458 records matched your query
01824aam a2200349Ii 4500 001 07C0743E101B11EA8DA14E4D97128E48 003 SILO 005 20191126010151 008 190228s2019 nyu 001 0 eng d 020 $a 1402433042 020 $a 9781402433047 035 $a (OCoLC)1088727495 040 $a SLA $b eng $e rda $c SLA $d OCLCO $d RCJ $d SILO 043 $a n-us--- 050 4 $a KF1071.A75 $b D83 2019 245 00 $a Dually registered broker-dealers and advisers-- regulatory, compliance and enforcement, 2019 / $c chair, Clifford E. Kirsch. 264 1 $a New York, New York : $b Practising Law Institute, $c [2019] 300 $a 47 pages ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v number B-2464 500 $a "251226"--Back cover. 500 $a "Prepared for distribution at the Dually Registered Broker-Dealers and Advisers-- Regulatory, Compliance and Enforcement 2019 Program, New York City, February 6, 2019"--Page 5. 500 $a Includes index. 505 00 $t Recent exam and enforcement lessons for dual registrants / $r Cheryl L. Haas, Cece Mavico. $t An enhanced standard of care for broker-dealers : a chronology / $r Clifford E. Hirsch -- $t Recent exam and enforcement lessons for dual registrants / $r Cheryl L. Haas, Cece Mavico. 650 0 $a Stockbrokers $x Legal status, laws, etc. $z United States. 650 0 $a Investment advisors $x Legal status, laws, etc. $z United States. 650 0 $a Securities industry $x Law and legislation $z United States. 700 1 $a Kirsch, Clifford E. $e chair. 710 2 $a Practising Law Institute. $e sponsoring body. 830 0 $a Corporate law and practice course handbook series ; $v no. B-2464. 941 $a 1 952 $l OVUX522 $d 20200318013102.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=07C0743E101B11EA8DA14E4D97128E48Initiate Another SILO Locator Search