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Regulation of Financial Planners (Vols. 19 and 19A, Securities Law Series)

Product details:

Brand: Clark Boardman Callaghan
Copyright: 2010-2022
Service #: 16622727
Sub #: 16622728
Publication Frequency: Updated semiannually
Update format: Replacement pages

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Regulation of Financial Planners (Vols. 19 and 19A, Securities Law Series)

100027677

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100027677
100027677
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$3,494.00


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This resource gives you a comprehensive overview of financial planning. It defines financial planning and covers related topics, including state and federal regulation, and civil and criminal liability. It analyzes state and District of Columbia laws and focuses on areas of law that have a direct impact on business.

Features

  • State insurance regulations
  • SEC registration requirements and procedures for advisers
  • State regulation of financial planners
  • State insurance regulations
  • State regulation of financial planners
  • SEC registration requirements and procedures for advisers