24 Results Found
Regulatory Document
Registered Municipal Securities Dealer
/Registered-Municipal-Securities-Dealer
Regulatory Document
Confirmation Disclosure: Put Option Bonds
/Confirmation-Disclosure-Put-Option-Bonds
Regulatory Document
Settlement of Syndicate Accounts
/Settlement-Syndicate-Accounts-0
Regulatory Document
Agency Transaction: Pricing
/Agency-Transaction-Pricing-0
Regulatory Document
Disclosure of Pricing: Accrued Interest
/Disclosure-Pricing-Accrued-Interest
Regulatory Document
"Wooden Tickets"
/Wooden-Tickets
Regulatory Document
Contents of Advertisement: Put Options
/Contents-Advertisement-Put-Options
Regulatory Document
Letters of Credit
/Letters-Credit
Regulatory Document
Financial Advisory Relationship: Blanket Agreement
/Financial-Advisory-Relationship-Blanket-Agreement
Regulatory Document
Financial Advisory Relationship: Identity of Issuer
/Financial-Advisory-Relationship-Identity-Issuer
Regulatory Document
Blanket Consent
/Blanket-Consent
Regulatory Document
Indemnity Agreement
/Indemnity-Agreement
Regulatory Document
Letters of Credit
/Letters-Credit-0
Regulatory Document
Disclosure of Underwriting Spread
/Disclosure-Underwriting-Spread
Regulatory Document
"Finders" of Potential Issuers
/Finders-Potential-Issuers
Regulatory Document
Records of Original Entry: Unit System
/Records-Original-Entry-Unit-System
Regulatory Document
Syndicate Records: Participations
/Syndicate-Records-Participations
Regulatory Document
Syndicate Records
/Syndicate-Records
Regulatory Document
"Immediate" Close-Outs
/Immediate-Close-Outs
Regulatory Document
Yield Disclosure Requirements for Purchases from Customers
/Yield-Disclosure-Requirements-Purchases-Customers
Regulatory Document
Supervisory Responsibility of Municipal Securities Principals and Municipal Securities Sales Principals
/Supervisory-Responsibility-Municipal-Securities-Principals-and-Municipal-Securities-Sales
Regulatory Document
Debriefing of Examination Candidates
/Debriefing-Examination-Candidates
Regulatory Document
Syndicate Settlement Practice Violations Noted
/Syndicate-Settlement-Practice-Violations-Noted
Regulatory Document
Yield Disclosures
/Yield-Disclosures
Showing 1 to 24 of 24 entries
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