Updates to Regulatory Framework
Showing results 641 to 660 of 759
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Broker-Dealer Services Rulebook
642 . Broker-Dealer Services Rulebook (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks
643 . D. Methodology (
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VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
644 . C. Verification of Information (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook | Part II – Advisory Services Rules
645 . Part II – Advisory Services Rules (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks | Advisory Services Rulebook
647 . Advisory Services Rulebook (
)
VARA Rulebook | Rulebooks | VA Activity and Other Rulebooks
648 . B. Implementation and Control (
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VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part VIII – VA Standards
649 . Part VIII – VA Standards (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook
650 . B. Group Entities (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part VII – Trading Own Account
651 . A. General Prohibition (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part VII – Trading Own Account
652 . Part VII – Trading Own Account (
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VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook
653 . B. Board and Staff Positions (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part VI – Market Transparency
654 . A. Insider Lists (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part VI – Market Transparency
655 . Part VI – Market Transparency (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook
656 . B. Risk Disclosure Statement (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part V – Public Disclosures
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part V – Public Disclosures
658 . Part V – Public Disclosures (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook
659 . A. Investor Classifications (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook | Part IV – Investor Classifications
660 . Part IV – Investor Classifications (
)
VARA Rulebook | Rulebooks | Compulsory Rulebooks | Market Conduct Rulebook