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Chapter 1: Regulations of Firms and Individuals - A. Regulations Of Broker/Dealers,
Chapter 1: Regulations of Firms and Individuals - B. Regulations of Agents Of Broker/Dealers,
Chapter 1: Regulations of Firms and Individuals - C. Regulations of Investment Advisers
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I. AGREEMENT: OFFER & ACCEPTANCE, CERTAINTY & INTENTION TO CREATE LEGAL RELATIONS,
II. CONSIDERATION, PROMISSORY ESTOPPEL & PRIVITY OF CONTRACT,
III. BREACH AND REMEDIES FOR BREACH: DAMAGES
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