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1
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Note from the Publisher
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0:44 |
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2
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Copyright
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0:16 |
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3
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Introduction
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11:00 |
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4
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Chapter One - Equity Securities
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21:33 |
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5
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Stock Splits
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15:51 |
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6
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Liquidation
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16:50 |
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7
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Subscription Rights
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10:50 |
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8
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Chapter Two - Debt Securities
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16:13 |
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9
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Interest Rates and Bond Prices
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16:17 |
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10
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Subordinated Debentures
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16:00 |
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11
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Eurobonds and Eurodollar Bonds
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16:59 |
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12
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U.S. Treasury Securities
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17:07 |
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13
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Asset-Backed and Mortgage-Backed Securities
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19:40 |
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14
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Other Asset-Backed Securities
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12:54 |
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15
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Chapter Three - Municipal Securities
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13:20 |
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16
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Other Types of Municipal Bonds
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18:58 |
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17
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Municipal Notes
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17:01 |
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18
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Negotiated Sale Authorization (Revenue Bonds)
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19:30 |
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19
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Selling the Bonds
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17:31 |
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20
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Types of Municipal Quotations
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16:42 |
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21
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Analyzing Revenue Bonds
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19:18 |
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22
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Rule G21 - Advertising Must Be Truthful
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15:58 |
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23
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Chapter Four - Taxation of Equity and Debt
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19:47 |
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24
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Discount Bonds
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15:10 |
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25
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Bank Qualified Bonds
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6:02 |
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26
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Chapter Five - Options
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15:13 |
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27
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Calculating Gains and Losses
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20:44 |
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28
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Chicago Board Options Exchange and Options Clearing Corporation
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15:39 |
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29
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Spreads
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17:38 |
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30
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Options Strategies
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19:06 |
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31
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Foreign Currency Options
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17:19 |
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32
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Taxation of Options
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9:12 |
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33
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Chapter Six - Investment Companies
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16:08 |
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34
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Balanced Funds
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19:00 |
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35
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Management Company Rules
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17:59 |
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36
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Taxation of Mutual Funds
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15:09 |
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37
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Distributions
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13:33 |
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38
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Chapter Seven - Alternative Investments
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17:15 |
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39
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Primary Goal of a DPP
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17:18 |
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40
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Equity, Mortgage, and Hybrid REITs
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10:03 |
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41
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Chapter Eight - Annuities
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16:55 |
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42
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Taxation
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20:08 |
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43
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Chapter Nine - Market and Securities Analysis
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22:48 |
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44
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Tools of Government Policy
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28:46 |
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45
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Assets
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17:24 |
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46
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Technical Analysis
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8:42 |
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47
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Chapter Ten - Suitability and Portfolio Analysis
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15:08 |
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48
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Political, Legislative, and Regulatory Risk
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17:24 |
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49
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Risk Tolerance
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14:14 |
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50
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Passive and Active Investment Strategies
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9:44 |
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51
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Chapter Eleven - Conducting Business with the Public
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15:30 |
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52
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Publication of Research Reports
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16:32 |
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53
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Member Compensation
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7:11 |
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54
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Chapter Twelve - Issuing Securities and the Primary Market
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14:19 |
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55
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Registration Process
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15:30 |
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56
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Unsold Shares of a Public Offering
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14:22 |
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57
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Restrictions on the After Market of a Public Offering
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14:51 |
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58
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Resales of Restricted and Control Securities
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8:28 |
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59
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Chapter Thirteen - Compliance, Reporting, and Supervision
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15:36 |
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60
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Suspicious Account Activity
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19:12 |
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61
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Member Supervisory Controls
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10:20 |
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62
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Chapter Fourteen - Customer Accounts
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21:27 |
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63
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Types of Account Authorizations
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15:53 |
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64
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Types of Payment Options
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14:46 |
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65
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Chapter Fifteen - Margin Accounts
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17:00 |
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66
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Short Positions in Margin Accounts
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19:40 |
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67
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Chapter Sixteen - Retirement Plan and Education Savings Plan Accounts
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17:03 |
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68
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Non-Qualified Employer-Sponsored Plans
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14:10 |
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69
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Education Savings Plan
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15:31 |
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70
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Chapter Seventeen - Trading in the Secondary Market
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19:48 |
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71
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Over-the-Counter Markets
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19:44 |
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72
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Trade Reporting, Clearing, and Settlement
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16:24 |
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73
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General Requirements for Trade Clearing and Settlement
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18:14 |
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74
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Trading Halts
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20:22 |
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75
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Chapter Eighteen - Securities Industry Regulators
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21:43 |
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76
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FINRA Requirements and Conditions of Membership
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16:23 |
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77
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FINRA Adjudicatory Procedures
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18:08 |
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