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[DOCX File]SIFMA Municipal Advisor Model Language: Model Form of ...
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The SEC’s Municipal Advisor Rule imposes a registration regime upon municipal advisors, i.e., firms that give advice absent an exemption or exclusion to municipal entities and obligated persons, and imposes a fiduciary duty upon municipal advisors that give advice to municipal entities. MSRB rulemaking will impose additional requirements and ...
[DOC File]Trainer Introduction - LexisNexis
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Find a Legal Topic. Suppose you were required to research the business deduction as it applies to the home office & principal place of business. Click the . Search Advisor. tab. Enter . business deduction. in the Find a Legal Topic box. Select . Residential Property Used for Business (IRC sec. 280A).
[DOC File]Pennsylvania Department of Corrections
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March 28, 2020. Department of Corrections Provides Daily COVID-19 Information. Harrisburg, PA – Beginning today, the Pennsylvania Department of Corrections (DOC) will share basic information and statistics about the status of COVID-19 in the state prison system by …
[DOC File]Exhibit 5-3: Acceptable Forms of Verification
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Verification from the Admissions or Registrar’s Office or dean, counselor, advisor, etc., or from VA Office. Telephone or in-person contact with these sources documented in file by the owner. School records, such as paid fee statements that show a sufficient number of credits to be considered a full-time student by the educational institution ...
[DOC File]Information Security Incident Management Policy Template
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The Advisor [or other named role] enables the [Name a department – e.g. Information Services department] to identify when a series of events or weaknesses have escalated to become an incident. It is vital for the [Name a department – e.g. Information Services department] to gain as much information as possible from the business users to ...
[DOCX File]SIFMA Municipal Advisor Model Language: Model Letter of ...
https://info.5y1.org/find-an-advisor-sec_1_3e291b.html
Note to [Municipal Entity/Obligated Person]: Brokers, dealers, and other financial institutions (“financial services firms”) that seek to enter into principal transactions with municipal entities or obligated persons generally cannot give advice unless they qualify for an exemption or exclusion to the SEC’s Municipal Advisor …
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