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His power was real, grounded in his unique role in channeling the ballooning trove of American savings. One way or another, through control of boards, investment partnerships, or just implicit understandings that a bank’s or an insurance company’s investment committee would follow Morgan’s lead, he and his partners disposed of perhaps 40 percent of
... See moreCharles R. Morris • The Tycoons: How Andrew Carnegie, John D. Rockefeller, Jay Gould, and J. P. Morgan Invented the American Supereconomy
While the state securities Administrator can establish minimum net capital requirements for broker-dealers, really, net capital requirements are set by the SEC and enforced by FINRA. So, the exam might want you to say something like, “The Administrator may establish minimum net capital requirements for broker-dealers subject to the limits of the
... See moreRobert Walker • Pass The 65: A PLAIN ENGLISH EXPLANATION TO HELP YOU PASS THE SERIES 65 EXAM - UPDATED FOR 2017
Gould did not take a title, but had a seat on the executive committee and had four additional board seats, which he filled with his brokers.