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[PDF File]Duties of Brokers, Dealers, and Investment Advisers
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statutory differences,5 particularly when broker-dealers and investment advisers engage in the broker-dealers that exercise discretion or control over customer assets, or have a relationship of trust and confidence with their customers, are found to owe customers a fiduciary duty similar to that of investment advisers. See, e.g., United States v.
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[PDF File]RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB …
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RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS AND CLIENTS 1. The client shall invest/trade in those securities/contracts/other instruments admitted to dealings on the Exchanges as defined in the Rules, Byelaws and Regulations of Exchanges/ Securities and Exchange Board of India (SEBI) and circulars/notices issued there under from time to ...
insurance broker duties and responsibilities

[PDF File]LOUISIANA BROKER RESPONSIBLITIES MANUAL
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An additional thirty hours must be completed in Real Estate 203, Broker Responsibilities, or its equivalent. The remaining hours can be obtained in a review of real estate principles/practices or other ... A corporation may issue stock to raise capital. Stockholders elect a board of directors that hires officers to manage the corporation.
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[PDF File]Support Broker Job Description
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Support Broker Job Description ... Position Duties and Responsibilities: The following categories are an outline of the job duties expected of the Support Broker. Planning: The Support Broker is expected to initiate the planning process with the person and her/his team. A Person Centered Plan must be completed annually, at a minimum.
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[PDF File]Staubach Admin Responsibilities - TFOP
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Staubach Admin Responsibilities BROKERAGE ADMINISTRATIVE ASSISTANT POSITION BRIEF Provide administrative support to multiple assigned “best-in-class’ real estate brokers, often handling details of a confidential nature. Responsible for prioritizing projects to meet multiple deadlines in a fast-paced, team-oriented environment.
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[PDF File]Roles and Responsibilities of a Broker/Dealer
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Nov 20, 2008 · Roles and Responsibilities of a. Broker/Dealer. Deborah M. Higgins. President. Higgins Capital. CDIAC Program: Investing Public Funds. November 20, 2008
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Stock broker responsibilities and duties