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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. Kenneth Mead
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. Patrick Riley
applicable military
It doesn't make sense, under applicable law, military procedure, or military experience. John Shek
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. Don McGahn
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
elections form government lose parties win
Parties that win elections should form the government, not parties that lose elections. Nicola Sturgeon
elections estimate frames latest three time
Our latest estimate and time frames for new elections is three years, Laisenia Qarase
elections
I think they do that not just with the election, but in general. Charley Pride
elections parallel teams
I think these two teams will go their own way. ... Viktor Yushchenko and I will go to the elections on parallel paths, Yulia Tymoshenko
elections feet ground hard lots work
That's the way elections are won, a lot of feet on the ground and lots of hard work on the ground. Steve Purchase
elections record tomorrow
I think that tomorrow what we are going to have with the elections here, we're going to have a record turnout, Karl Eikenberry
elections folks iraq level looking ought peaceful realistic
I think looking for a peaceful Iraq after the elections would be a mistake, ... I think our expectations level ought to be realistic about that. These folks have a lot to lose. Donald Rumsfeld
elections fair far free government
It is far away from the free and fair elections the government promised. Berhanu Nega
elections interest note six south successive voting
It is encouraging to note the overwhelming interest by South Africans in voting even after six successive elections. Brigalia Bam
fair good knowing patience terms
Patience is some times a good virtue, knowing what you want, and what you think is fair in terms of compensation, Carl Peterson
fair given obligation people taken
Our obligation is to the people of the commonwealth. Each application is being taken under advisement and given a fair review. Brett Hall
fair region
Suddenly, this region is getting its fair share. Carol Whiteside
fair measure surely
Surely we must all take our fair measure of responsibility. Wayne Clarkson
fairly life policy states
States with a life only policy do fairly well economically. Jack Billion
fairly highly standards
Some of those standards are fairly onerous even to sophisticated, highly litigious businesses. Gerald Massey
fair move serious yankees
Some interesting things have been going on. I think it's fair to say the Yankees have made a serious move on Deion and Deion is listening. Eugene Parker
fair good interest people prepared shows stark unknown
That day, I did what I had to do, ... It's good to get people prepared for the unknown 'n stuff. I'd say, yes, Pete Stark is fair in his manners. At least he shows a little interest and support. He's not like all the people who ostracize me. William Roderick
fairly narrow people small talk variables
Out of all those variables that people talk about, you can really narrow that down to a fairly small list. James Peterson
terms
Oracle, in terms of earnings, is influencing the market. Owen Fitzpatrick
term
There's no such thing as The Method. The term 'method-acting' is so much nonsense. There are many methods, many techniques. Susan Strasberg
terms view
I don't view it in the terms of a comeback, Jay Farrar
terms
I don't think of this in terms of winning, Stephen Davis
term
I always think long term about anything. That's why I have never sold anything that I've ever purchased. And I never purchase anything that I don't think I'm going to keep for a lifetime. Donald Sterling
term my-own only-time
The only times you'll see me in terms of the movie business is when I have to go to the premieres of my own movies. I don't go to see ones that aren't mine because I don't even like going to mine. Billy Bob Thornton
term ill ifs
If I lose, I lose. Ill do it on my terms. Ed Rendell
terms
There are always things you wish you could've done better, and there are always things that you wish would've turned out a different way in terms of storyline, which you're not in charge of. Robert Kazinsky
terminal
Bach is thus a terminal point. Nothing comes from him; everything merely leads to him. Albert Schweitzer