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Publisher: John Wiley & Sons
ISBN10: 0470126329 ISBN13: 9780470126325 DDC: 346.73/09220269 LCC: KF1070 Edition: (cloth)


"Increasingly complex financial products, the implementation of stricter regulations, and the speed of real time business pose serious risks to even the most seasoned of Registered Representatives. To navigate this tough terrain, discover an approach based on the universal principles of humility, integrity, duality, awareness, and dedication - and use it to strengthen your practice and, if necessary, overcome the challenges that are an inevitable part of the arduous NASD arbitration process."--BOOK JACKET.


Includes index. Includes bibliographical references. I was sweating bullets -- The day that almost never ended -- Expert witness unmasked -- Cross examination -- Closing arguments -- The cycle of life -- To protect and grow -- Humility -- Integrity -- Duality -- Awareness -- Dedication -- What's the cost? -- Case studies -- The lawyer's perspective -- How to prepare for NASD arbitration -- Preparing to testify.


  • LCC: KF1070
  • Dewey Decimal: 346.73/09220269

Book Details

  • Language: eng
  • Physical Description: xxiii, 312 p. : ill. ; 24 cm.
  • Edition Info: (cloth)


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