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Index
Table of Contents
How to Use This Book
The Big Idea
Chapter 1
Remedies and Administrative Provisions
Administrative Orders
Inspections
Criminal Penalties
Civil Liabilities
No Abuse of Office
Chapter 2
Regulation of Securities Industry Professionals
Regulation of RIAs and IARs
Disclosure Brochure
Wrap-Fee Programs
Record Keeping
Regulation of Broker-Dealers and Agents
Minimum financial requirements
Renewals
More on Registration Generally
Exemptions, Exclusions
SEC Release IA-1092
Flowcharts
Chapter 3
Securities Regulation
Registering Securities
Exempt Securities
Exempt Transactions
Offers and Sales
Not Offers
D-O-A
Chapter 4
Ethical Practices and Fiduciary Obligations
Business Practices for Investment Advisers and IARs
Business Practices for Broker-Dealers and Agents
More NASAA Concerns
Regulatory Authorities
Federal Securities Acts
Glossary
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