to…
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Florida Agency Databases
Florida State Agency Databases This is an annotated list of databases produced by Florida State Agencies listed by producing agency. To add a database to this list or to fix a broken link, either do it yourself as this is a wiki, editable by anybody or send an e-mail to Rich Gause – rgause@mail.ucf.edu .…