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applicable business compliance create effect financial function including integral investor means preserve preserved primary protection provisions record records require responsibility securities
Regulations require broker-dealers to create and preserve a comprehensive record of each securities transaction they effect and of their securities business in general. These requirements are integral to the investor protection function because the preserved records are the primary means of monitoring compliance with applicable securities laws, including anti-fraud provisions and financial responsibility standards. Daniel Hall
applicable compliance concerning contain issues lessons number potential rules
I think there were a number of other issues concerning compliance with the applicable rules. All of those contain a lot of potential for lessons learned.
applicable careful certainty convinces court establish evidence guilt moral present reasonable strong thorough
It is not enough for the commonwealth to establish a probability, even a strong probability. That is not enough...(prosecution) must present evidence which convinces the court of the defendant's guilt to a reasonable and moral certainty, a certainty that convinces the court's understanding, ... After careful and thorough consideration of the applicable law, and calm, dispassionate and careful consideration of all the evidence...I find (Constantine Pitsas) not guilty.
applicable military
It doesn't make sense, under applicable law, military procedure, or military experience.
applicable jack options position prepared reverse review time
Jack is not prepared to reverse his position on this bill. We need some more time to review options that would be appropriate and applicable to all students. A. J. McLean
applicable both canons carrying committed duties ethics letter rules spirit
I have been committed to carrying out my duties ... in accordance with both the letter and spirit of all applicable rules of ethics and canons of conduct. Samuel Alito
applicable control donors extent funds gets money others required shows
It illustrates what others have said, that money gets transferred all the time. This was disclosed to the extent required to be disclosed by applicable law. It just shows that donors don't control funds once they're given.
applicable fencing funny sports stage unless
Fencing is a funny sport. Competitive fencing is not really very applicable to the stage world unless you're fighting with a rapier during the Renaissance, you know? Kris Holden-Ried
applicable federal issues keeping key support vote
O'Connor could be the key vote here. She would support keeping RFRA applicable to the federal government, which is one of the issues in that case. Charles Haynes
growing land owners planning relationship work
Our relationship with communities is growing as we work with private- land owners and planning boards.
growing includes perspective program range reflects strength talent wide year
Our record-number of film submissions this year reflects the growing strength of the Festival. This year's program includes a wide range of talent and perspective from around the globe. Jane Rosenthal
growing numbers program regular
Our numbers are growing in our regular program as well. Paul Casey
growing laws
Our laws just keep growing and growing and growing.
growing learn people react
People learn growing up to react with anger.
growing guys hopefully pays strides
Some guys (have) got more growing to go. That's part of the season. But I thought we made some strides and hopefully it pays dividends. Mike Shanahan
growing handful team
Our boy's team is very young; we only have a handful of seniors. They are going through some growing pains.
growing growth moderate outlook pace production
Manufacturing is growing but the pace of growth has decelerated. The outlook for manufacturing production in 2006 is for moderate growth.
growing-up lines action
Growing up, a film was an action film or it was a comedy or it was romantic, but you don't really see such stark lines between genres nowadays. Beck
options room
Our options are limited, and we know that. We have very little room for error. Mark Gottfried
options reported robust stayed
Options have stayed robust after they reported earnings, which is unusual. Paul Foster
options three trying
Right now my options are pretty open. Just trying to get out there and play well these first three games.
options throw
I think these options are awful. I think they've got to throw this away and go back and look at it again. David Shore
options reflection seeing terms
I think that's just a reflection of what we've been seeing in terms of the options that first-time homebuyers have.
options protect
It is important that I keep working on all options to protect our state, Orrin Hatch
options
I think he has better options right now. Andre Agassi
options
I feel like there's still some options open.
options various
There are various M&A options we will explore.