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1. |
Record Nr. |
UNINA9910146449603321 |
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Autore |
Demby Elayne Robertson <1962-> |
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Titolo |
The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby |
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Pubbl/distr/stampa |
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New York, : Bloomberg Press, 2006 |
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ISBN |
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0-470-88508-4 |
1-119-20135-7 |
1-282-68977-0 |
9786612689772 |
0-470-88305-7 |
1-57660-253-2 |
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Edizione |
[1st ed.] |
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Descrizione fisica |
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1 online resource (317 p.) |
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Collana |
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Bloomberg Financial ; ; v.57 |
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Disciplina |
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Soggetti |
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Investment advisors - Legal status, laws, etc - United States |
Investment advisors - Licenses - United States |
Investments - Law and legislation - United States |
Electronic books. |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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Note generali |
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Nota di contenuto |
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Terms and acronyms -- Federal and state laws and other regulations -- RIA registration : what it means, how it's done -- The nuts and bolts of Form ADV -- How to complete Form ADV part 1 -- How to complete Form ADV part 2 -- RIA compliance programs and codes of ethics -- Investment recommendations and fiduciary obligations -- Advisory contracts and fees -- Custody of customer accounts -- Selecting brokers and executing trades -- Personal securities trading and reporting -- Voting client proxies -- Record-keeping requirements -- Advertising and client communications -- Referrals -- ERISA plans -- Soft dollars -- Protecting clients' privacy -- Money laundering -- Supervising employees -- SEC examinations and enforcement actions. |
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Sommario/riassunto |
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"A handbook for registered investment advisers that not only explains how regulations affect their firms, but also provides step by step |
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directions on what they need to do to comply with them"--Provided by publisher. |
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2. |
Record Nr. |
UNINA9910962928603321 |
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Titolo |
Family talk : discourse and identity in four American families / / edited by Deborah Tannen, Shari Kendall, Cynthia Gordon |
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Pubbl/distr/stampa |
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Oxford ; ; New York, : Oxford University Press, 2007 |
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ISBN |
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1-281-16381-3 |
9786611163815 |
0-19-804281-7 |
1-4356-0590-X |
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Edizione |
[1st ed.] |
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Descrizione fisica |
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1 online resource (344 p.) |
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Altri autori (Persone) |
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TannenDeborah |
KendallShari <1965-> |
GordonCynthia <1975-> |
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Disciplina |
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Soggetti |
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Communication in families - United States |
Discourse analysis - United States |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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Note generali |
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Description based upon print version of record. |
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Nota di bibliografia |
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Includes bibliographical references and index. |
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Nota di contenuto |
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Introduction: family talk / Shari Kendall. Pt. I. Interactional dynamics: power and solidarity. Power maneuvers and connection maneuvers in family interaction / Deborah Tannen -- Talking the dog: framing pets as interactional resources in family disourse / Deborah Tannen -- "I just feel horribly embarrassed when she does that": constituting a mother's identity / Cynthia Gordon -- Finding the right balance between connection and control: a father's identity construction in conversations with his college-age daughter / Diana Marinova. Pt. II. Gendered identities in dual-income families. Father as breadwinner, mother as worker: gendered positions in feminist and traditional discourses of work and family / Shari Kendall -- Gatekeeping in the family: how family members position one another as decision makers / Alexandra Johnston -- A working father: one man's talk about |
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parenting at work / Cynthia Gordon, Deborah Tannen, Aliza Sacknovitz. Pt. III. Family values and beliefs. "A gore's our guy": linguistically constructing a family political identity / Cynthia Gordon -- Sharing common ground: the role of place reference in parent-child conversation / Philip LeVine -- Family members interacting while watching TV / Alla V. Tovaresn. |
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Sommario/riassunto |
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About the Contributors. Transciption Conventions. 1. Introduction: Family Talk, Shari Kendall. Part 1: Interactional Dynamics: Power and Solidarity. 2. Power Maneuvers and Connection Maneuvers in Family Interaction, Deborah Tannen. 3. Talking the Dog: Framing Pets as Interactional Resources in Family Discourse, Deborah Tannen. 4. "I Feel Just Horribly Embarrassed When She Does That": Constituting a Mother's Identity, Cyntha Gordon. 5. Finding the Right Balance between Connection and Control: A Father's Identity Construction in Conversations with His College-Age Daughter, Diana Marino |
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