What are the SEC's rules on the regulation of municipal advisors?

In Stock

Size Guide

$34.99 $29.99

Shipping and Returns Policy

... is to improve investor protection and promote stable, orderly financial markets. What does ESMA do? It has 3 objectives: Investor protection - to make sure ... The real question is, 'how much safer do I feel as a CISO with Google Security Operations versus my old platform ... Does Google SecOps include SIEM capabilities? Feb 5, 2019 ... While the new rules do not specify how a registrant should determine what is an individual “property”, versus multiple properties, the SEC noted ... What does the SEC mean when they say Original Information? Original ... To protect your identity and confidentiality, do not use any devices owned or ... How do SEC Codes work in practice? It is the responsibility of the Originating Depository Financial Institution or ODFI to include the correct SEC code in ... ... do business in ... Thus, an adviser, including an exempt reporting adviser (ERA), that is not registered with SEC would not qualify as this type of entity. Jul 3, 2019 ... Justin and Michael discuss what may happen when you are served with a subpoena from the SEC, or get approached by the Department of Justice, and what steps you ... 'What did you mainly do in your job?' (Open). Note: Check for any special qualifications, training, etc needed to do the job. 10.2.2 Employment status/size ... Jul 19, 2023 ... I think that would be lost and one of the things you need to do in order to do that is pay a reasonable salary, not a government salary.” When ... 1, 2006. Sec. 9.003. PERMISSIVE REGISTRATION. A foreign entity that is eligible under other law of this state to register to transact business in this state, ...
  • Next Day Delivery by USPS Find out more

    Order by 9pm (excludes Public holidays)

    $11.99

  • Express Delivery - 48 Hours Find out more

    Order by 9pm (excludes Public holidays)

    $9.99

  • Standard Delivery $6.99 Find out more

    Delivered within 3 - 7 days (excludes Public holidays).

  • Store Delivery $6.99 Find out more

    Delivered to your chosen store within 3-7 days

    Spend over $400 (excluding delivery charge) to get a $20 voucher to spend in-store
  • International Delivery Find out more

    International Delivery is available for this product. The cost and delivery time depend on the country.

You can now return your online order in a few easy steps. Select your preferred tracked returns service. We have print at home, paperless and collection options available.

You have 28 days to return your order from the date it’s delivered. Exclusions apply.

View our full Returns and Exchanges information.

Our extended Christmas returns policy runs from 28th October until 5th January 2025, all items purchased online during this time can be returned for a full refund.

No reviews yet. Only logged in customers who have purchased this product may leave a review.