Daniel Hall
Daniel Hall
Daniel Hall is a fictional character in the Sandman comic book series written by Neil Gaiman and published by DC Comics. An infant for the majority of the Sandman series, he is the son of Hippolyta 'Lyta' Hall and Hector Hall, borne in utero for two years in the Dreaming. Hector Hall was a perennial DC character, son of Carter Hall, and has assumed many guises during his stay in the DC Universe, and was at one point the Sandman...
applicable business compliance create effect financial function including integral investor means preserve preserved primary protection provisions record records require responsibility securities
Regulations require broker-dealers to create and preserve a comprehensive record of each securities transaction they effect and of their securities business in general. These requirements are integral to the investor protection function because the preserved records are the primary means of monitoring compliance with applicable securities laws, including anti-fraud provisions and financial responsibility standards.