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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
military next orders outlook remains sales tent unchanged until year
Our outlook for military tent sales this year and next remains unchanged until we have orders in hand,
military war army
At the end of the day...if your army won't fight, it's because they don't trust their incompetent, corrupt generals, they don't trust each other. This is an enduring civil war between the Shia, the Sunni, and the Kurds. So I don't think we've got any options and we'd be ill-advised to start bombing where we really can't sort out the combatants or understand where the civilian population is. Barry McCaffrey
military sight balance
For if we merely take what obviously appears the line of least resistance, its obviousness will appeal to the opponent also; and this line may no longer be that of least resistance. In studying the physical aspect, we must never lose sight of the psychological, and only when both are combined is the strategy truly an indirect approach, calculated to dislocate the opponent's balance. B. H. Liddell Hart
military lying cutting
The nearer the cutting off point lies to the main force of the enemy, the more immediate the effect; whereas the closer to the strategic base it takes place, the greater the effect.
military decision battle
[The] aim is not so much to seek battle as to seek a strategic situation so advantageous that if it does not of itself produce the decision, its continuation by a battle is sure to achieve this. In other words, dislocation is the aim of strategy.
military enemy purpose
In the case of a state that is seeking not conquest but the maintenance of its security, the aim is fulfilled if the threat is removed - if the enemy is led to abandon his purpose.
military men stupidity
No man can exactly calculate the capacity of human genius and stupidity, nor the incapacity of will.
military balance usual
The more usual reason for adopting a strategy of limited aim is that of awaiting a change in the balance of force ... The essential condition of such a strategy is that the drain on him should be disproportionately greater than on oneself.
military taken order
While hitting one must guard ... In order to hit with effect, the enemy must be taken off his guard.