'Sec rule' presentation slideshows

Business Law Boot Camp

1.04k views • 58 slides

CHAPTER 3

642 views • 47 slides

Business Continuity Management for Risk Managers

1.19k views • 40 slides

The Importance of Professional Certifications in the Business Continuity World

520 views • 32 slides

Undisplayed Trading Centers Compromising the NBBO.

Undisplayed Trading Centers Compromising the NBBO. Presented by: Dennis Dick, CFA Trader Member of Bright Trading LLC Email: 4CJG@brighttrading.net Phone: Will provide through email correspondence. Proposal to Review SEC Rule 612: The Sub Penny Rule.

404 views • 28 slides

Database Administration

Database Administration. Chapter 8. Database Administration. Database administration (DBA) is an organization group responsible for supervising both the database and use of DBMS. DBA : * formulates DB policies, * communicates policies to users, and * enforces these policies.

551 views • 14 slides

Database Administration

Database Administration. Chapter 8. Database Administration. Database administration (DBA) is an organization group responsible for supervising both the database and use of DBMS. DBA : * formulates DB policies, * communicates policies to users, and * enforces these policies.

346 views • 14 slides

Securities Transfer Association

Securities Transfer Association. Abandoned Property Committee. Reason For the Committee. Continual Trend in the Reduction of dormancy periods New York and Louisiana changed from 5 to 3 year dormancy in 2006 Increase in State or State directed audits for filers

281 views • 6 slides

Comparison of Coverage, Application, and Liabilities under SEC Rule 10b-5 and Section 16(b)

Comparison of Coverage, Application, and Liabilities under SEC Rule 10b-5 and Section 16(b). Comparison of Coverage, Application, and Liabilities under SEC Rule 10b-5 and Section 16(b) (Continued). Investor Protection. Investor Protection.

303 views • 4 slides