id	sid	tid	token	lemma	pos
cblr-2931	1	1	are	be	AUX
cblr-2931	1	2	existing	exist	VERB
cblr-2931	1	3	stock	stock	NOUN
cblr-2931	1	4	broker	broker	NOUN
cblr-2931	1	5	standards	standard	VERB
cblr-2931	1	6	sufficient	sufficient	ADJ
cblr-2931	1	7	principles	principle	NOUN
cblr-2931	1	8	,	,	PUNCT
cblr-2931	1	9	rules	rule	NOUN
cblr-2931	1	10	,	,	PUNCT
cblr-2931	1	11	and	and	CCONJ
cblr-2931	1	12	fiduciary	fiduciary	ADJ
cblr-2931	1	13	duties	duty	NOUN
cblr-2931	1	14	are	be	AUX
cblr-2931	1	15	existing	exist	VERB
cblr-2931	1	16	stock	stock	NOUN
cblr-2931	1	17	broker	broker	NOUN
cblr-2931	1	18	standards	standard	NOUN
cblr-2931	1	19	sufficient	sufficient	ADJ
cblr-2931	1	20	?	?	PUNCT
cblr-2931	2	1	principles	principle	NOUN
cblr-2931	2	2	,	,	PUNCT
cblr-2931	2	3	rules	rule	NOUN
cblr-2931	2	4	,	,	PUNCT
cblr-2931	2	5	and	and	CCONJ
cblr-2931	2	6	fiduciary	fiduciary	ADJ
cblr-2931	2	7	duties	duty	NOUN
cblr-2931	2	8	thomas	thomas	PROPN
cblr-2931	2	9	lee	lee	PROPN
cblr-2931	2	10	hazen	hazen	PROPN
cblr-2931	2	11	*	*	PROPN
cblr-2931	2	12	i.	i.	PROPN
cblr-2931	2	13	introduction	introduction	PROPN
cblr-2931	2	14	-	-	PUNCT
cblr-2931	2	15	the	the	DET
cblr-2931	2	16	problem	problem	NOUN
cblr-2931	2	17	at	at	ADP
cblr-2931	2	18	hand	hand	NOUN
cblr-2931	2	19	......	......	PUNCT
cblr-2931	3	1	.....	.....	PUNCT
cblr-2931	3	2	711	711	NUM
cblr-2931	3	3	ii	ii	NOUN
cblr-2931	3	4	.	.	PUNCT
cblr-2931	4	1	the	the	DET
cblr-2931	4	2	new	new	ADJ
cblr-2931	4	3	congressional	congressional	ADJ
cblr-2931	4	4	mandate	mandate	NOUN
cblr-2931	4	5	.......	.......	PUNCT
cblr-2931	4	6	.......	.......	PUNCT
cblr-2931	5	1	714	714	NUM
cblr-2931	5	2	iii	iii	NOUN
cblr-2931	5	3	.	.	PUNCT
cblr-2931	5	4	rules	rule	NOUN
cblr-2931	5	5	,	,	PUNCT
cblr-2931	5	6	principles	principle	NOUN
cblr-2931	5	7	,	,	PUNCT
cblr-2931	5	8	and	and	CCONJ
cblr-2931	5	9	standards	standard	NOUN
cblr-2931	5	10	.......	.......	PUNCT
cblr-2931	5	11	.......	.......	PUNCT
cblr-2931	6	1	718	718	NUM
cblr-2931	6	2	iv	iv	NOUN
cblr-2931	6	3	.	.	PUNCT
cblr-2931	6	4	overview	overview	NOUN
cblr-2931	6	5	of	of	ADP
cblr-2931	6	6	fiduciary	fiduciary	ADJ
cblr-2931	6	7	duty	duty	NOUN
cblr-2931	6	8	.....	.....	PUNCT
cblr-2931	6	9	..	..	PUNCT
cblr-2931	6	10	..............	..............	PUNCT
cblr-2931	7	1	722	722	NUM
cblr-2931	7	2	v.	v.	ADP
cblr-2931	7	3	broker	broker	NOUN
cblr-2931	7	4	-	-	PUNCT
cblr-2931	7	5	dealer	dealer	NOUN
cblr-2931	7	6	regulation	regulation	NOUN
cblr-2931	7	7	under	under	ADP
cblr-2931	7	8	the	the	DET
cblr-2931	7	9	current	current	ADJ
cblr-2931	7	10	regime	regime	NOUN
cblr-2931	7	11	......................................	......................................	PUNCT
cblr-2931	7	12	727	727	NUM
cblr-2931	7	13	a.	a.	NOUN
cblr-2931	7	14	overview	overview	NOUN
cblr-2931	7	15	of	of	ADP
cblr-2931	7	16	broker	broker	NOUN
cblr-2931	7	17	-	-	PUNCT
cblr-2931	7	18	dealer	dealer	NOUN
cblr-2931	7	19	regulation	regulation	NOUN
cblr-2931	7	20	in	in	ADP
cblr-2931	7	21	the	the	DET
cblr-2931	7	22	united	united	PROPN
cblr-2931	7	23	states	states	PROPN
cblr-2931	7	24	..................	..................	PUNCT
cblr-2931	7	25	.......	.......	PUNCT
cblr-2931	7	26	729	729	NUM
cblr-2931	7	27	b.	b.	PROPN
cblr-2931	7	28	broker	broker	PROPN
cblr-2931	7	29	-	-	PUNCT
cblr-2931	7	30	dealers	dealer	NOUN
cblr-2931	7	31	'	'	PART
cblr-2931	7	32	obligations	obligation	NOUN
cblr-2931	7	33	-	-	PUNCT
cblr-2931	7	34	sec	sec	PROPN
cblr-2931	7	35	and	and	CCONJ
cblr-2931	7	36	finra	finra	PROPN
cblr-2931	7	37	regulation	regulation	NOUN
cblr-2931	7	38	and	and	CCONJ
cblr-2931	7	39	common	common	ADJ
cblr-2931	7	40	law	law	NOUN
cblr-2931	7	41	....	....	PUNCT
cblr-2931	7	42	.........	.........	PUNCT
cblr-2931	8	1	733	733	NUM
cblr-2931	8	2	c.	c.	PROPN
cblr-2931	8	3	broker	broker	PROPN
cblr-2931	8	4	-	-	PUNCT
cblr-2931	8	5	dealers	dealer	NOUN
cblr-2931	8	6	'	'	PART
cblr-2931	8	7	fiduciary	fiduciary	ADJ
cblr-2931	8	8	duties	duty	NOUN
cblr-2931	8	9	under	under	ADP
cblr-2931	8	10	current	current	ADJ
cblr-2931	8	11	securities	security	NOUN
cblr-2931	8	12	law	law	NOUN
cblr-2931	8	13	.........	.........	PUNCT
cblr-2931	8	14	...........	...........	PUNCT
cblr-2931	8	15	737	737	NUM
cblr-2931	8	16	d.	d.	NOUN
cblr-2931	8	17	the	the	DET
cblr-2931	8	18	shingle	shingle	PROPN
cblr-2931	8	19	theory	theory	NOUN
cblr-2931	8	20	................	................	PUNCT
cblr-2931	8	21	.....	.....	PUNCT
cblr-2931	9	1	749	749	NUM
cblr-2931	9	2	e.	e.	PROPN
cblr-2931	9	3	public	public	PROPN
cblr-2931	9	4	offering	offer	VERB
cblr-2931	9	5	sales	sale	NOUN
cblr-2931	9	6	practices	practice	NOUN
cblr-2931	9	7	.......	.......	PUNCT
cblr-2931	9	8	.......	.......	PUNCT
cblr-2931	10	1	756	756	NUM
cblr-2931	10	2	vi	vi	NOUN
cblr-2931	10	3	.	.	NOUN
cblr-2931	10	4	assessment	assessment	NOUN
cblr-2931	10	5	of	of	ADP
cblr-2931	10	6	broker	broker	NOUN
cblr-2931	10	7	-	-	PUNCT
cblr-2931	10	8	dealer	dealer	NOUN
cblr-2931	10	9	regulation	regulation	NOUN
cblr-2931	10	10	...	...	PUNCT
cblr-2931	11	1	.....	.....	PUNCT
cblr-2931	12	1	760	760	NUM
cblr-2931	12	2	vii	vii	PROPN
cblr-2931	12	3	.	.	PROPN
cblr-2931	12	4	conclusion	conclusion	NOUN
cblr-2931	12	5	..........................	..........................	PUNCT
cblr-2931	13	1	....	....	PUNCT
cblr-2931	13	2	762	762	NUM
cblr-2931	13	3	in	in	ADP
cblr-2931	13	4	recent	recent	ADJ
cblr-2931	13	5	years	year	NOUN
cblr-2931	13	6	there	there	PRON
cblr-2931	13	7	has	have	AUX
cblr-2931	13	8	been	be	AUX
cblr-2931	13	9	concern	concern	NOUN
cblr-2931	13	10	as	as	ADP
cblr-2931	13	11	to	to	ADP
cblr-2931	13	12	the	the	DET
cblr-2931	13	13	adequacy	adequacy	NOUN
cblr-2931	13	14	of	of	ADP
cblr-2931	13	15	broker	broker	NOUN
cblr-2931	13	16	-	-	PUNCT
cblr-2931	13	17	dealer	dealer	NOUN
cblr-2931	13	18	regulation	regulation	NOUN
cblr-2931	13	19	.	.	PUNCT
cblr-2931	14	1	sec	sec	PROPN
cblr-2931	14	2	and	and	CCONJ
cblr-2931	14	3	self	self	NOUN
cblr-2931	14	4	-	-	PUNCT
cblr-2931	14	5	regulatory	regulatory	ADJ
cblr-2931	14	6	organization	organization	NOUN
cblr-2931	14	7	rulemaking	rulemake	VERB
cblr-2931	14	8	address	address	NOUN
cblr-2931	14	9	specific	specific	ADJ
cblr-2931	14	10	types	type	NOUN
cblr-2931	14	11	of	of	ADP
cblr-2931	14	12	brokerdealer	brokerdealer	NOUN
cblr-2931	14	13	conduct	conduct	NOUN
cblr-2931	14	14	,	,	PUNCT
cblr-2931	14	15	but	but	CCONJ
cblr-2931	14	16	by	by	ADP
cblr-2931	14	17	and	and	CCONJ
cblr-2931	14	18	large	large	ADJ
cblr-2931	14	19	the	the	DET
cblr-2931	14	20	regulation	regulation	NOUN
cblr-2931	14	21	has	have	AUX
cblr-2931	14	22	been	be	AUX
cblr-2931	14	23	based	base	VERB
cblr-2931	14	24	on	on	ADP
cblr-2931	14	25	principles	principle	NOUN
cblr-2931	14	26	and	and	CCONJ
cblr-2931	14	27	standards	standard	NOUN
cblr-2931	14	28	rather	rather	ADV
cblr-2931	14	29	than	than	ADP
cblr-2931	14	30	voluminous	voluminous	ADJ
cblr-2931	14	31	detailed	detailed	ADJ
cblr-2931	14	32	rules	rule	NOUN
cblr-2931	14	33	specifying	specify	VERB
cblr-2931	14	34	prohibited	prohibit	VERB
cblr-2931	14	35	conduct	conduct	NOUN
cblr-2931	14	36	.	.	PUNCT
cblr-2931	15	1	in	in	ADP
cblr-2931	15	2	particular	particular	ADJ
cblr-2931	15	3	,	,	PUNCT
cblr-2931	15	4	a	a	DET
cblr-2931	15	5	good	good	ADJ
cblr-2931	15	6	deal	deal	NOUN
cblr-2931	15	7	of	of	ADP
cblr-2931	15	8	broker	broker	NOUN
cblr-2931	15	9	-	-	PUNCT
cblr-2931	15	10	dealer	dealer	NOUN
cblr-2931	15	11	conduct	conduct	NOUN
cblr-2931	15	12	is	be	AUX
cblr-2931	15	13	addressed	address	VERB
cblr-2931	15	14	under	under	ADP
cblr-2931	15	15	the	the	DET
cblr-2931	15	16	umbrella	umbrella	NOUN
cblr-2931	15	17	of	of	ADP
cblr-2931	15	18	regulating	regulate	VERB
cblr-2931	15	19	according	accord	VERB
cblr-2931	15	20	to	to	ADP
cblr-2931	15	21	fair	fair	ADJ
cblr-2931	15	22	and	and	CCONJ
cblr-2931	15	23	just	just	ADV
cblr-2931	15	24	principles	principle	NOUN
cblr-2931	15	25	of	of	ADP
cblr-2931	15	26	trade	trade	NOUN
cblr-2931	15	27	.	.	PUNCT
cblr-2931	16	1	similarly	similarly	ADV
cblr-2931	16	2	,	,	PUNCT
cblr-2931	16	3	much	much	ADJ
cblr-2931	16	4	of	of	ADP
cblr-2931	16	5	the	the	DET
cblr-2931	16	6	sec	sec	PROPN
cblr-2931	16	7	's	's	PART
cblr-2931	16	8	rulemaking	rulemaking	NOUN
cblr-2931	16	9	authority	authority	NOUN
cblr-2931	16	10	is	be	AUX
cblr-2931	16	11	*	*	PROPN
cblr-2931	16	12	cary	cary	PROPN
cblr-2931	16	13	c.	c.	PROPN
cblr-2931	16	14	boshamer	boshamer	PROPN
cblr-2931	16	15	distinguished	distinguish	VERB
cblr-2931	16	16	professor	professor	NOUN
cblr-2931	16	17	of	of	ADP
cblr-2931	16	18	law	law	NOUN
cblr-2931	16	19	,	,	PUNCT
cblr-2931	16	20	university	university	PROPN
cblr-2931	16	21	of	of	ADP
cblr-2931	16	22	north	north	PROPN
cblr-2931	16	23	carolina	carolina	PROPN
cblr-2931	16	24	school	school	PROPN
cblr-2931	16	25	of	of	ADP
cblr-2931	16	26	law	law	NOUN
cblr-2931	16	27	.	.	PUNCT
cblr-2931	17	1	b.a	b.a	PROPN
cblr-2931	17	2	.	.	PROPN
cblr-2931	17	3	1969	1969	NUM
cblr-2931	17	4	,	,	PUNCT
cblr-2931	17	5	columbia	columbia	PROPN
cblr-2931	17	6	university	university	PROPN
cblr-2931	17	7	;	;	PUNCT
cblr-2931	17	8	j.d	j.d	PROPN
cblr-2931	17	9	.	.	PROPN
cblr-2931	17	10	1972	1972	NUM
cblr-2931	17	11	,	,	PUNCT
cblr-2931	17	12	columbia	columbia	PROPN
cblr-2931	17	13	university	university	PROPN
cblr-2931	17	14	school	school	NOUN
cblr-2931	17	15	of	of	ADP
cblr-2931	17	16	law	law	NOUN
cblr-2931	17	17	.	.	PUNCT
cblr-2931	18	1	no	no	INTJ
cblr-2931	18	2	.	.	PUNCT
cblr-2931	19	1	3:710	3:710	NUM
cblr-2931	19	2	]	]	PUNCT
cblr-2931	19	3	are	be	AUX
cblr-2931	19	4	existing	exist	VERB
cblr-2931	19	5	stock	stock	NOUN
cblr-2931	19	6	broker	broker	NOUN
cblr-2931	19	7	standards	standard	NOUN
cblr-2931	19	8	sufficient	sufficient	ADJ
cblr-2931	19	9	?	?	PUNCT
cblr-2931	20	1	based	base	VERB
cblr-2931	20	2	on	on	ADP
cblr-2931	20	3	the	the	DET
cblr-2931	20	4	ability	ability	NOUN
cblr-2931	20	5	to	to	PART
cblr-2931	20	6	prohibit	prohibit	VERB
cblr-2931	20	7	fraudulent	fraudulent	ADJ
cblr-2931	20	8	,	,	PUNCT
cblr-2931	20	9	manipulative	manipulative	ADJ
cblr-2931	20	10	,	,	PUNCT
cblr-2931	20	11	and	and	CCONJ
cblr-2931	20	12	deceptive	deceptive	ADJ
cblr-2931	20	13	devices	device	NOUN
cblr-2931	20	14	.	.	PUNCT
cblr-2931	21	1	it	it	PRON
cblr-2931	21	2	also	also	ADV
cblr-2931	21	3	has	have	AUX
cblr-2931	21	4	been	be	AUX
cblr-2931	21	5	suggested	suggest	VERB
cblr-2931	21	6	that	that	SCONJ
cblr-2931	21	7	brokerdealers	brokerdealer	NOUN
cblr-2931	21	8	should	should	AUX
cblr-2931	21	9	be	be	AUX
cblr-2931	21	10	subject	subject	ADJ
cblr-2931	21	11	to	to	ADP
cblr-2931	21	12	fiduciary	fiduciary	ADJ
cblr-2931	21	13	duties	duty	NOUN
cblr-2931	21	14	,	,	PUNCT
cblr-2931	21	15	but	but	CCONJ
cblr-2931	21	16	to	to	ADP
cblr-2931	21	17	a	a	DET
cblr-2931	21	18	large	large	ADJ
cblr-2931	21	19	degree	degree	NOUN
cblr-2931	21	20	,	,	PUNCT
cblr-2931	21	21	they	they	PRON
cblr-2931	21	22	already	already	ADV
cblr-2931	21	23	are	be	AUX
cblr-2931	21	24	.	.	PUNCT
cblr-2931	22	1	this	this	DET
cblr-2931	22	2	article	article	NOUN
cblr-2931	22	3	examines	examine	VERB
cblr-2931	22	4	the	the	DET
cblr-2931	22	5	extent	extent	NOUN
cblr-2931	22	6	to	to	PART
cblr-2931	22	7	which	which	PRON
cblr-2931	22	8	principles	principle	NOUN
cblr-2931	22	9	-	-	PUNCT
cblr-2931	22	10	based	base	VERB
cblr-2931	22	11	regulation	regulation	NOUN
cblr-2931	22	12	or	or	CCONJ
cblr-2931	22	13	the	the	DET
cblr-2931	22	14	setting	setting	NOUN
cblr-2931	22	15	of	of	ADP
cblr-2931	22	16	general	general	ADJ
cblr-2931	22	17	standards	standard	NOUN
cblr-2931	22	18	should	should	AUX
cblr-2931	22	19	be	be	AUX
cblr-2931	22	20	further	far	ADV
cblr-2931	22	21	supplemented	supplement	VERB
cblr-2931	22	22	by	by	ADP
cblr-2931	22	23	rulemaking	rulemake	VERB
cblr-2931	22	24	addressing	address	VERB
cblr-2931	22	25	specific	specific	ADJ
cblr-2931	22	26	types	type	NOUN
cblr-2931	22	27	of	of	ADP
cblr-2931	22	28	conduct	conduct	NOUN
cblr-2931	22	29	.	.	PUNCT
cblr-2931	23	1	i.	i.	NOUN
cblr-2931	23	2	introduction	introduction	PROPN
cblr-2931	23	3	-	-	PUNCT
cblr-2931	23	4	the	the	DET
cblr-2931	23	5	problem	problem	NOUN
cblr-2931	23	6	at	at	ADP
cblr-2931	23	7	hand	hand	NOUN
cblr-2931	23	8	broker	broker	NOUN
cblr-2931	23	9	-	-	PUNCT
cblr-2931	23	10	dealer	dealer	NOUN
cblr-2931	23	11	regulation	regulation	NOUN
cblr-2931	23	12	under	under	ADP
cblr-2931	23	13	the	the	DET
cblr-2931	23	14	federal	federal	ADJ
cblr-2931	23	15	securities	security	NOUN
cblr-2931	23	16	laws	law	NOUN
cblr-2931	23	17	is	be	AUX
cblr-2931	23	18	administered	administer	VERB
cblr-2931	23	19	by	by	ADP
cblr-2931	23	20	the	the	DET
cblr-2931	23	21	securities	securities	PROPN
cblr-2931	23	22	and	and	CCONJ
cblr-2931	23	23	exchange	exchange	PROPN
cblr-2931	23	24	commission	commission	PROPN
cblr-2931	23	25	(	(	PUNCT
cblr-2931	23	26	"	"	PUNCT
cblr-2931	23	27	sec	sec	PROPN
cblr-2931	23	28	"	"	PUNCT
cblr-2931	23	29	)	)	PUNCT
cblr-2931	23	30	as	as	ADV
cblr-2931	23	31	well	well	ADV
cblr-2931	23	32	as	as	ADP
cblr-2931	23	33	the	the	DET
cblr-2931	23	34	self	self	NOUN
cblr-2931	23	35	-	-	PUNCT
cblr-2931	23	36	regulatory	regulatory	ADJ
cblr-2931	23	37	organizations	organization	NOUN
cblr-2931	23	38	,	,	PUNCT
cblr-2931	23	39	including	include	VERB
cblr-2931	23	40	the	the	DET
cblr-2931	23	41	securities	security	NOUN
cblr-2931	23	42	exchanges	exchange	NOUN
cblr-2931	23	43	.	.	PUNCT
cblr-2931	24	1	the	the	DET
cblr-2931	24	2	sec	sec	PROPN
cblr-2931	24	3	and	and	CCONJ
cblr-2931	24	4	the	the	DET
cblr-2931	24	5	relevant	relevant	ADJ
cblr-2931	24	6	self	self	NOUN
cblr-2931	24	7	-	-	PUNCT
cblr-2931	24	8	regulatory	regulatory	ADJ
cblr-2931	24	9	organizations	organization	NOUN
cblr-2931	24	10	have	have	AUX
cblr-2931	24	11	developed	develop	VERB
cblr-2931	24	12	their	their	PRON
cblr-2931	24	13	regulation	regulation	NOUN
cblr-2931	24	14	in	in	ADP
cblr-2931	24	15	piecemeal	piecemeal	ADJ
cblr-2931	24	16	fashion	fashion	NOUN
cblr-2931	24	17	.	.	PUNCT
cblr-2931	25	1	in	in	ADP
cblr-2931	25	2	recent	recent	ADJ
cblr-2931	25	3	years	year	NOUN
cblr-2931	25	4	there	there	PRON
cblr-2931	25	5	has	have	AUX
cblr-2931	25	6	been	be	AUX
cblr-2931	25	7	concern	concern	NOUN
cblr-2931	25	8	as	as	ADP
cblr-2931	25	9	to	to	ADP
cblr-2931	25	10	the	the	DET
cblr-2931	25	11	adequacy	adequacy	NOUN
cblr-2931	25	12	of	of	ADP
cblr-2931	25	13	current	current	ADJ
cblr-2931	25	14	regulation	regulation	NOUN
cblr-2931	25	15	.	.	PUNCT
cblr-2931	26	1	a	a	DET
cblr-2931	26	2	considerable	considerable	ADJ
cblr-2931	26	3	amount	amount	NOUN
cblr-2931	26	4	of	of	ADP
cblr-2931	26	5	rulemaking	rulemake	VERB
cblr-2931	26	6	addresses	address	NOUN
cblr-2931	26	7	specific	specific	ADJ
cblr-2931	26	8	types	type	NOUN
cblr-2931	26	9	of	of	ADP
cblr-2931	26	10	broker	broker	NOUN
cblr-2931	26	11	-	-	PUNCT
cblr-2931	26	12	dealer	dealer	NOUN
cblr-2931	26	13	conduct	conduct	NOUN
cblr-2931	26	14	,	,	PUNCT
cblr-2931	26	15	but	but	CCONJ
cblr-2931	26	16	,	,	PUNCT
cblr-2931	26	17	by	by	ADP
cblr-2931	26	18	and	and	CCONJ
cblr-2931	26	19	large	large	ADJ
cblr-2931	26	20	,	,	PUNCT
cblr-2931	26	21	the	the	DET
cblr-2931	26	22	regulation	regulation	NOUN
cblr-2931	26	23	has	have	AUX
cblr-2931	26	24	been	be	AUX
cblr-2931	26	25	based	base	VERB
cblr-2931	26	26	on	on	ADP
cblr-2931	26	27	principles	principle	NOUN
cblr-2931	26	28	and	and	CCONJ
cblr-2931	26	29	standards	standard	NOUN
cblr-2931	26	30	rather	rather	ADV
cblr-2931	26	31	than	than	ADP
cblr-2931	26	32	voluminous	voluminous	ADJ
cblr-2931	26	33	detailed	detailed	ADJ
cblr-2931	26	34	rules	rule	NOUN
cblr-2931	26	35	addressing	address	VERB
cblr-2931	26	36	specific	specific	ADJ
cblr-2931	26	37	conduct	conduct	NOUN
cblr-2931	26	38	under	under	ADP
cblr-2931	26	39	regulation	regulation	NOUN
cblr-2931	26	40	.	.	PUNCT
cblr-2931	27	1	in	in	ADP
cblr-2931	27	2	particular	particular	ADJ
cblr-2931	27	3	,	,	PUNCT
cblr-2931	27	4	a	a	DET
cblr-2931	27	5	good	good	ADJ
cblr-2931	27	6	deal	deal	NOUN
cblr-2931	27	7	of	of	ADP
cblr-2931	27	8	broker	broker	NOUN
cblr-2931	27	9	-	-	PUNCT
cblr-2931	27	10	dealer	dealer	NOUN
cblr-2931	27	11	conduct	conduct	NOUN
cblr-2931	27	12	is	be	AUX
cblr-2931	27	13	addressed	address	VERB
cblr-2931	27	14	under	under	ADP
cblr-2931	27	15	the	the	DET
cblr-2931	27	16	umbrella	umbrella	NOUN
cblr-2931	27	17	of	of	ADP
cblr-2931	27	18	regulating	regulate	VERB
cblr-2931	27	19	according	accord	VERB
cblr-2931	27	20	to	to	ADP
cblr-2931	27	21	fair	fair	ADJ
cblr-2931	27	22	and	and	CCONJ
cblr-2931	27	23	just	just	ADV
cblr-2931	27	24	principles	principle	NOUN
cblr-2931	27	25	of	of	ADP
cblr-2931	27	26	trade	trade	NOUN
cblr-2931	27	27	.	.	PUNCT
cblr-2931	27	28	'	'	PUNCT
cblr-2931	28	1	also	also	ADV
cblr-2931	28	2	,	,	PUNCT
cblr-2931	28	3	much	much	ADJ
cblr-2931	28	4	of	of	ADP
cblr-2931	28	5	the	the	DET
cblr-2931	28	6	sec	sec	PROPN
cblr-2931	28	7	's	's	PART
cblr-2931	28	8	rulemaking	rulemaking	NOUN
cblr-2931	28	9	authority	authority	NOUN
cblr-2931	28	10	is	be	AUX
cblr-2931	28	11	based	base	VERB
cblr-2931	28	12	on	on	ADP
cblr-2931	28	13	the	the	DET
cblr-2931	28	14	ability	ability	NOUN
cblr-2931	28	15	to	to	PART
cblr-2931	28	16	prohibit	prohibit	VERB
cblr-2931	28	17	fraudulent	fraudulent	ADJ
cblr-2931	28	18	,	,	PUNCT
cblr-2931	28	19	manipulative	manipulative	ADJ
cblr-2931	28	20	,	,	PUNCT
cblr-2931	28	21	and	and	CCONJ
cblr-2931	28	22	deceptive	deceptive	ADJ
cblr-2931	28	23	devices	device	NOUN
cblr-2931	28	24	.	.	PUNCT
cblr-2931	28	25	'	'	PUNCT
cblr-2931	29	1	one	one	NUM
cblr-2931	29	2	issue	issue	NOUN
cblr-2931	29	3	that	that	PRON
cblr-2931	29	4	has	have	AUX
cblr-2931	29	5	developed	develop	VERB
cblr-2931	29	6	over	over	ADP
cblr-2931	29	7	the	the	DET
cblr-2931	29	8	last	last	ADJ
cblr-2931	29	9	decade	decade	NOUN
cblr-2931	29	10	is	be	AUX
cblr-2931	29	11	the	the	DET
cblr-2931	29	12	1	1	NUM
cblr-2931	29	13	see	see	NOUN
cblr-2931	29	14	,	,	PUNCT
cblr-2931	29	15	e.g.	e.g.	ADV
cblr-2931	29	16	,	,	PUNCT
cblr-2931	29	17	finra	finra	PROPN
cblr-2931	29	18	manual	manual	NOUN
cblr-2931	29	19	rule	rule	VERB
cblr-2931	29	20	2010	2010	NUM
cblr-2931	29	21	,	,	PUNCT
cblr-2931	29	22	available	available	ADJ
cblr-2931	29	23	at	at	ADP
cblr-2931	29	24	http://finra.complinet.com/en/display/display.html?rbid=2403&recordid=6	http://finra.complinet.com/en/display/display.html?rbid=2403&recordid=6	PRON
cblr-2931	29	25	905&elementid=5504&highlight=2010#r6905	905&elementid=5504&highlight=2010#r6905	NUM
cblr-2931	29	26	(	(	PUNCT
cblr-2931	29	27	"	"	PUNCT
cblr-2931	29	28	a	a	DET
cblr-2931	29	29	member	member	NOUN
cblr-2931	29	30	,	,	PUNCT
cblr-2931	29	31	in	in	ADP
cblr-2931	29	32	the	the	DET
cblr-2931	29	33	conduct	conduct	NOUN
cblr-2931	29	34	of	of	ADP
cblr-2931	29	35	its	its	PRON
cblr-2931	29	36	business	business	NOUN
cblr-2931	29	37	,	,	PUNCT
cblr-2931	29	38	shall	shall	AUX
cblr-2931	29	39	observe	observe	VERB
cblr-2931	29	40	high	high	ADJ
cblr-2931	29	41	standards	standard	NOUN
cblr-2931	29	42	of	of	ADP
cblr-2931	29	43	commercial	commercial	ADJ
cblr-2931	29	44	honor	honor	NOUN
cblr-2931	29	45	and	and	CCONJ
cblr-2931	29	46	just	just	ADV
cblr-2931	29	47	and	and	CCONJ
cblr-2931	29	48	equitable	equitable	ADJ
cblr-2931	29	49	principles	principle	NOUN
cblr-2931	29	50	of	of	ADP
cblr-2931	29	51	trade	trade	NOUN
cblr-2931	29	52	.	.	PUNCT
cblr-2931	29	53	"	"	PUNCT
cblr-2931	29	54	)	)	PUNCT
cblr-2931	29	55	.	.	PUNCT
cblr-2931	30	1	2	2	NUM
cblr-2931	30	2	section	section	NOUN
cblr-2931	30	3	10(b	10(b	NUM
cblr-2931	30	4	)	)	PUNCT
cblr-2931	30	5	of	of	ADP
cblr-2931	30	6	the	the	DET
cblr-2931	30	7	securities	securities	PROPN
cblr-2931	30	8	exchange	exchange	PROPN
cblr-2931	30	9	act	act	NOUN
cblr-2931	30	10	of	of	ADP
cblr-2931	30	11	1934	1934	NUM
cblr-2931	30	12	empowers	empower	VERB
cblr-2931	30	13	the	the	DET
cblr-2931	30	14	sec	sec	PROPN
cblr-2931	30	15	to	to	PART
cblr-2931	30	16	promulgate	promulgate	VERB
cblr-2931	30	17	rules	rule	NOUN
cblr-2931	30	18	to	to	PART
cblr-2931	30	19	prohibit	prohibit	VERB
cblr-2931	30	20	manipulative	manipulative	ADJ
cblr-2931	30	21	and	and	CCONJ
cblr-2931	30	22	deceptive	deceptive	ADJ
cblr-2931	30	23	devices	device	NOUN
cblr-2931	30	24	in	in	ADP
cblr-2931	30	25	connection	connection	NOUN
cblr-2931	30	26	with	with	ADP
cblr-2931	30	27	the	the	DET
cblr-2931	30	28	purchase	purchase	NOUN
cblr-2931	30	29	or	or	CCONJ
cblr-2931	30	30	sale	sale	NOUN
cblr-2931	30	31	of	of	ADP
cblr-2931	30	32	a	a	DET
cblr-2931	30	33	security	security	NOUN
cblr-2931	30	34	.	.	PUNCT
cblr-2931	31	1	15	15	NUM
cblr-2931	31	2	u.s.c	u.s.c	NOUN
cblr-2931	31	3	.	.	PUNCT
cblr-2931	32	1	§	§	PROPN
cblr-2931	32	2	78j(b	78j(b	X
cblr-2931	32	3	)	)	PUNCT
cblr-2931	32	4	(	(	PUNCT
cblr-2931	32	5	2010	2010	NUM
cblr-2931	32	6	)	)	PUNCT
cblr-2931	32	7	,	,	PUNCT
cblr-2931	32	8	amended	amend	VERB
cblr-2931	32	9	by	by	ADP
cblr-2931	32	10	dodd	dodd	PROPN
cblr-2931	32	11	-	-	PUNCT
cblr-2931	32	12	frank	frank	PROPN
cblr-2931	32	13	wall	wall	PROPN
cblr-2931	32	14	street	street	PROPN
cblr-2931	32	15	reform	reform	PROPN
cblr-2931	32	16	and	and	CCONJ
cblr-2931	32	17	consumer	consumer	NOUN
cblr-2931	32	18	protection	protection	PROPN
cblr-2931	32	19	act	act	PROPN
cblr-2931	32	20	,	,	PUNCT
cblr-2931	32	21	pub	pub	NOUN
cblr-2931	32	22	.	.	PUNCT
cblr-2931	33	1	l.	l.	PROPN
cblr-2931	33	2	no	no	INTJ
cblr-2931	33	3	.	.	PROPN
cblr-2931	33	4	111	111	NUM
cblr-2931	33	5	-	-	SYM
cblr-2931	33	6	203	203	NUM
cblr-2931	33	7	,	,	PUNCT
cblr-2931	33	8	124	124	NUM
cblr-2931	33	9	stat	stat	NOUN
cblr-2931	33	10	.	.	PUNCT
cblr-2931	34	1	1376	1376	NUM
cblr-2931	34	2	(	(	PUNCT
cblr-2931	34	3	2010	2010	NUM
cblr-2931	34	4	)	)	PUNCT
cblr-2931	34	5	.	.	PUNCT
cblr-2931	35	1	section	section	NOUN
cblr-2931	35	2	15(c	15(c	NUM
cblr-2931	35	3	)	)	PUNCT
cblr-2931	35	4	of	of	ADP
cblr-2931	35	5	the	the	DET
cblr-2931	35	6	securities	security	NOUN
cblr-2931	35	7	exchange	exchange	PROPN
cblr-2931	35	8	act	act	NOUN
cblr-2931	35	9	gives	give	VERB
cblr-2931	35	10	the	the	DET
cblr-2931	35	11	sec	sec	PROPN
cblr-2931	35	12	similar	similar	ADJ
cblr-2931	35	13	rulemaking	rulemaking	NOUN
cblr-2931	35	14	authority	authority	NOUN
cblr-2931	35	15	with	with	ADP
cblr-2931	35	16	respect	respect	NOUN
cblr-2931	35	17	to	to	ADP
cblr-2931	35	18	broker	broker	NOUN
cblr-2931	35	19	-	-	PUNCT
cblr-2931	35	20	dealer	dealer	NOUN
cblr-2931	35	21	activities	activity	NOUN
cblr-2931	35	22	.	.	PUNCT
cblr-2931	36	1	15	15	NUM
cblr-2931	36	2	u.s.c	u.s.c	NOUN
cblr-2931	36	3	.	.	PUNCT
cblr-2931	37	1	§	§	PROPN
cblr-2931	37	2	78o(c	78o(c	NUM
cblr-2931	37	3	)	)	PUNCT
cblr-2931	37	4	(	(	PUNCT
cblr-2931	37	5	2010	2010	NUM
cblr-2931	37	6	)	)	PUNCT
cblr-2931	37	7	,	,	PUNCT
cblr-2931	37	8	amended	amend	VERB
cblr-2931	37	9	by	by	ADP
cblr-2931	37	10	124	124	NUM
cblr-2931	37	11	stat	stat	NOUN
cblr-2931	37	12	.	.	PUNCT
cblr-2931	38	1	1376	1376	NUM
cblr-2931	38	2	(	(	PUNCT
cblr-2931	38	3	2010	2010	NUM
cblr-2931	38	4	)	)	PUNCT
cblr-2931	38	5	.	.	PUNCT
cblr-2931	39	1	711	711	NUM
cblr-2931	39	2	extent	extent	NOUN
cblr-2931	39	3	to	to	PART
cblr-2931	39	4	which	which	PRON
cblr-2931	39	5	principles	principle	NOUN
cblr-2931	39	6	-	-	PUNCT
cblr-2931	39	7	based	base	VERB
cblr-2931	39	8	regulation	regulation	NOUN
cblr-2931	39	9	or	or	CCONJ
cblr-2931	39	10	the	the	DET
cblr-2931	39	11	setting	setting	NOUN
cblr-2931	39	12	of	of	ADP
cblr-2931	39	13	general	general	ADJ
cblr-2931	39	14	standards	standard	NOUN
cblr-2931	39	15	should	should	AUX
cblr-2931	39	16	be	be	AUX
cblr-2931	39	17	further	far	ADV
cblr-2931	39	18	supplemented	supplement	VERB
cblr-2931	39	19	by	by	ADP
cblr-2931	39	20	rulemaking	rulemake	VERB
cblr-2931	39	21	addressing	address	VERB
cblr-2931	39	22	specific	specific	ADJ
cblr-2931	39	23	types	type	NOUN
cblr-2931	39	24	of	of	ADP
cblr-2931	39	25	conduct	conduct	NOUN
cblr-2931	39	26	.	.	PUNCT
cblr-2931	40	1	the	the	DET
cblr-2931	40	2	extent	extent	NOUN
cblr-2931	40	3	to	to	PART
cblr-2931	40	4	which	which	PRON
cblr-2931	40	5	broker	broker	NOUN
cblr-2931	40	6	-	-	PUNCT
cblr-2931	40	7	dealers	dealer	NOUN
cblr-2931	40	8	are	be	AUX
cblr-2931	40	9	or	or	CCONJ
cblr-2931	40	10	should	should	AUX
cblr-2931	40	11	be	be	AUX
cblr-2931	40	12	subject	subject	ADJ
cblr-2931	40	13	to	to	ADP
cblr-2931	40	14	fiduciary	fiduciary	ADJ
cblr-2931	40	15	duties	duty	NOUN
cblr-2931	40	16	is	be	AUX
cblr-2931	40	17	another	another	DET
cblr-2931	40	18	issue	issue	NOUN
cblr-2931	40	19	that	that	PRON
cblr-2931	40	20	has	have	AUX
cblr-2931	40	21	been	be	AUX
cblr-2931	40	22	at	at	ADP
cblr-2931	40	23	the	the	DET
cblr-2931	40	24	forefront	forefront	NOUN
cblr-2931	40	25	due	due	ADP
cblr-2931	40	26	to	to	ADP
cblr-2931	40	27	recent	recent	ADJ
cblr-2931	40	28	financial	financial	ADJ
cblr-2931	40	29	events	event	NOUN
cblr-2931	40	30	.	.	PUNCT
cblr-2931	41	1	this	this	DET
cblr-2931	41	2	article	article	NOUN
cblr-2931	41	3	analyzes	analyze	VERB
cblr-2931	41	4	those	those	DET
cblr-2931	41	5	issues	issue	NOUN
cblr-2931	41	6	first	first	ADV
cblr-2931	41	7	as	as	ADP
cblr-2931	41	8	a	a	DET
cblr-2931	41	9	general	general	ADJ
cblr-2931	41	10	proposition	proposition	NOUN
cblr-2931	41	11	and	and	CCONJ
cblr-2931	41	12	then	then	ADV
cblr-2931	41	13	by	by	ADP
cblr-2931	41	14	examining	examine	VERB
cblr-2931	41	15	the	the	DET
cblr-2931	41	16	current	current	ADJ
cblr-2931	41	17	state	state	NOUN
cblr-2931	41	18	of	of	ADP
cblr-2931	41	19	broker	broker	NOUN
cblr-2931	41	20	-	-	PUNCT
cblr-2931	41	21	dealer	dealer	NOUN
cblr-2931	41	22	regulation	regulation	NOUN
cblr-2931	41	23	.	.	PUNCT
cblr-2931	42	1	following	follow	VERB
cblr-2931	42	2	the	the	DET
cblr-2931	42	3	financial	financial	ADJ
cblr-2931	42	4	crisis	crisis	NOUN
cblr-2931	42	5	and	and	CCONJ
cblr-2931	42	6	frauds	fraud	NOUN
cblr-2931	42	7	such	such	ADJ
cblr-2931	42	8	as	as	ADP
cblr-2931	42	9	those	those	PRON
cblr-2931	42	10	perpetrated	perpetrate	VERB
cblr-2931	42	11	by	by	ADP
cblr-2931	42	12	bernard	bernard	NOUN
cblr-2931	42	13	madoff,3	madoff,3	NOUN
cblr-2931	42	14	there	there	PRON
cblr-2931	42	15	was	be	VERB
cblr-2931	42	16	considerable	considerable	ADJ
cblr-2931	42	17	discussion	discussion	NOUN
cblr-2931	42	18	of	of	ADP
cblr-2931	42	19	creating	create	VERB
cblr-2931	42	20	explicit	explicit	ADJ
cblr-2931	42	21	stock	stock	NOUN
cblr-2931	42	22	broker	broker	NOUN
cblr-2931	42	23	fiduciary	fiduciary	ADJ
cblr-2931	42	24	duties	duty	NOUN
cblr-2931	42	25	.	.	PUNCT
cblr-2931	43	1	although	although	SCONJ
cblr-2931	43	2	this	this	PRON
cblr-2931	43	3	inspired	inspire	VERB
cblr-2931	43	4	fear	fear	NOUN
cblr-2931	43	5	within	within	ADP
cblr-2931	43	6	the	the	DET
cblr-2931	43	7	industry,4	industry,4	NOUN
cblr-2931	43	8	it	it	PRON
cblr-2931	43	9	is	be	AUX
cblr-2931	43	10	far	far	ADV
cblr-2931	43	11	from	from	ADP
cblr-2931	43	12	clear	clear	ADJ
cblr-2931	43	13	that	that	SCONJ
cblr-2931	43	14	such	such	DET
cblr-2931	43	15	a	a	DET
cblr-2931	43	16	mandate	mandate	NOUN
cblr-2931	43	17	would	would	AUX
cblr-2931	43	18	significantly	significantly	ADV
cblr-2931	43	19	change	change	VERB
cblr-2931	43	20	the	the	DET
cblr-2931	43	21	current	current	ADJ
cblr-2931	43	22	law	law	NOUN
cblr-2931	43	23	.	.	PUNCT
cblr-2931	44	1	these	these	DET
cblr-2931	44	2	calls	call	VERB
cblr-2931	44	3	for	for	ADP
cblr-2931	44	4	heightened	heightened	ADJ
cblr-2931	44	5	duties	duty	NOUN
cblr-2931	44	6	also	also	ADV
cblr-2931	44	7	arose	arise	VERB
cblr-2931	44	8	in	in	ADP
cblr-2931	44	9	the	the	DET
cblr-2931	44	10	context	context	NOUN
cblr-2931	44	11	of	of	ADP
cblr-2931	44	12	the	the	DET
cblr-2931	44	13	goldman	goldman	NOUN
cblr-2931	44	14	sachs	sachs	NOUN
cblr-2931	44	15	(	(	PUNCT
cblr-2931	44	16	"	"	PUNCT
cblr-2931	44	17	goldman	goldman	NOUN
cblr-2931	44	18	"	"	PUNCT
cblr-2931	44	19	)	)	PUNCT
cblr-2931	44	20	investigation	investigation	NOUN
cblr-2931	44	21	.	.	PUNCT
cblr-2931	45	1	both	both	CCONJ
cblr-2931	45	2	the	the	DET
cblr-2931	45	3	sec	sec	PROPN
cblr-2931	45	4	and	and	CCONJ
cblr-2931	45	5	congress	congress	PROPN
cblr-2931	45	6	investigated	investigate	VERB
cblr-2931	45	7	goldman	goldman	NOUN
cblr-2931	45	8	for	for	ADP
cblr-2931	45	9	its	its	PRON
cblr-2931	45	10	role	role	NOUN
cblr-2931	45	11	in	in	ADP
cblr-2931	45	12	the	the	DET
cblr-2931	45	13	over	over	ADP
cblr-2931	45	14	-	-	PUNCT
cblr-2931	45	15	the	the	DET
cblr-2931	45	16	-	-	PUNCT
cblr-2931	45	17	counter	counter	NOUN
cblr-2931	45	18	derivatives	derivative	NOUN
cblr-2931	45	19	markets	market	NOUN
cblr-2931	45	20	.	.	PUNCT
cblr-2931	46	1	specifically	specifically	ADV
cblr-2931	46	2	,	,	PUNCT
cblr-2931	46	3	there	there	PRON
cblr-2931	46	4	was	be	VERB
cblr-2931	46	5	concern	concern	NOUN
cblr-2931	46	6	over	over	ADP
cblr-2931	46	7	goldman	goldman	PROPN
cblr-2931	46	8	's	's	PART
cblr-2931	46	9	role	role	NOUN
cblr-2931	46	10	as	as	ADP
cblr-2931	46	11	fabricator	fabricator	NOUN
cblr-2931	46	12	of	of	ADP
cblr-2931	46	13	the	the	DET
cblr-2931	46	14	derivative	derivative	ADJ
cblr-2931	46	15	instruments	instrument	NOUN
cblr-2931	46	16	and	and	CCONJ
cblr-2931	46	17	the	the	DET
cblr-2931	46	18	ways	way	NOUN
cblr-2931	46	19	in	in	ADP
cblr-2931	46	20	which	which	PRON
cblr-2931	46	21	goldman	goldman	NOUN
cblr-2931	46	22	marketed	market	VERB
cblr-2931	46	23	them	they	PRON
cblr-2931	46	24	to	to	ADP
cblr-2931	46	25	its	its	PRON
cblr-2931	46	26	customers	customer	NOUN
cblr-2931	46	27	.	.	PUNCT
cblr-2931	46	28	'	'	PUNCT
cblr-2931	47	1	goldman	goldman	PROPN
cblr-2931	47	2	maintained	maintain	VERB
cblr-2931	47	3	that	that	SCONJ
cblr-2931	47	4	it	it	PRON
cblr-2931	47	5	was	be	AUX
cblr-2931	47	6	merely	merely	ADV
cblr-2931	47	7	acting	act	VERB
cblr-2931	47	8	as	as	ADP
cblr-2931	47	9	a	a	DET
cblr-2931	47	10	market	market	NOUN
cblr-2931	47	11	maker	maker	NOUN
cblr-2931	47	12	and	and	CCONJ
cblr-2931	47	13	,	,	PUNCT
cblr-2931	47	14	as	as	ADP
cblr-2931	47	15	such	such	ADJ
cblr-2931	47	16	,	,	PUNCT
cblr-2931	47	17	had	have	VERB
cblr-2931	47	18	no	no	DET
cblr-2931	47	19	disclosure	disclosure	NOUN
cblr-2931	47	20	duties	duty	NOUN
cblr-2931	47	21	to	to	ADP
cblr-2931	47	22	its	its	PRON
cblr-2931	47	23	customers	customer	NOUN
cblr-2931	47	24	regarding	regard	VERB
cblr-2931	47	25	goldman	goldman	NOUN
cblr-2931	47	26	's	's	PART
cblr-2931	47	27	allegedly	allegedly	ADV
cblr-2931	47	28	betting	bet	VERB
cblr-2931	47	29	against	against	ADP
cblr-2931	47	30	the	the	DET
cblr-2931	47	31	investments	investment	NOUN
cblr-2931	47	32	that	that	PRON
cblr-2931	47	33	it	it	PRON
cblr-2931	47	34	was	be	AUX
cblr-2931	47	35	marketing	market	VERB
cblr-2931	47	36	.	.	PUNCT
cblr-2931	48	1	this	this	PRON
cblr-2931	48	2	led	lead	VERB
cblr-2931	48	3	many	many	ADJ
cblr-2931	48	4	to	to	PART
cblr-2931	48	5	suggest	suggest	VERB
cblr-2931	48	6	that	that	SCONJ
cblr-2931	48	7	it	it	PRON
cblr-2931	48	8	be	be	AUX
cblr-2931	48	9	clarified	clarify	VERB
cblr-2931	48	10	that	that	SCONJ
cblr-2931	48	11	brokers	broker	NOUN
cblr-2931	48	12	are	be	AUX
cblr-2931	48	13	in	in	ADP
cblr-2931	48	14	fact	fact	NOUN
cblr-2931	48	15	fiduciaries	fiduciary	NOUN
cblr-2931	48	16	.	.	PUNCT
cblr-2931	49	1	the	the	DET
cblr-2931	49	2	sec	sec	PROPN
cblr-2931	49	3	brought	bring	VERB
cblr-2931	49	4	charges	charge	NOUN
cblr-2931	49	5	against	against	ADP
cblr-2931	49	6	3	3	NUM
cblr-2931	49	7	cf	cf	NOUN
cblr-2931	49	8	.	.	PUNCT
cblr-2931	50	1	anwar	anwar	PROPN
cblr-2931	50	2	v.	v.	PROPN
cblr-2931	50	3	fairfield	fairfield	PROPN
cblr-2931	50	4	greenwich	greenwich	PROPN
cblr-2931	50	5	ltd	ltd	PROPN
cblr-2931	50	6	.	.	PROPN
cblr-2931	50	7	,	,	PUNCT
cblr-2931	50	8	no	no	INTJ
cblr-2931	50	9	.	.	NOUN
cblr-2931	50	10	09	09	NUM
cblr-2931	50	11	civ	civ	NOUN
cblr-2931	50	12	.	.	PUNCT
cblr-2931	50	13	0118(vm	0118(vm	PROPN
cblr-2931	50	14	)	)	PUNCT
cblr-2931	50	15	,	,	PUNCT
cblr-2931	50	16	2010	2010	NUM
cblr-2931	50	17	wl	wl	NOUN
cblr-2931	50	18	3022848	3022848	NUM
cblr-2931	50	19	,	,	PUNCT
cblr-2931	50	20	at	at	ADP
cblr-2931	50	21	*	*	NUM
cblr-2931	50	22	17	17	NUM
cblr-2931	50	23	(	(	PUNCT
cblr-2931	50	24	s.d.n.y	s.d.n.y	PROPN
cblr-2931	50	25	.	.	PROPN
cblr-2931	50	26	july	july	PROPN
cblr-2931	50	27	29	29	NUM
cblr-2931	50	28	,	,	PUNCT
cblr-2931	50	29	2010	2010	NUM
cblr-2931	50	30	)	)	PUNCT
cblr-2931	50	31	(	(	PUNCT
cblr-2931	50	32	upholding	uphold	VERB
cblr-2931	50	33	state	state	NOUN
cblr-2931	50	34	law	law	NOUN
cblr-2931	50	35	claims	claim	NOUN
cblr-2931	50	36	against	against	ADP
cblr-2931	50	37	defendants	defendant	NOUN
cblr-2931	50	38	who	who	PRON
cblr-2931	50	39	steered	steer	VERB
cblr-2931	50	40	investors	investor	NOUN
cblr-2931	50	41	to	to	ADP
cblr-2931	50	42	madoff	madoff	PROPN
cblr-2931	50	43	controlled	control	VERB
cblr-2931	50	44	investments	investment	NOUN
cblr-2931	50	45	)	)	PUNCT
cblr-2931	50	46	.	.	PUNCT
cblr-2931	51	1	4	4	NUM
cblr-2931	51	2	see	see	VERB
cblr-2931	51	3	,	,	PUNCT
cblr-2931	51	4	e.g.	e.g.	ADV
cblr-2931	51	5	,	,	PUNCT
cblr-2931	51	6	joe	joe	PROPN
cblr-2931	51	7	rauch	rauch	PROPN
cblr-2931	51	8	,	,	PUNCT
cblr-2931	51	9	retail	retail	ADJ
cblr-2931	51	10	brokers	broker	NOUN
cblr-2931	51	11	fear	fear	VERB
cblr-2931	51	12	new	new	ADJ
cblr-2931	51	13	law	law	NOUN
cblr-2931	51	14	could	could	AUX
cblr-2931	51	15	bring	bring	VERB
cblr-2931	51	16	sea	sea	NOUN
cblr-2931	51	17	change	change	NOUN
cblr-2931	51	18	,	,	PUNCT
cblr-2931	51	19	reuters	reuters	PROPN
cblr-2931	51	20	,	,	PUNCT
cblr-2931	51	21	oct	oct	PROPN
cblr-2931	51	22	.	.	PROPN
cblr-2931	51	23	30	30	NUM
cblr-2931	51	24	,	,	PUNCT
cblr-2931	51	25	2009	2009	NUM
cblr-2931	51	26	,	,	PUNCT
cblr-2931	51	27	http://www.reuters.com/article/idustr	http://www.reuters.com/article/idustr	PROPN
cblr-2931	51	28	e59t4c120091030	e59t4c120091030	X
cblr-2931	51	29	(	(	PUNCT
cblr-2931	51	30	noting	note	VERB
cblr-2931	51	31	also	also	ADV
cblr-2931	51	32	that	that	SCONJ
cblr-2931	51	33	the	the	DET
cblr-2931	51	34	proposed	propose	VERB
cblr-2931	51	35	fiduciary	fiduciary	ADJ
cblr-2931	51	36	duty	duty	NOUN
cblr-2931	51	37	language	language	NOUN
cblr-2931	51	38	was	be	AUX
cblr-2931	51	39	suggested	suggest	VERB
cblr-2931	51	40	by	by	ADP
cblr-2931	51	41	sec	sec	PROPN
cblr-2931	51	42	chair	chair	NOUN
cblr-2931	51	43	mary	mary	PROPN
cblr-2931	51	44	schapiro	schapiro	PROPN
cblr-2931	51	45	)	)	PUNCT
cblr-2931	51	46	.	.	PUNCT
cblr-2931	51	47	'	'	PUNCT
cblr-2931	52	1	see	see	VERB
cblr-2931	52	2	,	,	PUNCT
cblr-2931	52	3	e.g.	e.g.	ADV
cblr-2931	52	4	,	,	PUNCT
cblr-2931	52	5	andrew	andrew	PROPN
cblr-2931	52	6	ross	ross	PROPN
cblr-2931	52	7	sorkin	sorkin	PROPN
cblr-2931	52	8	,	,	PUNCT
cblr-2931	52	9	goldman	goldman	NOUN
cblr-2931	52	10	acknowledges	acknowledge	VERB
cblr-2931	52	11	conflicts	conflict	NOUN
cblr-2931	52	12	with	with	ADP
cblr-2931	52	13	clients	client	NOUN
cblr-2931	52	14	,	,	PUNCT
cblr-2931	52	15	n.y	n.y	PROPN
cblr-2931	52	16	.	.	PROPN
cblr-2931	52	17	times	times	PROPN
cblr-2931	52	18	dealbook	dealbook	PROPN
cblr-2931	52	19	,	,	PUNCT
cblr-2931	52	20	jan	jan	PROPN
cblr-2931	52	21	.	.	PROPN
cblr-2931	52	22	12	12	NUM
cblr-2931	52	23	,	,	PUNCT
cblr-2931	52	24	2010	2010	NUM
cblr-2931	52	25	,	,	PUNCT
cblr-2931	52	26	http://dealbook	http://dealbook	PROPN
cblr-2931	52	27	.	.	PUNCT
cblr-2931	53	1	blogs.nytimes.com/2010/01/12/goldman-executive-discloses-conflictspolicy/.	blogs.nytimes.com/2010/01/12/goldman-executive-discloses-conflictspolicy/.	PROPN
cblr-2931	53	2	712	712	NUM
cblr-2931	53	3	col	col	PROPN
cblr-2931	53	4	umbia	umbia	PROPN
cblr-2931	53	5	b	b	PROPN
cblr-2931	53	6	usiness	usiness	PROPN
cblr-2931	53	7	la	la	PROPN
cblr-2931	53	8	w	w	PROPN
cblr-2931	53	9	re	re	PROPN
cblr-2931	53	10	vie	vie	PROPN
cblr-2931	53	11	w	w	PROPN
cblr-2931	54	1	[	[	X
cblr-2931	54	2	vol	vol	NOUN
cblr-2931	54	3	.	.	PUNCT
cblr-2931	55	1	2010	2010	NUM
cblr-2931	55	2	no	no	NOUN
cblr-2931	55	3	.	.	PUNCT
cblr-2931	56	1	3:710	3:710	NUM
cblr-2931	56	2	]	]	PUNCT
cblr-2931	56	3	are	be	AUX
cblr-2931	56	4	existing	exist	VERB
cblr-2931	56	5	stockbroker	stockbroker	NOUN
cblr-2931	56	6	standards	standard	NOUN
cblr-2931	56	7	sufficient	sufficient	ADJ
cblr-2931	56	8	?	?	PUNCT
cblr-2931	57	1	goldman	goldman	NOUN
cblr-2931	57	2	'	'	PUNCT
cblr-2931	57	3	claiming	claim	VERB
cblr-2931	57	4	that	that	SCONJ
cblr-2931	57	5	goldman	goldman	PROPN
cblr-2931	57	6	breached	breach	VERB
cblr-2931	57	7	its	its	PRON
cblr-2931	57	8	obligations	obligation	NOUN
cblr-2931	57	9	as	as	ADP
cblr-2931	57	10	a	a	DET
cblr-2931	57	11	broker	broker	NOUN
cblr-2931	57	12	of	of	ADP
cblr-2931	57	13	these	these	DET
cblr-2931	57	14	privately	privately	ADV
cblr-2931	57	15	placed	place	VERB
cblr-2931	57	16	derivatives	derivative	NOUN
cblr-2931	57	17	.	.	PUNCT
cblr-2931	58	1	congressional	congressional	ADJ
cblr-2931	58	2	or	or	CCONJ
cblr-2931	58	3	sec	sec	PROPN
cblr-2931	58	4	recognition	recognition	NOUN
cblr-2931	58	5	of	of	ADP
cblr-2931	58	6	broker	broker	NOUN
cblr-2931	58	7	-	-	PUNCT
cblr-2931	58	8	dealer	dealer	NOUN
cblr-2931	58	9	fiduciary	fiduciary	ADJ
cblr-2931	58	10	duties	duty	NOUN
cblr-2931	58	11	addressed	address	VERB
cblr-2931	58	12	goldman	goldman	NOUN
cblr-2931	58	13	's	's	PART
cblr-2931	58	14	market	market	NOUN
cblr-2931	58	15	maker	maker	NOUN
cblr-2931	58	16	defense	defense	NOUN
cblr-2931	58	17	as	as	ADV
cblr-2931	58	18	well	well	ADV
cblr-2931	58	19	as	as	ADP
cblr-2931	58	20	the	the	DET
cblr-2931	58	21	obligations	obligation	NOUN
cblr-2931	58	22	of	of	ADP
cblr-2931	58	23	those	those	DET
cblr-2931	58	24	brokers	broker	NOUN
cblr-2931	58	25	who	who	PRON
cblr-2931	58	26	brought	bring	VERB
cblr-2931	58	27	their	their	PRON
cblr-2931	58	28	clients	client	NOUN
cblr-2931	58	29	to	to	PART
cblr-2931	58	30	bernard	bernard	VERB
cblr-2931	58	31	madoff	madoff	PROPN
cblr-2931	58	32	.	.	PUNCT
cblr-2931	59	1	nevertheless	nevertheless	ADV
cblr-2931	59	2	,	,	PUNCT
cblr-2931	59	3	it	it	PRON
cblr-2931	59	4	is	be	AUX
cblr-2931	59	5	far	far	ADV
cblr-2931	59	6	from	from	ADP
cblr-2931	59	7	clear	clear	ADJ
cblr-2931	59	8	that	that	SCONJ
cblr-2931	59	9	these	these	DET
cblr-2931	59	10	obligations	obligation	NOUN
cblr-2931	59	11	do	do	AUX
cblr-2931	59	12	not	not	PART
cblr-2931	59	13	exist	exist	VERB
cblr-2931	59	14	under	under	ADP
cblr-2931	59	15	current	current	ADJ
cblr-2931	59	16	law	law	NOUN
cblr-2931	59	17	.	.	PUNCT
cblr-2931	60	1	the	the	DET
cblr-2931	60	2	goldman	goldman	PROPN
cblr-2931	60	3	sachs	sachs	PROPN
cblr-2931	60	4	settlement	settlement	PROPN
cblr-2931	60	5	'	'	PART
cblr-2931	60	6	means	mean	NOUN
cblr-2931	60	7	,	,	PUNCT
cblr-2931	60	8	among	among	ADP
cblr-2931	60	9	other	other	ADJ
cblr-2931	60	10	things	thing	NOUN
cblr-2931	60	11	,	,	PUNCT
cblr-2931	60	12	that	that	SCONJ
cblr-2931	60	13	the	the	DET
cblr-2931	60	14	extent	extent	NOUN
cblr-2931	60	15	of	of	ADP
cblr-2931	60	16	goldman	goldman	NOUN
cblr-2931	60	17	's	's	PART
cblr-2931	60	18	obligations	obligation	NOUN
cblr-2931	60	19	to	to	ADP
cblr-2931	60	20	its	its	PRON
cblr-2931	60	21	clients	client	NOUN
cblr-2931	60	22	was	be	AUX
cblr-2931	60	23	not	not	PART
cblr-2931	60	24	clarified	clarify	VERB
cblr-2931	60	25	by	by	ADP
cblr-2931	60	26	the	the	DET
cblr-2931	60	27	courts	court	NOUN
cblr-2931	60	28	.	.	PUNCT
cblr-2931	61	1	as	as	SCONJ
cblr-2931	61	2	discussed	discuss	VERB
cblr-2931	61	3	below	below	ADV
cblr-2931	61	4	,	,	PUNCT
cblr-2931	61	5	there	there	PRON
cblr-2931	61	6	is	be	VERB
cblr-2931	61	7	plenty	plenty	NOUN
cblr-2931	61	8	of	of	ADP
cblr-2931	61	9	authority	authority	NOUN
cblr-2931	61	10	under	under	ADP
cblr-2931	61	11	the	the	DET
cblr-2931	61	12	existing	exist	VERB
cblr-2931	61	13	law	law	NOUN
cblr-2931	61	14	that	that	PRON
cblr-2931	61	15	recognizes	recognize	VERB
cblr-2931	61	16	heightened	heightened	ADJ
cblr-2931	61	17	obligations	obligation	NOUN
cblr-2931	61	18	of	of	ADP
cblr-2931	61	19	securities	security	NOUN
cblr-2931	61	20	broker	broker	NOUN
cblr-2931	61	21	-	-	PUNCT
cblr-2931	61	22	dealers	dealer	NOUN
cblr-2931	61	23	,	,	PUNCT
cblr-2931	61	24	at	at	ADP
cblr-2931	61	25	least	least	ADJ
cblr-2931	61	26	when	when	SCONJ
cblr-2931	61	27	they	they	PRON
cblr-2931	61	28	are	be	AUX
cblr-2931	61	29	acting	act	VERB
cblr-2931	61	30	in	in	ADP
cblr-2931	61	31	a	a	DET
cblr-2931	61	32	capacity	capacity	NOUN
cblr-2931	61	33	beyond	beyond	ADP
cblr-2931	61	34	that	that	PRON
cblr-2931	61	35	of	of	ADP
cblr-2931	61	36	mere	mere	ADJ
cblr-2931	61	37	order	order	NOUN
cblr-2931	61	38	taker	taker	NOUN
cblr-2931	61	39	.	.	PUNCT
cblr-2931	62	1	many	many	ADJ
cblr-2931	62	2	observers	observer	NOUN
cblr-2931	62	3	identified	identify	VERB
cblr-2931	62	4	a	a	DET
cblr-2931	62	5	perceived	perceive	VERB
cblr-2931	62	6	need	need	NOUN
cblr-2931	62	7	for	for	ADP
cblr-2931	62	8	more	more	ADV
cblr-2931	62	9	explicit	explicit	ADJ
cblr-2931	62	10	recognition	recognition	NOUN
cblr-2931	62	11	of	of	ADP
cblr-2931	62	12	broker	broker	NOUN
cblr-2931	62	13	-	-	PUNCT
cblr-2931	62	14	dealer	dealer	NOUN
cblr-2931	62	15	fiduciary	fiduciary	ADJ
cblr-2931	62	16	duties	duty	NOUN
cblr-2931	62	17	.	.	PUNCT
cblr-2931	63	1	it	it	PRON
cblr-2931	63	2	would	would	AUX
cblr-2931	63	3	have	have	AUX
cblr-2931	63	4	been	be	AUX
cblr-2931	63	5	more	more	ADV
cblr-2931	63	6	accurate	accurate	ADJ
cblr-2931	63	7	to	to	PART
cblr-2931	63	8	describe	describe	VERB
cblr-2931	63	9	this	this	PRON
cblr-2931	63	10	as	as	ADP
cblr-2931	63	11	enhancing	enhance	VERB
cblr-2931	63	12	fiduciary	fiduciary	ADJ
cblr-2931	63	13	duties	duty	NOUN
cblr-2931	63	14	since	since	SCONJ
cblr-2931	63	15	,	,	PUNCT
cblr-2931	63	16	as	as	SCONJ
cblr-2931	63	17	pointed	point	VERB
cblr-2931	63	18	out	out	ADP
cblr-2931	63	19	in	in	ADP
cblr-2931	63	20	part	part	NOUN
cblr-2931	63	21	iv	iv	NOUN
cblr-2931	63	22	of	of	ADP
cblr-2931	63	23	this	this	DET
cblr-2931	63	24	article	article	NOUN
cblr-2931	63	25	,	,	PUNCT
cblr-2931	63	26	it	it	PRON
cblr-2931	63	27	has	have	AUX
cblr-2931	63	28	long	long	ADV
cblr-2931	63	29	been	be	AUX
cblr-2931	63	30	the	the	DET
cblr-2931	63	31	case	case	NOUN
cblr-2931	63	32	that	that	SCONJ
cblr-2931	63	33	stock	stock	NOUN
cblr-2931	63	34	brokers	broker	NOUN
cblr-2931	63	35	owe	owe	VERB
cblr-2931	63	36	fiduciary	fiduciary	ADJ
cblr-2931	63	37	duties	duty	NOUN
cblr-2931	63	38	when	when	SCONJ
cblr-2931	63	39	acting	act	VERB
cblr-2931	63	40	in	in	ADP
cblr-2931	63	41	certain	certain	ADJ
cblr-2931	63	42	capacities	capacity	NOUN
cblr-2931	63	43	.	.	PUNCT
cblr-2931	64	1	as	as	SCONJ
cblr-2931	64	2	the	the	DET
cblr-2931	64	3	financial	financial	ADJ
cblr-2931	64	4	reform	reform	NOUN
cblr-2931	64	5	legislation	legislation	NOUN
cblr-2931	64	6	developed	develop	VERB
cblr-2931	64	7	,	,	PUNCT
cblr-2931	64	8	controversy	controversy	NOUN
cblr-2931	64	9	arose	arise	VERB
cblr-2931	64	10	as	as	ADP
cblr-2931	64	11	to	to	ADP
cblr-2931	64	12	whether	whether	SCONJ
cblr-2931	64	13	to	to	PART
cblr-2931	64	14	statutorily	statutorily	ADV
cblr-2931	64	15	impose	impose	VERB
cblr-2931	64	16	new	new	ADJ
cblr-2931	64	17	fiduciary	fiduciary	ADJ
cblr-2931	64	18	duties	duty	NOUN
cblr-2931	64	19	.	.	PUNCT
cblr-2931	65	1	investor	investor	NOUN
cblr-2931	65	2	-	-	PUNCT
cblr-2931	65	3	protection	protection	NOUN
cblr-2931	65	4	advocates	advocate	NOUN
cblr-2931	65	5	supported	support	VERB
cblr-2931	65	6	such	such	DET
cblr-2931	65	7	a	a	DET
cblr-2931	65	8	move	move	NOUN
cblr-2931	65	9	.	.	PUNCT
cblr-2931	66	1	not	not	PART
cblr-2931	66	2	surprisingly	surprisingly	ADV
cblr-2931	66	3	,	,	PUNCT
cblr-2931	66	4	the	the	DET
cblr-2931	66	5	industry	industry	NOUN
cblr-2931	66	6	and	and	CCONJ
cblr-2931	66	7	others	other	NOUN
cblr-2931	66	8	opposed	oppose	VERB
cblr-2931	66	9	the	the	DET
cblr-2931	66	10	suggestion	suggestion	NOUN
cblr-2931	66	11	.	.	PUNCT
cblr-2931	67	1	to	to	ADP
cblr-2931	67	2	the	the	DET
cblr-2931	67	3	extent	extent	NOUN
cblr-2931	67	4	that	that	SCONJ
cblr-2931	67	5	these	these	DET
cblr-2931	67	6	duties	duty	NOUN
cblr-2931	67	7	already	already	ADV
cblr-2931	67	8	exist	exist	VERB
cblr-2931	67	9	,	,	PUNCT
cblr-2931	67	10	the	the	DET
cblr-2931	67	11	suggestion	suggestion	NOUN
cblr-2931	67	12	may	may	AUX
cblr-2931	67	13	have	have	AUX
cblr-2931	67	14	been	be	AUX
cblr-2931	67	15	less	less	ADV
cblr-2931	67	16	meaningful	meaningful	ADJ
cblr-2931	67	17	than	than	SCONJ
cblr-2931	67	18	thought	think	VERB
cblr-2931	67	19	by	by	ADP
cblr-2931	67	20	its	its	PRON
cblr-2931	67	21	advocates	advocate	NOUN
cblr-2931	67	22	.	.	PUNCT
cblr-2931	67	23	'	'	PUNCT
cblr-2931	68	1	in	in	ADP
cblr-2931	68	2	any	any	DET
cblr-2931	68	3	event	event	NOUN
cblr-2931	68	4	,	,	PUNCT
cblr-2931	68	5	the	the	DET
cblr-2931	68	6	final	final	ADJ
cblr-2931	68	7	legislation	legislation	NOUN
cblr-2931	68	8	eschewed	eschew	VERB
cblr-2931	68	9	a	a	DET
cblr-2931	68	10	6	6	NUM
cblr-2931	68	11	see	see	NOUN
cblr-2931	68	12	complaint	complaint	NOUN
cblr-2931	68	13	,	,	PUNCT
cblr-2931	68	14	sec	sec	PROPN
cblr-2931	68	15	v.	v.	PROPN
cblr-2931	68	16	goldman	goldman	PROPN
cblr-2931	68	17	sachs	sachs	PROPN
cblr-2931	68	18	&	&	CCONJ
cblr-2931	68	19	co.	co.	PROPN
cblr-2931	68	20	,	,	PUNCT
cblr-2931	68	21	no	no	INTJ
cblr-2931	68	22	.	.	PUNCT
cblr-2931	69	1	1:10	1:10	NUM
cblr-2931	69	2	-	-	PUNCT
cblr-2931	69	3	cv-03229	cv-03229	NOUN
cblr-2931	69	4	,	,	PUNCT
cblr-2931	69	5	2010	2010	NUM
cblr-2931	69	6	wl	wl	SYM
cblr-2931	69	7	1508202	1508202	NUM
cblr-2931	69	8	(	(	PUNCT
cblr-2931	69	9	s.d.n.y	s.d.n.y	PROPN
cblr-2931	69	10	.	.	PROPN
cblr-2931	69	11	2010	2010	NUM
cblr-2931	69	12	)	)	PUNCT
cblr-2931	69	13	,	,	PUNCT
cblr-2931	69	14	available	available	ADJ
cblr-2931	69	15	at	at	ADP
cblr-2931	69	16	http://www.sec	http://www.sec	PROPN
cblr-2931	69	17	.	.	PUNCT
cblr-2931	70	1	gov	gov	PROPN
cblr-2931	70	2	/	/	SYM
cblr-2931	70	3	litigation	litigation	NOUN
cblr-2931	70	4	/	/	SYM
cblr-2931	70	5	complaints/2010	complaints/2010	NOUN
cblr-2931	70	6	/	/	SYM
cblr-2931	70	7	comp	comp	PROPN
cblr-2931	70	8	-	-	PUNCT
cblr-2931	70	9	pr2olo-59.pdf	pr2olo-59.pdf	PROPN
cblr-2931	70	10	.	.	PUNCT
cblr-2931	70	11	'	'	PUNCT
cblr-2931	71	1	see	see	VERB
cblr-2931	71	2	sec	sec	PROPN
cblr-2931	71	3	v.	v.	PROPN
cblr-2931	71	4	goldman	goldman	PROPN
cblr-2931	71	5	sachs	sachs	PROPN
cblr-2931	71	6	&	&	CCONJ
cblr-2931	71	7	co.	co.	PROPN
cblr-2931	71	8	,	,	PUNCT
cblr-2931	71	9	sec	sec	PROPN
cblr-2931	71	10	litigation	litigation	NOUN
cblr-2931	71	11	release	release	VERB
cblr-2931	71	12	no	no	PRON
cblr-2931	71	13	.	.	NOUN
cblr-2931	71	14	21592	21592	NUM
cblr-2931	71	15	,	,	PUNCT
cblr-2931	71	16	no	no	INTJ
cblr-2931	71	17	.	.	NOUN
cblr-2931	71	18	10	10	NUM
cblr-2931	71	19	civ	civ	NOUN
cblr-2931	71	20	.	.	PUNCT
cblr-2931	72	1	3229	3229	NUM
cblr-2931	72	2	(	(	PUNCT
cblr-2931	72	3	july	july	PROPN
cblr-2931	72	4	15	15	NUM
cblr-2931	72	5	,	,	PUNCT
cblr-2931	72	6	2010	2010	NUM
cblr-2931	72	7	)	)	PUNCT
cblr-2931	72	8	,	,	PUNCT
cblr-2931	73	1	http://www.sec.gov/litigation/litrele	http://www.sec.gov/litigation/litrele	X
cblr-2931	73	2	ases/2010/1r21592.htm	ases/2010/1r21592.htm	PROPN
cblr-2931	73	3	;	;	PUNCT
cblr-2931	73	4	patricia	patricia	PROPN
cblr-2931	73	5	hurtado	hurtado	PROPN
cblr-2931	73	6	&	&	CCONJ
cblr-2931	73	7	christine	christine	PROPN
cblr-2931	73	8	harper	harper	PROPN
cblr-2931	73	9	,	,	PUNCT
cblr-2931	73	10	sec	sec	PROPN
cblr-2931	73	11	settlement	settlement	NOUN
cblr-2931	73	12	with	with	ADP
cblr-2931	73	13	goldman	goldman	NOUN
cblr-2931	73	14	sachs	sachs	NOUN
cblr-2931	73	15	for	for	ADP
cblr-2931	73	16	$	$	SYM
cblr-2931	73	17	550	550	NUM
cblr-2931	73	18	million	million	NUM
cblr-2931	73	19	approved	approve	VERB
cblr-2931	73	20	by	by	ADP
cblr-2931	73	21	u.s	u.s	PROPN
cblr-2931	73	22	.	.	PROPN
cblr-2931	73	23	judge	judge	PROPN
cblr-2931	73	24	,	,	PUNCT
cblr-2931	73	25	bloomberg	bloomberg	PROPN
cblr-2931	73	26	,	,	PUNCT
cblr-2931	73	27	(	(	PUNCT
cblr-2931	73	28	july	july	PROPN
cblr-2931	73	29	21	21	NUM
cblr-2931	73	30	,	,	PUNCT
cblr-2931	73	31	2010	2010	NUM
cblr-2931	73	32	)	)	PUNCT
cblr-2931	73	33	,	,	PUNCT
cblr-2931	73	34	http://www.bloomberg.com/news/2010-0720/goldman-sachs-settlement-with-sec-for-550-million-approved-by-u-sjudge.html	http://www.bloomberg.com/news/2010-0720/goldman-sachs-settlement-with-sec-for-550-million-approved-by-u-sjudge.html	X
cblr-2931	73	35	.	.	NOUN
cblr-2931	73	36	8	8	NUM
cblr-2931	73	37	even	even	ADV
cblr-2931	73	38	as	as	ADP
cblr-2931	73	39	a	a	DET
cblr-2931	73	40	tactical	tactical	ADJ
cblr-2931	73	41	matter	matter	NOUN
cblr-2931	73	42	,	,	PUNCT
cblr-2931	73	43	this	this	DET
cblr-2931	73	44	proposal	proposal	NOUN
cblr-2931	73	45	was	be	AUX
cblr-2931	73	46	fraught	fraught	ADJ
cblr-2931	73	47	with	with	ADP
cblr-2931	73	48	danger	danger	NOUN
cblr-2931	73	49	.	.	PUNCT
cblr-2931	74	1	congressional	congressional	ADJ
cblr-2931	74	2	rejection	rejection	NOUN
cblr-2931	74	3	of	of	ADP
cblr-2931	74	4	a	a	DET
cblr-2931	74	5	fiduciary	fiduciary	ADJ
cblr-2931	74	6	duty	duty	NOUN
cblr-2931	74	7	requirement	requirement	NOUN
cblr-2931	74	8	could	could	AUX
cblr-2931	74	9	have	have	VERB
cblr-2931	74	10	a	a	DET
cblr-2931	74	11	narrowing	narrow	VERB
cblr-2931	74	12	impact	impact	NOUN
cblr-2931	74	13	on	on	ADP
cblr-2931	74	14	current	current	ADJ
cblr-2931	74	15	case	case	NOUN
cblr-2931	74	16	law	law	NOUN
cblr-2931	74	17	and	and	CCONJ
cblr-2931	74	18	rulemaking	rulemaking	NOUN
cblr-2931	74	19	.	.	PUNCT
cblr-2931	75	1	713	713	NUM
cblr-2931	75	2	statutorily	statutorily	ADV
cblr-2931	75	3	mandated	mandate	VERB
cblr-2931	75	4	fiduciary	fiduciary	ADJ
cblr-2931	75	5	duty	duty	NOUN
cblr-2931	75	6	.	.	PUNCT
cblr-2931	75	7	'	'	PUNCT
cblr-2931	76	1	instead	instead	ADV
cblr-2931	76	2	,	,	PUNCT
cblr-2931	76	3	congress	congress	PROPN
cblr-2931	76	4	directed	direct	VERB
cblr-2931	76	5	the	the	DET
cblr-2931	76	6	sec	sec	PROPN
cblr-2931	76	7	to	to	PART
cblr-2931	76	8	conduct	conduct	VERB
cblr-2931	76	9	a	a	DET
cblr-2931	76	10	study	study	NOUN
cblr-2931	76	11	to	to	PART
cblr-2931	76	12	identify	identify	VERB
cblr-2931	76	13	any	any	DET
cblr-2931	76	14	gaps	gap	NOUN
cblr-2931	76	15	,	,	PUNCT
cblr-2931	76	16	shortcomings	shortcoming	NOUN
cblr-2931	76	17	,	,	PUNCT
cblr-2931	76	18	or	or	CCONJ
cblr-2931	76	19	overlapping	overlap	VERB
cblr-2931	76	20	regulation	regulation	NOUN
cblr-2931	76	21	regarding	regard	VERB
cblr-2931	76	22	standards	standard	NOUN
cblr-2931	76	23	of	of	ADP
cblr-2931	76	24	conduct	conduct	NOUN
cblr-2931	76	25	and	and	CCONJ
cblr-2931	76	26	supervision	supervision	NOUN
cblr-2931	76	27	requirements	requirement	NOUN
cblr-2931	76	28	applicable	applicable	ADJ
cblr-2931	76	29	to	to	ADP
cblr-2931	76	30	broker	broker	NOUN
cblr-2931	76	31	-	-	PUNCT
cblr-2931	76	32	dealers	dealer	NOUN
cblr-2931	76	33	and	and	CCONJ
cblr-2931	76	34	investment	investment	NOUN
cblr-2931	76	35	advisers	adviser	NOUN
cblr-2931	76	36	.	.	PUNCT
cblr-2931	77	1	"o	"o	PROPN
cblr-2931	77	2	the	the	DET
cblr-2931	77	3	upshot	upshot	NOUN
cblr-2931	77	4	of	of	ADP
cblr-2931	77	5	the	the	DET
cblr-2931	77	6	new	new	ADJ
cblr-2931	77	7	legislation	legislation	NOUN
cblr-2931	77	8	is	be	AUX
cblr-2931	77	9	that	that	SCONJ
cblr-2931	77	10	broker	broker	NOUN
cblr-2931	77	11	-	-	PUNCT
cblr-2931	77	12	dealer	dealer	NOUN
cblr-2931	77	13	standards	standard	NOUN
cblr-2931	77	14	of	of	ADP
cblr-2931	77	15	conduct	conduct	NOUN
cblr-2931	77	16	will	will	AUX
cblr-2931	77	17	continue	continue	VERB
cblr-2931	77	18	to	to	PART
cblr-2931	77	19	develop	develop	VERB
cblr-2931	77	20	piecemeal	piecemeal	ADJ
cblr-2931	77	21	through	through	ADP
cblr-2931	77	22	rulemaking	rulemaking	NOUN
cblr-2931	77	23	and	and	CCONJ
cblr-2931	77	24	case	case	NOUN
cblr-2931	77	25	law	law	NOUN
cblr-2931	77	26	developments	development	NOUN
cblr-2931	77	27	.	.	PUNCT
cblr-2931	78	1	the	the	DET
cblr-2931	78	2	article	article	NOUN
cblr-2931	78	3	concludes	conclude	VERB
cblr-2931	78	4	that	that	SCONJ
cblr-2931	78	5	although	although	SCONJ
cblr-2931	78	6	some	some	DET
cblr-2931	78	7	additional	additional	ADJ
cblr-2931	78	8	rulemaking	rulemaking	NOUN
cblr-2931	78	9	may	may	AUX
cblr-2931	78	10	be	be	AUX
cblr-2931	78	11	warranted	warrant	VERB
cblr-2931	78	12	as	as	ADP
cblr-2931	78	13	a	a	DET
cblr-2931	78	14	conceptual	conceptual	ADJ
cblr-2931	78	15	matter	matter	NOUN
cblr-2931	78	16	,	,	PUNCT
cblr-2931	78	17	the	the	DET
cblr-2931	78	18	current	current	ADJ
cblr-2931	78	19	approach	approach	NOUN
cblr-2931	78	20	to	to	ADP
cblr-2931	78	21	broker	broker	NOUN
cblr-2931	78	22	-	-	PUNCT
cblr-2931	78	23	dealer	dealer	NOUN
cblr-2931	78	24	obligations	obligation	NOUN
cblr-2931	78	25	is	be	AUX
cblr-2931	78	26	appropriate	appropriate	ADJ
cblr-2931	78	27	and	and	CCONJ
cblr-2931	78	28	provides	provide	VERB
cblr-2931	78	29	an	an	DET
cblr-2931	78	30	adequate	adequate	ADJ
cblr-2931	78	31	basis	basis	NOUN
cblr-2931	78	32	for	for	ADP
cblr-2931	78	33	vigorous	vigorous	ADJ
cblr-2931	78	34	enforcement	enforcement	NOUN
cblr-2931	78	35	of	of	ADP
cblr-2931	78	36	broker	broker	NOUN
cblr-2931	78	37	-	-	PUNCT
cblr-2931	78	38	dealer	dealer	NOUN
cblr-2931	78	39	obligations	obligation	NOUN
cblr-2931	78	40	notwithstanding	notwithstanding	ADP
cblr-2931	78	41	some	some	DET
cblr-2931	78	42	apparent	apparent	ADJ
cblr-2931	78	43	enforcement	enforcement	NOUN
cblr-2931	78	44	lapses	lapse	NOUN
cblr-2931	78	45	in	in	ADP
cblr-2931	78	46	a	a	DET
cblr-2931	78	47	few	few	ADJ
cblr-2931	78	48	celebrated	celebrate	VERB
cblr-2931	78	49	cases	case	NOUN
cblr-2931	78	50	.	.	PUNCT
cblr-2931	78	51	"	"	PUNCT
cblr-2931	79	1	the	the	DET
cblr-2931	79	2	law	law	NOUN
cblr-2931	79	3	,	,	PUNCT
cblr-2931	79	4	regulations	regulation	NOUN
cblr-2931	79	5	,	,	PUNCT
cblr-2931	79	6	and	and	CCONJ
cblr-2931	79	7	regulatory	regulatory	ADJ
cblr-2931	79	8	interpretations	interpretation	NOUN
cblr-2931	79	9	to	to	ADP
cblr-2931	79	10	date	date	NOUN
cblr-2931	79	11	make	make	VERB
cblr-2931	79	12	clear	clear	ADJ
cblr-2931	79	13	that	that	SCONJ
cblr-2931	79	14	broker	broker	NOUN
cblr-2931	79	15	-	-	PUNCT
cblr-2931	79	16	dealers	dealer	NOUN
cblr-2931	79	17	have	have	AUX
cblr-2931	79	18	fiduciary	fiduciary	ADJ
cblr-2931	79	19	or	or	CCONJ
cblr-2931	79	20	fiduciary	fiduciary	ADJ
cblr-2931	79	21	-	-	PUNCT
cblr-2931	79	22	like	like	ADJ
cblr-2931	79	23	obligations	obligation	NOUN
cblr-2931	79	24	when	when	SCONJ
cblr-2931	79	25	they	they	PRON
cblr-2931	79	26	provide	provide	VERB
cblr-2931	79	27	services	service	NOUN
cblr-2931	79	28	beyond	beyond	ADP
cblr-2931	79	29	executing	execute	VERB
cblr-2931	79	30	customer	customer	NOUN
cblr-2931	79	31	orders	order	NOUN
cblr-2931	79	32	.	.	PUNCT
cblr-2931	79	33	"	"	PUNCT
cblr-2931	80	1	a	a	DET
cblr-2931	80	2	legislative	legislative	ADJ
cblr-2931	80	3	or	or	CCONJ
cblr-2931	80	4	regulatory	regulatory	ADJ
cblr-2931	80	5	declaration	declaration	NOUN
cblr-2931	80	6	that	that	SCONJ
cblr-2931	80	7	brokers	broker	NOUN
cblr-2931	80	8	can	can	AUX
cblr-2931	80	9	be	be	AUX
cblr-2931	80	10	scrutinized	scrutinize	VERB
cblr-2931	80	11	under	under	ADP
cblr-2931	80	12	a	a	DET
cblr-2931	80	13	fiduciary	fiduciary	ADJ
cblr-2931	80	14	analysis	analysis	NOUN
cblr-2931	80	15	is	be	AUX
cblr-2931	80	16	not	not	PART
cblr-2931	80	17	necessary	necessary	ADJ
cblr-2931	80	18	but	but	CCONJ
cblr-2931	80	19	could	could	AUX
cblr-2931	80	20	provide	provide	VERB
cblr-2931	80	21	a	a	DET
cblr-2931	80	22	cautionary	cautionary	ADJ
cblr-2931	80	23	reminder	reminder	NOUN
cblr-2931	80	24	to	to	ADP
cblr-2931	80	25	this	this	DET
cblr-2931	80	26	effect	effect	NOUN
cblr-2931	80	27	.	.	PUNCT
cblr-2931	81	1	ii	ii	X
cblr-2931	81	2	.	.	PUNCT
cblr-2931	82	1	the	the	DET
cblr-2931	82	2	new	new	ADJ
cblr-2931	82	3	congressional	congressional	ADJ
cblr-2931	82	4	mandate	mandate	NOUN
cblr-2931	82	5	in	in	ADP
cblr-2931	82	6	the	the	DET
cblr-2931	82	7	wake	wake	NOUN
cblr-2931	82	8	of	of	ADP
cblr-2931	82	9	the	the	DET
cblr-2931	82	10	recent	recent	ADJ
cblr-2931	82	11	credit	credit	NOUN
cblr-2931	82	12	and	and	CCONJ
cblr-2931	82	13	financial	financial	ADJ
cblr-2931	82	14	crisis	crisis	NOUN
cblr-2931	82	15	,	,	PUNCT
cblr-2931	82	16	questions	question	NOUN
cblr-2931	82	17	were	be	AUX
cblr-2931	82	18	raised	raise	VERB
cblr-2931	82	19	as	as	ADP
cblr-2931	82	20	to	to	ADP
cblr-2931	82	21	whether	whether	SCONJ
cblr-2931	82	22	congress	congress	PROPN
cblr-2931	82	23	should	should	AUX
cblr-2931	82	24	strengthen	strengthen	VERB
cblr-2931	82	25	broker	broker	NOUN
cblr-2931	82	26	-	-	PUNCT
cblr-2931	82	27	dealer	dealer	NOUN
cblr-2931	82	28	regulation	regulation	NOUN
cblr-2931	82	29	.	.	PUNCT
cblr-2931	83	1	while	while	SCONJ
cblr-2931	83	2	clearly	clearly	ADV
cblr-2931	83	3	dodd	dodd	PROPN
cblr-2931	83	4	-	-	PUNCT
cblr-2931	83	5	frank	frank	PROPN
cblr-2931	83	6	wall	wall	PROPN
cblr-2931	83	7	street	street	PROPN
cblr-2931	83	8	reform	reform	PROPN
cblr-2931	83	9	and	and	CCONJ
cblr-2931	83	10	consumer	consumer	NOUN
cblr-2931	83	11	protection	protection	PROPN
cblr-2931	83	12	act	act	PROPN
cblr-2931	83	13	,	,	PUNCT
cblr-2931	83	14	pub	pub	NOUN
cblr-2931	83	15	.	.	PUNCT
cblr-2931	84	1	l.	l.	PROPN
cblr-2931	84	2	no	no	INTJ
cblr-2931	84	3	.	.	PROPN
cblr-2931	85	1	111	111	NUM
cblr-2931	85	2	-	-	SYM
cblr-2931	85	3	203	203	NUM
cblr-2931	85	4	,	,	PUNCT
cblr-2931	85	5	§	§	PROPN
cblr-2931	85	6	913(g	913(g	PROPN
cblr-2931	85	7	)	)	PUNCT
cblr-2931	85	8	,	,	PUNCT
cblr-2931	85	9	124	124	NUM
cblr-2931	85	10	stat	stat	NOUN
cblr-2931	85	11	.	.	PUNCT
cblr-2931	86	1	1376	1376	NUM
cblr-2931	86	2	,	,	PUNCT
cblr-2931	86	3	1828	1828	NUM
cblr-2931	86	4	(	(	PUNCT
cblr-2931	86	5	2010	2010	NUM
cblr-2931	86	6	)	)	PUNCT
cblr-2931	86	7	.	.	PUNCT
cblr-2931	87	1	1o	1o	PROPN
cblr-2931	87	2	§	§	PROPN
cblr-2931	87	3	913(b)(2	913(b)(2	NUM
cblr-2931	87	4	)	)	PUNCT
cblr-2931	87	5	,	,	PUNCT
cblr-2931	87	6	124	124	NUM
cblr-2931	87	7	stat	stat	NOUN
cblr-2931	87	8	.	.	PUNCT
cblr-2931	88	1	at	at	ADP
cblr-2931	88	2	1824	1824	NUM
cblr-2931	88	3	-	-	SYM
cblr-2931	88	4	25	25	NUM
cblr-2931	88	5	.	.	PUNCT
cblr-2931	89	1	n	n	CCONJ
cblr-2931	89	2	there	there	PRON
cblr-2931	89	3	was	be	VERB
cblr-2931	89	4	considerable	considerable	ADJ
cblr-2931	89	5	controversy	controversy	NOUN
cblr-2931	89	6	concerning	concern	VERB
cblr-2931	89	7	the	the	DET
cblr-2931	89	8	sec	sec	PROPN
cblr-2931	89	9	's	's	PART
cblr-2931	89	10	failure	failure	NOUN
cblr-2931	89	11	to	to	PART
cblr-2931	89	12	make	make	VERB
cblr-2931	89	13	a	a	DET
cblr-2931	89	14	timelier	timely	ADJ
cblr-2931	89	15	discovery	discovery	NOUN
cblr-2931	89	16	of	of	ADP
cblr-2931	89	17	the	the	DET
cblr-2931	89	18	frauds	fraud	NOUN
cblr-2931	89	19	perpetrated	perpetrate	VERB
cblr-2931	89	20	by	by	ADP
cblr-2931	89	21	bernard	bernard	PROPN
cblr-2931	89	22	madoff	madoff	PROPN
cblr-2931	89	23	and	and	CCONJ
cblr-2931	89	24	alan	alan	PROPN
cblr-2931	89	25	stanford	stanford	PROPN
cblr-2931	89	26	.	.	PUNCT
cblr-2931	90	1	see	see	VERB
cblr-2931	90	2	,	,	PUNCT
cblr-2931	90	3	e.g.	e.g.	ADV
cblr-2931	90	4	,	,	PUNCT
cblr-2931	90	5	clifford	clifford	PROPN
cblr-2931	90	6	krauss	krauss	PROPN
cblr-2931	90	7	,	,	PUNCT
cblr-2931	90	8	philip	philip	PROPN
cblr-2931	90	9	l.	l.	PROPN
cblr-2931	90	10	zweig	zweig	PROPN
cblr-2931	90	11	&	&	CCONJ
cblr-2931	90	12	julie	julie	PROPN
cblr-2931	90	13	cresswell	cresswell	PROPN
cblr-2931	90	14	,	,	PUNCT
cblr-2931	90	15	texas	texas	PROPN
cblr-2931	90	16	firm	firm	PROPN
cblr-2931	90	17	accused	accuse	VERB
cblr-2931	90	18	of	of	ADP
cblr-2931	90	19	$	$	SYM
cblr-2931	90	20	8	8	NUM
cblr-2931	90	21	billion	billion	NUM
cblr-2931	90	22	fraud	fraud	NOUN
cblr-2931	90	23	,	,	PUNCT
cblr-2931	90	24	n.y	n.y	PROPN
cblr-2931	90	25	.	.	PROPN
cblr-2931	90	26	times	times	PROPN
cblr-2931	90	27	,	,	PUNCT
cblr-2931	90	28	feb	feb	PROPN
cblr-2931	90	29	.	.	PROPN
cblr-2931	90	30	17	17	NUM
cblr-2931	90	31	,	,	PUNCT
cblr-2931	90	32	2009	2009	NUM
cblr-2931	90	33	,	,	PUNCT
cblr-2931	90	34	available	available	ADJ
cblr-2931	90	35	at	at	ADP
cblr-2931	90	36	http://www.nytimes.com/2009/02/18/business/18stan	http://www.nytimes.com/2009/02/18/business/18stan	PROPN
cblr-2931	90	37	ford.html	ford.html	NUM
cblr-2931	90	38	(	(	PUNCT
cblr-2931	90	39	describing	describe	VERB
cblr-2931	90	40	the	the	DET
cblr-2931	90	41	stanford	stanford	PROPN
cblr-2931	90	42	allegations	allegation	NOUN
cblr-2931	90	43	)	)	PUNCT
cblr-2931	90	44	;	;	PUNCT
cblr-2931	90	45	diana	diana	PROPN
cblr-2931	90	46	henriques	henrique	NOUN
cblr-2931	90	47	,	,	PUNCT
cblr-2931	90	48	madoff	madoff	PROPN
cblr-2931	90	49	fraud	fraud	NOUN
cblr-2931	90	50	rippled	ripple	VERB
cblr-2931	90	51	around	around	ADP
cblr-2931	90	52	the	the	DET
cblr-2931	90	53	world	world	NOUN
cblr-2931	90	54	,	,	PUNCT
cblr-2931	90	55	n.y	n.y	PROPN
cblr-2931	90	56	.	.	PROPN
cblr-2931	90	57	times	times	PROPN
cblr-2931	90	58	,	,	PUNCT
cblr-2931	90	59	nov	nov	PROPN
cblr-2931	90	60	.	.	PROPN
cblr-2931	90	61	21	21	NUM
cblr-2931	90	62	,	,	PUNCT
cblr-2931	90	63	2008	2008	NUM
cblr-2931	90	64	,	,	PUNCT
cblr-2931	90	65	available	available	ADJ
cblr-2931	90	66	at	at	ADP
cblr-2931	90	67	http://www.nytimes.com/2008/12/21/business/worldbusiness/21iht-madoff	http://www.nytimes.com/2008/12/21/business/worldbusiness/21iht-madoff	NOUN
cblr-2931	90	68	.	.	PUNCT
cblr-2931	91	1	4.18852346.htm	4.18852346.htm	PROPN
cblr-2931	91	2	(	(	PUNCT
cblr-2931	91	3	describing	describe	VERB
cblr-2931	91	4	the	the	DET
cblr-2931	91	5	magnitude	magnitude	NOUN
cblr-2931	91	6	of	of	ADP
cblr-2931	91	7	the	the	DET
cblr-2931	91	8	madoff	madoff	PROPN
cblr-2931	91	9	fraud	fraud	PROPN
cblr-2931	91	10	)	)	PUNCT
cblr-2931	91	11	.	.	PUNCT
cblr-2931	92	1	12	12	NUM
cblr-2931	92	2	see	see	VERB
cblr-2931	92	3	infra	infra	NOUN
cblr-2931	92	4	part	part	NOUN
cblr-2931	92	5	v.c	v.c	PROPN
cblr-2931	92	6	.	.	PUNCT
cblr-2931	93	1	[	[	X
cblr-2931	93	2	vol	vol	NOUN
cblr-2931	93	3	.	.	PUNCT
cblr-2931	93	4	2010714	2010714	NUM
cblr-2931	93	5	columbla	columbla	PROPN
cblr-2931	93	6	business	business	PROPN
cblr-2931	93	7	law	law	PROPN
cblr-2931	93	8	review	review	NOUN
cblr-2931	93	9	no	no	INTJ
cblr-2931	93	10	.	.	PUNCT
cblr-2931	94	1	3:710	3:710	NUM
cblr-2931	94	2	]	]	PUNCT
cblr-2931	94	3	are	be	AUX
cblr-2931	94	4	existing	exist	VERB
cblr-2931	94	5	stock	stock	NOUN
cblr-2931	94	6	broker	broker	NOUN
cblr-2931	94	7	standards	standard	NOUN
cblr-2931	94	8	sufficient	sufficient	ADJ
cblr-2931	94	9	?	?	PUNCT
cblr-2931	94	10	indicating	indicate	VERB
cblr-2931	94	11	that	that	SCONJ
cblr-2931	94	12	regulation	regulation	NOUN
cblr-2931	94	13	should	should	AUX
cblr-2931	94	14	be	be	AUX
cblr-2931	94	15	strengthened	strengthen	VERB
cblr-2931	94	16	,	,	PUNCT
cblr-2931	94	17	congress	congress	PROPN
cblr-2931	94	18	declined	decline	VERB
cblr-2931	94	19	to	to	PART
cblr-2931	94	20	impose	impose	VERB
cblr-2931	94	21	a	a	DET
cblr-2931	94	22	statutory	statutory	ADJ
cblr-2931	94	23	mandate	mandate	NOUN
cblr-2931	94	24	of	of	ADP
cblr-2931	94	25	heightened	heightened	ADJ
cblr-2931	94	26	obligations	obligation	NOUN
cblr-2931	94	27	.	.	PUNCT
cblr-2931	95	1	instead	instead	ADV
cblr-2931	95	2	,	,	PUNCT
cblr-2931	95	3	congress	congress	PROPN
cblr-2931	95	4	left	leave	VERB
cblr-2931	95	5	it	it	PRON
cblr-2931	95	6	to	to	ADP
cblr-2931	95	7	the	the	DET
cblr-2931	95	8	sec	sec	PROPN
cblr-2931	95	9	to	to	PART
cblr-2931	95	10	decide	decide	VERB
cblr-2931	95	11	the	the	DET
cblr-2931	95	12	appropriate	appropriate	ADJ
cblr-2931	95	13	level	level	NOUN
cblr-2931	95	14	of	of	ADP
cblr-2931	95	15	regulation	regulation	NOUN
cblr-2931	95	16	.	.	PUNCT
cblr-2931	96	1	section	section	NOUN
cblr-2931	96	2	913	913	NUM
cblr-2931	96	3	of	of	ADP
cblr-2931	96	4	the	the	DET
cblr-2931	96	5	doddfrank	doddfrank	PROPN
cblr-2931	96	6	wall	wall	PROPN
cblr-2931	96	7	street	street	PROPN
cblr-2931	96	8	reform	reform	PROPN
cblr-2931	96	9	and	and	CCONJ
cblr-2931	96	10	consumer	consumer	NOUN
cblr-2931	96	11	protection	protection	NOUN
cblr-2931	96	12	act	act	NOUN
cblr-2931	96	13	(	(	PUNCT
cblr-2931	96	14	the	the	DET
cblr-2931	96	15	"	"	PUNCT
cblr-2931	96	16	dodd	dodd	PROPN
cblr-2931	96	17	-	-	PUNCT
cblr-2931	96	18	frank	frank	PROPN
cblr-2931	96	19	act	act	PROPN
cblr-2931	96	20	"	"	PUNCT
cblr-2931	96	21	)	)	PUNCT
cblr-2931	96	22	requires	require	VERB
cblr-2931	96	23	the	the	DET
cblr-2931	96	24	sec	sec	PROPN
cblr-2931	96	25	to	to	PART
cblr-2931	96	26	complete	complete	VERB
cblr-2931	96	27	a	a	DET
cblr-2931	96	28	study	study	NOUN
cblr-2931	96	29	and	and	CCONJ
cblr-2931	96	30	report	report	NOUN
cblr-2931	96	31	within	within	ADP
cblr-2931	96	32	six	six	NUM
cblr-2931	96	33	months	month	NOUN
cblr-2931	96	34	of	of	ADP
cblr-2931	96	35	the	the	DET
cblr-2931	96	36	bill	bill	NOUN
cblr-2931	96	37	's	's	PART
cblr-2931	96	38	passage	passage	NOUN
cblr-2931	96	39	an	an	DET
cblr-2931	96	40	assessment	assessment	NOUN
cblr-2931	96	41	on	on	ADP
cblr-2931	96	42	"	"	PUNCT
cblr-2931	96	43	the	the	DET
cblr-2931	96	44	effectiveness	effectiveness	NOUN
cblr-2931	96	45	of	of	ADP
cblr-2931	96	46	existing	exist	VERB
cblr-2931	96	47	legal	legal	ADJ
cblr-2931	96	48	or	or	CCONJ
cblr-2931	96	49	regulatory	regulatory	ADJ
cblr-2931	96	50	standards	standard	NOUN
cblr-2931	96	51	of	of	ADP
cblr-2931	96	52	care	care	NOUN
cblr-2931	96	53	"	"	PUNCT
cblr-2931	96	54	for	for	ADP
cblr-2931	96	55	broker	broker	NOUN
cblr-2931	96	56	-	-	PUNCT
cblr-2931	96	57	dealers	dealer	NOUN
cblr-2931	96	58	.	.	PUNCT
cblr-2931	96	59	"	"	PUNCT
cblr-2931	97	1	the	the	DET
cblr-2931	97	2	act	act	NOUN
cblr-2931	97	3	directs	direct	VERB
cblr-2931	97	4	the	the	DET
cblr-2931	97	5	sec	sec	PROPN
cblr-2931	97	6	to	to	PART
cblr-2931	97	7	look	look	VERB
cblr-2931	97	8	at	at	ADP
cblr-2931	97	9	issues	issue	NOUN
cblr-2931	97	10	such	such	ADJ
cblr-2931	97	11	as	as	ADP
cblr-2931	97	12	whether	whether	SCONJ
cblr-2931	97	13	there	there	PRON
cblr-2931	97	14	exist	exist	VERB
cblr-2931	97	15	any	any	DET
cblr-2931	97	16	"	"	PUNCT
cblr-2931	97	17	gaps	gap	NOUN
cblr-2931	97	18	,	,	PUNCT
cblr-2931	97	19	shortcomings	shortcoming	NOUN
cblr-2931	97	20	,	,	PUNCT
cblr-2931	97	21	or	or	CCONJ
cblr-2931	97	22	overlaps	overlap	NOUN
cblr-2931	97	23	"	"	PUNCT
cblr-2931	97	24	in	in	ADP
cblr-2931	97	25	law	law	NOUN
cblr-2931	97	26	or	or	CCONJ
cblr-2931	97	27	regulations	regulation	NOUN
cblr-2931	97	28	in	in	ADP
cblr-2931	97	29	this	this	DET
cblr-2931	97	30	area.14	area.14	NOUN
cblr-2931	97	31	as	as	SCONJ
cblr-2931	97	32	required	require	VERB
cblr-2931	97	33	by	by	ADP
cblr-2931	97	34	the	the	DET
cblr-2931	97	35	act	act	NOUN
cblr-2931	97	36	,	,	PUNCT
cblr-2931	97	37	the	the	DET
cblr-2931	97	38	sec	sec	PROPN
cblr-2931	97	39	solicited	solicit	VERB
cblr-2931	97	40	public	public	ADJ
cblr-2931	97	41	comment	comment	NOUN
cblr-2931	97	42	"	"	PUNCT
cblr-2931	97	43	following	follow	VERB
cblr-2931	97	44	the	the	DET
cblr-2931	97	45	study	study	NOUN
cblr-2931	97	46	and	and	CCONJ
cblr-2931	97	47	report	report	NOUN
cblr-2931	97	48	,	,	PUNCT
cblr-2931	97	49	such	such	ADJ
cblr-2931	97	50	that	that	SCONJ
cblr-2931	97	51	the	the	DET
cblr-2931	97	52	sec	sec	PROPN
cblr-2931	97	53	may	may	AUX
cblr-2931	97	54	now	now	ADV
cblr-2931	97	55	proceed	proceed	VERB
cblr-2931	97	56	with	with	ADP
cblr-2931	97	57	rulemaking	rulemake	VERB
cblr-2931	97	58	proceedings	proceeding	NOUN
cblr-2931	97	59	to	to	PART
cblr-2931	97	60	deal	deal	VERB
cblr-2931	97	61	with	with	ADP
cblr-2931	97	62	the	the	DET
cblr-2931	97	63	issue	issue	NOUN
cblr-2931	97	64	of	of	ADP
cblr-2931	97	65	standard	standard	NOUN
cblr-2931	97	66	of	of	ADP
cblr-2931	97	67	care	care	NOUN
cblr-2931	97	68	owed	owe	VERB
cblr-2931	97	69	by	by	ADP
cblr-2931	97	70	brokers	broker	NOUN
cblr-2931	97	71	and	and	CCONJ
cblr-2931	97	72	dealers	dealer	NOUN
cblr-2931	97	73	to	to	ADP
cblr-2931	97	74	retail	retail	ADJ
cblr-2931	97	75	customers	customer	NOUN
cblr-2931	97	76	.	.	PUNCT
cblr-2931	97	77	"	"	PUNCT
cblr-2931	98	1	an	an	DET
cblr-2931	98	2	explicit	explicit	ADJ
cblr-2931	98	3	declaration	declaration	NOUN
cblr-2931	98	4	of	of	ADP
cblr-2931	98	5	a	a	DET
cblr-2931	98	6	fiduciary	fiduciary	ADJ
cblr-2931	98	7	duty	duty	NOUN
cblr-2931	98	8	,	,	PUNCT
cblr-2931	98	9	without	without	ADP
cblr-2931	98	10	more	more	ADV
cblr-2931	98	11	,	,	PUNCT
cblr-2931	98	12	would	would	AUX
cblr-2931	98	13	add	add	VERB
cblr-2931	98	14	little	little	ADJ
cblr-2931	98	15	other	other	ADJ
cblr-2931	98	16	than	than	ADP
cblr-2931	98	17	confusion	confusion	NOUN
cblr-2931	98	18	to	to	ADP
cblr-2931	98	19	the	the	DET
cblr-2931	98	20	existing	exist	VERB
cblr-2931	98	21	law	law	NOUN
cblr-2931	98	22	.	.	PUNCT
cblr-2931	98	23	"	"	PUNCT
cblr-2931	99	1	section	section	NOUN
cblr-2931	99	2	913(g	913(g	PROPN
cblr-2931	99	3	)	)	PUNCT
cblr-2931	99	4	of	of	ADP
cblr-2931	99	5	the	the	DET
cblr-2931	99	6	dodd	dodd	PROPN
cblr-2931	99	7	-	-	PUNCT
cblr-2931	99	8	frank	frank	PROPN
cblr-2931	99	9	act	act	PROPN
cblr-2931	99	10	expressly	expressly	ADV
cblr-2931	99	11	provides	provide	VERB
cblr-2931	99	12	the	the	DET
cblr-2931	99	13	sec	sec	PROPN
cblr-2931	99	14	with	with	ADP
cblr-2931	99	15	rulemaking	rulemake	VERB
cblr-2931	99	16	authority	authority	NOUN
cblr-2931	99	17	to	to	PART
cblr-2931	99	18	impose	impose	VERB
cblr-2931	99	19	a	a	DET
cblr-2931	99	20	fiduciary	fiduciary	ADJ
cblr-2931	99	21	duty	duty	NOUN
cblr-2931	99	22	on	on	ADP
cblr-2931	99	23	broker	broker	NOUN
cblr-2931	99	24	-	-	PUNCT
cblr-2931	99	25	dealers	dealer	NOUN
cblr-2931	99	26	.	.	PUNCT
cblr-2931	99	27	"	"	PUNCT
cblr-2931	100	1	for	for	ADP
cblr-2931	100	2	instance	instance	NOUN
cblr-2931	100	3	,	,	PUNCT
cblr-2931	100	4	the	the	DET
cblr-2931	100	5	commission	commission	NOUN
cblr-2931	100	6	may	may	AUX
cblr-2931	100	7	choose	choose	VERB
cblr-2931	100	8	to	to	PART
cblr-2931	100	9	issue	issue	VERB
cblr-2931	100	10	a	a	DET
cblr-2931	100	11	rule	rule	NOUN
cblr-2931	100	12	which	which	PRON
cblr-2931	100	13	places	place	VERB
cblr-2931	100	14	on	on	ADP
cblr-2931	100	15	broker	broker	NOUN
cblr-2931	100	16	-	-	PUNCT
cblr-2931	100	17	dealers	dealer	NOUN
cblr-2931	100	18	who	who	PRON
cblr-2931	100	19	give	give	VERB
cblr-2931	100	20	investment	investment	NOUN
cblr-2931	100	21	advice	advice	NOUN
cblr-2931	100	22	to	to	ADP
cblr-2931	100	23	retail	retail	ADJ
cblr-2931	100	24	clients	client	NOUN
cblr-2931	100	25	the	the	DET
cblr-2931	100	26	same	same	ADJ
cblr-2931	100	27	fiduciary	fiduciary	ADJ
cblr-2931	100	28	duty	duty	NOUN
cblr-2931	100	29	as	as	SCONJ
cblr-2931	100	30	that	that	PRON
cblr-2931	100	31	currently	currently	ADV
cblr-2931	100	32	placed	place	VERB
cblr-2931	100	33	on	on	ADP
cblr-2931	100	34	investment	investment	NOUN
cblr-2931	100	35	advisers	adviser	NOUN
cblr-2931	100	36	under	under	ADP
cblr-2931	100	37	the	the	DET
cblr-2931	100	38	investment	investment	NOUN
cblr-2931	100	39	advisers	adviser	NOUN
cblr-2931	100	40	act	act	VERB
cblr-2931	100	41	of	of	ADP
cblr-2931	100	42	1940	1940	NUM
cblr-2931	100	43	(	(	PUNCT
cblr-2931	100	44	"	"	PUNCT
cblr-2931	100	45	the	the	DET
cblr-2931	100	46	investment	investment	NOUN
cblr-2931	100	47	advisers	adviser	NOUN
cblr-2931	100	48	act	act	VERB
cblr-2931	100	49	"	"	PUNCT
cblr-2931	100	50	)	)	PUNCT
cblr-2931	100	51	.	.	PUNCT
cblr-2931	100	52	"	"	PUNCT
cblr-2931	101	1	it	it	PRON
cblr-2931	101	2	is	be	AUX
cblr-2931	101	3	not	not	PART
cblr-2931	101	4	clear	clear	ADJ
cblr-2931	101	5	that	that	SCONJ
cblr-2931	101	6	this	this	PRON
cblr-2931	101	7	would	would	AUX
cblr-2931	101	8	impose	impose	VERB
cblr-2931	101	9	13	13	NUM
cblr-2931	101	10	§	§	PROPN
cblr-2931	101	11	913(b)(1	913(b)(1	NUM
cblr-2931	101	12	)	)	PUNCT
cblr-2931	101	13	,	,	PUNCT
cblr-2931	101	14	124	124	NUM
cblr-2931	101	15	stat	stat	NOUN
cblr-2931	101	16	.	.	PUNCT
cblr-2931	102	1	at	at	ADP
cblr-2931	102	2	1824	1824	NUM
cblr-2931	102	3	-	-	SYM
cblr-2931	102	4	27	27	NUM
cblr-2931	102	5	.	.	PUNCT
cblr-2931	102	6	14	14	NUM
cblr-2931	102	7	§	§	PROPN
cblr-2931	102	8	913(c	913(c	PROPN
cblr-2931	102	9	)	)	PUNCT
cblr-2931	102	10	,	,	PUNCT
cblr-2931	102	11	124	124	NUM
cblr-2931	102	12	stat	stat	NOUN
cblr-2931	102	13	.	.	PUNCT
cblr-2931	103	1	at	at	ADP
cblr-2931	103	2	1825	1825	NUM
cblr-2931	103	3	.	.	PUNCT
cblr-2931	104	1	1	1	NUM
cblr-2931	104	2	see	see	VERB
cblr-2931	104	3	sec	sec	PROPN
cblr-2931	104	4	publishes	publish	VERB
cblr-2931	104	5	public	public	ADJ
cblr-2931	104	6	request	request	NOUN
cblr-2931	104	7	for	for	ADP
cblr-2931	104	8	comment	comment	NOUN
cblr-2931	104	9	to	to	PART
cblr-2931	104	10	inform	inform	VERB
cblr-2931	104	11	study	study	NOUN
cblr-2931	104	12	of	of	ADP
cblr-2931	104	13	obligations	obligation	NOUN
cblr-2931	104	14	of	of	ADP
cblr-2931	104	15	broker	broker	NOUN
cblr-2931	104	16	-	-	PUNCT
cblr-2931	104	17	dealers	dealer	NOUN
cblr-2931	104	18	and	and	CCONJ
cblr-2931	104	19	investment	investment	NOUN
cblr-2931	104	20	advisers	adviser	NOUN
cblr-2931	104	21	,	,	PUNCT
cblr-2931	104	22	dodd	dodd	PROPN
cblr-2931	104	23	-	-	PUNCT
cblr-2931	104	24	frank	frank	PROPN
cblr-2931	104	25	act	act	PROPN
cblr-2931	104	26	release	release	VERB
cblr-2931	104	27	no	no	NOUN
cblr-2931	104	28	.	.	NOUN
cblr-2931	104	29	2010	2010	NUM
cblr-2931	104	30	-	-	SYM
cblr-2931	104	31	134	134	NUM
cblr-2931	104	32	(	(	PUNCT
cblr-2931	104	33	july	july	PROPN
cblr-2931	104	34	27	27	NUM
cblr-2931	104	35	,	,	PUNCT
cblr-2931	104	36	2010	2010	NUM
cblr-2931	104	37	)	)	PUNCT
cblr-2931	104	38	,	,	PUNCT
cblr-2931	104	39	http://www.sec.gov/news/press/2010	http://www.sec.gov/news/press/2010	NOUN
cblr-2931	104	40	/2010	/2010	PUNCT
cblr-2931	104	41	-	-	PUNCT
cblr-2931	104	42	134.htm	134.htm	NUM
cblr-2931	104	43	(	(	PUNCT
cblr-2931	104	44	july	july	PROPN
cblr-2931	104	45	27	27	NUM
cblr-2931	104	46	,	,	PUNCT
cblr-2931	104	47	2010	2010	NUM
cblr-2931	104	48	)	)	PUNCT
cblr-2931	104	49	;	;	PUNCT
cblr-2931	104	50	§	§	PROPN
cblr-2931	104	51	913(e	913(e	PROPN
cblr-2931	104	52	)	)	PUNCT
cblr-2931	104	53	,	,	PUNCT
cblr-2931	104	54	124	124	NUM
cblr-2931	104	55	stat	stat	NOUN
cblr-2931	104	56	.	.	PUNCT
cblr-2931	105	1	at	at	ADP
cblr-2931	105	2	1827	1827	NUM
cblr-2931	105	3	.	.	PUNCT
cblr-2931	106	1	16	16	NUM
cblr-2931	106	2	§	§	PROPN
cblr-2931	106	3	913(f	913(f	PROPN
cblr-2931	106	4	)	)	PUNCT
cblr-2931	106	5	,	,	PUNCT
cblr-2931	106	6	124	124	NUM
cblr-2931	106	7	stat	stat	NOUN
cblr-2931	106	8	.	.	PUNCT
cblr-2931	107	1	at	at	ADP
cblr-2931	107	2	1827	1827	NUM
cblr-2931	107	3	-	-	SYM
cblr-2931	107	4	28	28	NUM
cblr-2931	107	5	.	.	PUNCT
cblr-2931	107	6	"	"	PUNCT
cblr-2931	107	7	see	see	VERB
cblr-2931	107	8	,	,	PUNCT
cblr-2931	107	9	e.g.	e.g.	ADV
cblr-2931	107	10	,	,	PUNCT
cblr-2931	107	11	donald	donald	PROPN
cblr-2931	107	12	c.	c.	PROPN
cblr-2931	107	13	langevoort	langevoort	PROPN
cblr-2931	107	14	,	,	PUNCT
cblr-2931	107	15	brokers	broker	NOUN
cblr-2931	107	16	as	as	ADP
cblr-2931	107	17	fiduciaries	fiduciary	NOUN
cblr-2931	107	18	,	,	PUNCT
cblr-2931	107	19	71	71	NUM
cblr-2931	107	20	u.	u.	NOUN
cblr-2931	107	21	pitt	pitt	PROPN
cblr-2931	107	22	.	.	PUNCT
cblr-2931	108	1	l.	l.	PROPN
cblr-2931	108	2	rev	rev	PROPN
cblr-2931	108	3	.	.	PROPN
cblr-2931	108	4	439	439	NUM
cblr-2931	108	5	,	,	PUNCT
cblr-2931	108	6	456	456	NUM
cblr-2931	108	7	(	(	PUNCT
cblr-2931	108	8	2010	2010	NUM
cblr-2931	108	9	)	)	PUNCT
cblr-2931	108	10	(	(	PUNCT
cblr-2931	108	11	"	"	PUNCT
cblr-2931	108	12	[	[	X
cblr-2931	108	13	a]n	a]n	ADJ
cblr-2931	108	14	open	open	ADV
cblr-2931	108	15	-	-	PUNCT
cblr-2931	108	16	ended	end	VERB
cblr-2931	108	17	broker	broker	NOUN
cblr-2931	108	18	fiduciary	fiduciary	ADJ
cblr-2931	108	19	obligation	obligation	NOUN
cblr-2931	108	20	is	be	AUX
cblr-2931	108	21	so	so	ADV
cblr-2931	108	22	loaded	load	VERB
cblr-2931	108	23	with	with	ADP
cblr-2931	108	24	unanswered	unanswered	ADJ
cblr-2931	108	25	questions	question	NOUN
cblr-2931	108	26	that	that	PRON
cblr-2931	108	27	baseline	baseline	VERB
cblr-2931	108	28	predictability	predictability	NOUN
cblr-2931	108	29	would	would	AUX
cblr-2931	108	30	come	come	VERB
cblr-2931	108	31	slowly	slowly	ADV
cblr-2931	108	32	,	,	PUNCT
cblr-2931	108	33	if	if	SCONJ
cblr-2931	108	34	at	at	ADV
cblr-2931	108	35	all	all	ADV
cblr-2931	108	36	.	.	PUNCT
cblr-2931	108	37	"	"	PUNCT
cblr-2931	108	38	)	)	PUNCT
cblr-2931	108	39	.	.	PUNCT
cblr-2931	109	1	1	1	NUM
cblr-2931	109	2	§	§	PROPN
cblr-2931	109	3	913(g	913(g	PROPN
cblr-2931	109	4	)	)	PUNCT
cblr-2931	109	5	,	,	PUNCT
cblr-2931	109	6	124	124	NUM
cblr-2931	109	7	stat	stat	NOUN
cblr-2931	109	8	.	.	PUNCT
cblr-2931	110	1	at	at	ADP
cblr-2931	110	2	1827	1827	NUM
cblr-2931	110	3	-	-	SYM
cblr-2931	110	4	28	28	NUM
cblr-2931	110	5	.	.	PUNCT
cblr-2931	110	6	19	19	NUM
cblr-2931	110	7	§	§	PROPN
cblr-2931	110	8	913(g)(1	913(g)(1	NUM
cblr-2931	110	9	)	)	PUNCT
cblr-2931	110	10	,	,	PUNCT
cblr-2931	110	11	124	124	NUM
cblr-2931	110	12	stat	stat	NOUN
cblr-2931	110	13	.	.	PUNCT
cblr-2931	111	1	at	at	ADP
cblr-2931	111	2	1828	1828	NUM
cblr-2931	111	3	(	(	PUNCT
cblr-2931	111	4	amending	amend	VERB
cblr-2931	111	5	§	§	PROPN
cblr-2931	111	6	15	15	NUM
cblr-2931	111	7	of	of	ADP
cblr-2931	111	8	the	the	DET
cblr-2931	111	9	securities	securities	PROPN
cblr-2931	111	10	exchange	exchange	PROPN
cblr-2931	111	11	act	act	NOUN
cblr-2931	111	12	of	of	ADP
cblr-2931	111	13	1934	1934	NUM
cblr-2931	111	14	,	,	PUNCT
cblr-2931	111	15	15	15	NUM
cblr-2931	111	16	u.s.c	u.s.c	NOUN
cblr-2931	111	17	.	.	PUNCT
cblr-2931	112	1	§	§	PROPN
cblr-2931	112	2	78o	78o	NOUN
cblr-2931	112	3	)	)	PUNCT
cblr-2931	112	4	.	.	PUNCT
cblr-2931	113	1	715	715	NUM
cblr-2931	113	2	significantly	significantly	ADV
cblr-2931	113	3	greater	great	ADJ
cblr-2931	113	4	duties	duty	NOUN
cblr-2931	113	5	on	on	ADP
cblr-2931	113	6	stock	stock	PROPN
cblr-2931	113	7	brokers.20	brokers.20	PROPN
cblr-2931	113	8	fiduciary	fiduciary	ADJ
cblr-2931	113	9	duties	duty	NOUN
cblr-2931	113	10	existed	exist	VERB
cblr-2931	113	11	under	under	ADP
cblr-2931	113	12	the	the	DET
cblr-2931	113	13	investment	investment	NOUN
cblr-2931	113	14	advisers	adviser	NOUN
cblr-2931	113	15	act	act	VERB
cblr-2931	113	16	without	without	ADP
cblr-2931	113	17	having	having	AUX
cblr-2931	113	18	been	be	AUX
cblr-2931	113	19	expressly	expressly	ADV
cblr-2931	113	20	incorporated	incorporate	VERB
cblr-2931	113	21	into	into	ADP
cblr-2931	113	22	the	the	DET
cblr-2931	113	23	statute	statute	NOUN
cblr-2931	113	24	.	.	PUNCT
cblr-2931	114	1	in	in	ADP
cblr-2931	114	2	1963	1963	NUM
cblr-2931	114	3	,	,	PUNCT
cblr-2931	114	4	the	the	DET
cblr-2931	114	5	supreme	supreme	PROPN
cblr-2931	114	6	court	court	PROPN
cblr-2931	114	7	held	hold	VERB
cblr-2931	114	8	that	that	SCONJ
cblr-2931	114	9	,	,	PUNCT
cblr-2931	114	10	under	under	ADP
cblr-2931	114	11	the	the	DET
cblr-2931	114	12	investment	investment	NOUN
cblr-2931	114	13	advisers	adviser	NOUN
cblr-2931	114	14	act	act	VERB
cblr-2931	114	15	,	,	PUNCT
cblr-2931	114	16	investment	investment	NOUN
cblr-2931	114	17	advisers	adviser	NOUN
cblr-2931	114	18	are	be	AUX
cblr-2931	114	19	fiduciaries	fiduciary	NOUN
cblr-2931	114	20	to	to	ADP
cblr-2931	114	21	their	their	PRON
cblr-2931	114	22	clients	client	NOUN
cblr-2931	114	23	,	,	PUNCT
cblr-2931	114	24	and	and	CCONJ
cblr-2931	114	25	as	as	ADP
cblr-2931	114	26	such	such	ADJ
cblr-2931	114	27	,	,	PUNCT
cblr-2931	114	28	must	must	AUX
cblr-2931	114	29	comply	comply	VERB
cblr-2931	114	30	with	with	ADP
cblr-2931	114	31	the	the	DET
cblr-2931	114	32	fiduciary	fiduciary	ADJ
cblr-2931	114	33	duties	duty	NOUN
cblr-2931	114	34	of	of	ADP
cblr-2931	114	35	care	care	NOUN
cblr-2931	114	36	and	and	CCONJ
cblr-2931	114	37	loyalty	loyalty	NOUN
cblr-2931	114	38	even	even	ADV
cblr-2931	114	39	though	though	SCONJ
cblr-2931	114	40	the	the	DET
cblr-2931	114	41	word	word	NOUN
cblr-2931	114	42	fiduciary	fiduciary	ADJ
cblr-2931	114	43	did	do	AUX
cblr-2931	114	44	not	not	PART
cblr-2931	114	45	appear	appear	VERB
cblr-2931	114	46	in	in	ADP
cblr-2931	114	47	the	the	DET
cblr-2931	114	48	investment	investment	NOUN
cblr-2931	114	49	advisers	adviser	NOUN
cblr-2931	114	50	act.21	act.21	PROPN
cblr-2931	114	51	as	as	SCONJ
cblr-2931	114	52	applied	apply	VERB
cblr-2931	114	53	,	,	PUNCT
cblr-2931	114	54	this	this	DET
cblr-2931	114	55	fiduciary	fiduciary	ADJ
cblr-2931	114	56	duty	duty	NOUN
cblr-2931	114	57	meant	mean	VERB
cblr-2931	114	58	that	that	SCONJ
cblr-2931	114	59	investment	investment	NOUN
cblr-2931	114	60	advisers	adviser	NOUN
cblr-2931	114	61	must	must	AUX
cblr-2931	114	62	fully	fully	ADV
cblr-2931	114	63	disclose	disclose	VERB
cblr-2931	114	64	material	material	NOUN
cblr-2931	114	65	facts	fact	NOUN
cblr-2931	114	66	about	about	ADP
cblr-2931	114	67	prospective	prospective	ADJ
cblr-2931	114	68	investments	investment	NOUN
cblr-2931	114	69	,	,	PUNCT
cblr-2931	114	70	learn	learn	VERB
cblr-2931	114	71	about	about	ADP
cblr-2931	114	72	the	the	DET
cblr-2931	114	73	client	client	NOUN
cblr-2931	114	74	's	's	PART
cblr-2931	114	75	needs	need	NOUN
cblr-2931	114	76	and	and	CCONJ
cblr-2931	114	77	goals	goal	NOUN
cblr-2931	114	78	,	,	PUNCT
cblr-2931	114	79	describe	describe	VERB
cblr-2931	114	80	all	all	DET
cblr-2931	114	81	fees	fee	NOUN
cblr-2931	114	82	that	that	PRON
cblr-2931	114	83	could	could	AUX
cblr-2931	114	84	be	be	AUX
cblr-2931	114	85	associated	associate	VERB
cblr-2931	114	86	with	with	ADP
cblr-2931	114	87	an	an	DET
cblr-2931	114	88	investment	investment	NOUN
cblr-2931	114	89	,	,	PUNCT
cblr-2931	114	90	and	and	CCONJ
cblr-2931	114	91	fully	fully	ADV
cblr-2931	114	92	to	to	PART
cblr-2931	114	93	disclose	disclose	VERB
cblr-2931	114	94	all	all	DET
cblr-2931	114	95	conflicts	conflict	NOUN
cblr-2931	114	96	of	of	ADP
cblr-2931	114	97	interest	interest	NOUN
cblr-2931	114	98	when	when	SCONJ
cblr-2931	114	99	giving	give	VERB
cblr-2931	114	100	advice	advice	NOUN
cblr-2931	114	101	.	.	PUNCT
cblr-2931	115	1	as	as	SCONJ
cblr-2931	115	2	discussed	discuss	VERB
cblr-2931	115	3	in	in	ADP
cblr-2931	115	4	part	part	NOUN
cblr-2931	115	5	iv	iv	ADP
cblr-2931	115	6	below	below	ADV
cblr-2931	115	7	,	,	PUNCT
cblr-2931	115	8	these	these	DET
cblr-2931	115	9	duties	duty	NOUN
cblr-2931	115	10	have	have	AUX
cblr-2931	115	11	traditionally	traditionally	ADV
cblr-2931	115	12	been	be	AUX
cblr-2931	115	13	applied	apply	VERB
cblr-2931	115	14	to	to	ADP
cblr-2931	115	15	broker	broker	NOUN
cblr-2931	115	16	-	-	PUNCT
cblr-2931	115	17	dealers	dealer	NOUN
cblr-2931	115	18	as	as	ADV
cblr-2931	115	19	well	well	ADV
cblr-2931	115	20	.	.	PUNCT
cblr-2931	116	1	20	20	NUM
cblr-2931	116	2	if	if	SCONJ
cblr-2931	116	3	the	the	DET
cblr-2931	116	4	sec	sec	PROPN
cblr-2931	116	5	opts	opt	VERB
cblr-2931	116	6	for	for	ADP
cblr-2931	116	7	such	such	DET
cblr-2931	116	8	an	an	DET
cblr-2931	116	9	approach	approach	NOUN
cblr-2931	116	10	,	,	PUNCT
cblr-2931	116	11	it	it	PRON
cblr-2931	116	12	would	would	AUX
cblr-2931	116	13	be	be	AUX
cblr-2931	116	14	interesting	interesting	ADJ
cblr-2931	116	15	to	to	PART
cblr-2931	116	16	create	create	VERB
cblr-2931	116	17	a	a	DET
cblr-2931	116	18	taxonomy	taxonomy	NOUN
cblr-2931	116	19	of	of	ADP
cblr-2931	116	20	the	the	DET
cblr-2931	116	21	ways	way	NOUN
cblr-2931	116	22	in	in	ADP
cblr-2931	116	23	which	which	PRON
cblr-2931	116	24	this	this	PRON
cblr-2931	116	25	would	would	AUX
cblr-2931	116	26	enhance	enhance	VERB
cblr-2931	116	27	existing	exist	VERB
cblr-2931	116	28	broker	broker	NOUN
cblr-2931	116	29	-	-	PUNCT
cblr-2931	116	30	dealer	dealer	NOUN
cblr-2931	116	31	obligations	obligation	NOUN
cblr-2931	116	32	.	.	PUNCT
cblr-2931	117	1	see	see	VERB
cblr-2931	117	2	,	,	PUNCT
cblr-2931	117	3	e.g.	e.g.	ADV
cblr-2931	117	4	,	,	PUNCT
cblr-2931	117	5	joshua	joshua	PROPN
cblr-2931	117	6	e.	e.	PROPN
cblr-2931	117	7	broaded	broade	VERB
cblr-2931	117	8	,	,	PUNCT
cblr-2931	117	9	a	a	DET
cblr-2931	117	10	survey	survey	NOUN
cblr-2931	117	11	of	of	ADP
cblr-2931	117	12	regulations	regulation	NOUN
cblr-2931	117	13	applicable	applicable	ADJ
cblr-2931	117	14	to	to	ADP
cblr-2931	117	15	investment	investment	NOUN
cblr-2931	117	16	advisers	adviser	NOUN
cblr-2931	117	17	,	,	PUNCT
cblr-2931	117	18	12	12	NUM
cblr-2931	117	19	duq	duq	ADJ
cblr-2931	117	20	.	.	PUNCT
cblr-2931	118	1	bus	bus	NOUN
cblr-2931	118	2	.	.	PUNCT
cblr-2931	119	1	l.j	l.j	PROPN
cblr-2931	119	2	.	.	PROPN
cblr-2931	119	3	27	27	NUM
cblr-2931	119	4	(	(	PUNCT
cblr-2931	119	5	2009	2009	NUM
cblr-2931	119	6	)	)	PUNCT
cblr-2931	119	7	.	.	PUNCT
cblr-2931	120	1	one	one	NUM
cblr-2931	120	2	possibility	possibility	NOUN
cblr-2931	120	3	would	would	AUX
cblr-2931	120	4	be	be	AUX
cblr-2931	120	5	to	to	PART
cblr-2931	120	6	ban	ban	VERB
cblr-2931	120	7	proprietary	proprietary	ADJ
cblr-2931	120	8	trading	trading	NOUN
cblr-2931	120	9	for	for	ADP
cblr-2931	120	10	brokerdealers	brokerdealer	NOUN
cblr-2931	120	11	giving	give	VERB
cblr-2931	120	12	investment	investment	NOUN
cblr-2931	120	13	advice	advice	NOUN
cblr-2931	120	14	to	to	ADP
cblr-2931	120	15	the	the	DET
cblr-2931	120	16	same	same	ADJ
cblr-2931	120	17	extent	extent	NOUN
cblr-2931	120	18	as	as	ADP
cblr-2931	120	19	investment	investment	NOUN
cblr-2931	120	20	advisors	advisor	NOUN
cblr-2931	120	21	.	.	PUNCT
cblr-2931	121	1	see	see	VERB
cblr-2931	121	2	investment	investment	NOUN
cblr-2931	121	3	advisers	adviser	NOUN
cblr-2931	121	4	act	act	VERB
cblr-2931	121	5	§	§	PROPN
cblr-2931	121	6	206(3	206(3	NUM
cblr-2931	121	7	)	)	PUNCT
cblr-2931	121	8	,	,	PUNCT
cblr-2931	121	9	15	15	NUM
cblr-2931	121	10	u.s.c	u.s.c	ADJ
cblr-2931	121	11	.	.	PUNCT
cblr-2931	122	1	§	§	PROPN
cblr-2931	122	2	80b-6(3	80b-6(3	NUM
cblr-2931	122	3	)	)	PUNCT
cblr-2931	122	4	(	(	PUNCT
cblr-2931	122	5	2010	2010	NUM
cblr-2931	122	6	)	)	PUNCT
cblr-2931	122	7	;	;	PUNCT
cblr-2931	122	8	see	see	VERB
cblr-2931	122	9	also	also	ADV
cblr-2931	122	10	,	,	PUNCT
cblr-2931	122	11	e.g.	e.g.	ADV
cblr-2931	122	12	,	,	PUNCT
cblr-2931	122	13	arthur	arthur	PROPN
cblr-2931	122	14	b.	b.	PROPN
cblr-2931	122	15	laby	laby	PROPN
cblr-2931	122	16	,	,	PUNCT
cblr-2931	122	17	reforming	reform	VERB
cblr-2931	122	18	the	the	DET
cblr-2931	122	19	regulation	regulation	NOUN
cblr-2931	122	20	of	of	ADP
cblr-2931	122	21	brokerdealers	brokerdealer	NOUN
cblr-2931	122	22	and	and	CCONJ
cblr-2931	122	23	investment	investment	NOUN
cblr-2931	122	24	advisers	adviser	NOUN
cblr-2931	122	25	,	,	PUNCT
cblr-2931	122	26	65	65	NUM
cblr-2931	122	27	bus	bus	NOUN
cblr-2931	122	28	.	.	PUNCT
cblr-2931	123	1	law	law	NOUN
cblr-2931	123	2	.	.	PUNCT
cblr-2931	124	1	395	395	NUM
cblr-2931	124	2	(	(	PUNCT
cblr-2931	124	3	2010	2010	NUM
cblr-2931	124	4	)	)	PUNCT
cblr-2931	124	5	(	(	PUNCT
cblr-2931	124	6	discussing	discuss	VERB
cblr-2931	124	7	existing	exist	VERB
cblr-2931	124	8	obligations	obligation	NOUN
cblr-2931	124	9	and	and	CCONJ
cblr-2931	124	10	analyzing	analyze	VERB
cblr-2931	124	11	some	some	DET
cblr-2931	124	12	suggested	suggest	VERB
cblr-2931	124	13	reforms	reform	NOUN
cblr-2931	124	14	)	)	PUNCT
cblr-2931	124	15	.	.	PUNCT
cblr-2931	125	1	21	21	NUM
cblr-2931	125	2	sec	sec	PROPN
cblr-2931	125	3	v.	v.	ADP
cblr-2931	125	4	capital	capital	NOUN
cblr-2931	125	5	gains	gain	NOUN
cblr-2931	125	6	research	research	PROPN
cblr-2931	125	7	bureau	bureau	PROPN
cblr-2931	125	8	,	,	PUNCT
cblr-2931	125	9	inc	inc	PROPN
cblr-2931	125	10	.	.	PROPN
cblr-2931	125	11	,	,	PUNCT
cblr-2931	125	12	375	375	NUM
cblr-2931	125	13	u.s	u.s	PROPN
cblr-2931	125	14	.	.	PROPN
cblr-2931	125	15	180	180	NUM
cblr-2931	125	16	,	,	PUNCT
cblr-2931	125	17	191	191	NUM
cblr-2931	125	18	-	-	SYM
cblr-2931	125	19	92	92	NUM
cblr-2931	125	20	(	(	PUNCT
cblr-2931	125	21	1963	1963	NUM
cblr-2931	125	22	):	):	PUNCT
cblr-2931	125	23	the	the	DET
cblr-2931	125	24	investment	investment	NOUN
cblr-2931	125	25	advisers	adviser	NOUN
cblr-2931	125	26	act	act	VERB
cblr-2931	125	27	of	of	ADP
cblr-2931	125	28	1940	1940	NUM
cblr-2931	125	29	.	.	PUNCT
cblr-2931	125	30	.	.	PUNCT
cblr-2931	126	1	.	.	PUNCT
cblr-2931	127	1	reflects	reflect	VERB
cblr-2931	127	2	a	a	DET
cblr-2931	127	3	congressional	congressional	ADJ
cblr-2931	127	4	recognition	recognition	NOUN
cblr-2931	127	5	"	"	PUNCT
cblr-2931	127	6	of	of	ADP
cblr-2931	127	7	the	the	DET
cblr-2931	127	8	delicate	delicate	ADJ
cblr-2931	127	9	fiduciary	fiduciary	ADJ
cblr-2931	127	10	nature	nature	NOUN
cblr-2931	127	11	of	of	ADP
cblr-2931	127	12	an	an	DET
cblr-2931	127	13	investment	investment	NOUN
cblr-2931	127	14	advisory	advisory	NOUN
cblr-2931	127	15	relationship	relationship	NOUN
cblr-2931	127	16	,	,	PUNCT
cblr-2931	127	17	"	"	PUNCT
cblr-2931	127	18	as	as	ADV
cblr-2931	127	19	well	well	ADV
cblr-2931	127	20	as	as	ADP
cblr-2931	127	21	a	a	DET
cblr-2931	127	22	congressional	congressional	ADJ
cblr-2931	127	23	intent	intent	NOUN
cblr-2931	127	24	to	to	PART
cblr-2931	127	25	eliminate	eliminate	VERB
cblr-2931	127	26	,	,	PUNCT
cblr-2931	127	27	or	or	CCONJ
cblr-2931	127	28	to	to	PART
cblr-2931	127	29	at	at	ADV
cblr-2931	127	30	least	least	ADJ
cblr-2931	127	31	expose	expose	VERB
cblr-2931	127	32	,	,	PUNCT
cblr-2931	127	33	all	all	DET
cblr-2931	127	34	conflicts	conflict	NOUN
cblr-2931	127	35	of	of	ADP
cblr-2931	127	36	interest	interest	NOUN
cblr-2931	127	37	which	which	PRON
cblr-2931	127	38	might	might	AUX
cblr-2931	127	39	incline	incline	VERB
cblr-2931	127	40	an	an	DET
cblr-2931	127	41	investment	investment	NOUN
cblr-2931	127	42	adviser	adviser	NOUN
cblr-2931	127	43	-	-	PUNCT
cblr-2931	127	44	consciously	consciously	ADV
cblr-2931	127	45	or	or	CCONJ
cblr-2931	127	46	unconsciously	unconsciously	ADV
cblr-2931	127	47	-	-	PUNCT
cblr-2931	127	48	to	to	PART
cblr-2931	127	49	render	render	VERB
cblr-2931	127	50	advice	advice	NOUN
cblr-2931	127	51	which	which	PRON
cblr-2931	127	52	was	be	AUX
cblr-2931	127	53	not	not	PART
cblr-2931	127	54	disinterested	disinterested	ADJ
cblr-2931	127	55	.	.	PUNCT
cblr-2931	128	1	the	the	DET
cblr-2931	128	2	authority	authority	NOUN
cblr-2931	128	3	cited	cite	VERB
cblr-2931	128	4	for	for	ADP
cblr-2931	128	5	the	the	DET
cblr-2931	128	6	proposition	proposition	NOUN
cblr-2931	128	7	that	that	PRON
cblr-2931	128	8	congress	congress	PROPN
cblr-2931	128	9	recognized	recognize	VERB
cblr-2931	128	10	a	a	DET
cblr-2931	128	11	"	"	PUNCT
cblr-2931	128	12	delicate	delicate	ADJ
cblr-2931	128	13	fiduciary	fiduciary	ADJ
cblr-2931	128	14	nature	nature	NOUN
cblr-2931	128	15	"	"	PUNCT
cblr-2931	128	16	was	be	AUX
cblr-2931	128	17	a	a	DET
cblr-2931	128	18	securities	security	NOUN
cblr-2931	128	19	law	law	NOUN
cblr-2931	128	20	treatise	treatise	NOUN
cblr-2931	128	21	.	.	PUNCT
cblr-2931	129	1	2	2	NUM
cblr-2931	129	2	louis	louis	NOUN
cblr-2931	129	3	loss	loss	NOUN
cblr-2931	129	4	,	,	PUNCT
cblr-2931	129	5	securities	security	NOUN
cblr-2931	129	6	regulation	regulation	NOUN
cblr-2931	129	7	1412	1412	NUM
cblr-2931	129	8	(	(	PUNCT
cblr-2931	129	9	2d	2d	NUM
cblr-2931	129	10	ed	ed	NOUN
cblr-2931	129	11	.	.	PROPN
cblr-2931	129	12	1961	1961	NUM
cblr-2931	129	13	)	)	PUNCT
cblr-2931	129	14	.	.	PUNCT
cblr-2931	130	1	see	see	VERB
cblr-2931	130	2	375	375	NUM
cblr-2931	130	3	u.s	u.s	PROPN
cblr-2931	130	4	.	.	PROPN
cblr-2931	130	5	at	at	ADP
cblr-2931	130	6	191	191	NUM
cblr-2931	130	7	n.38	n.38	NOUN
cblr-2931	130	8	.	.	PUNCT
cblr-2931	131	1	there	there	PRON
cblr-2931	131	2	was	be	VERB
cblr-2931	131	3	no	no	DET
cblr-2931	131	4	reference	reference	NOUN
cblr-2931	131	5	either	either	CCONJ
cblr-2931	131	6	to	to	ADP
cblr-2931	131	7	the	the	DET
cblr-2931	131	8	statute	statute	NOUN
cblr-2931	131	9	or	or	CCONJ
cblr-2931	131	10	to	to	ADP
cblr-2931	131	11	legislative	legislative	ADJ
cblr-2931	131	12	history	history	NOUN
cblr-2931	131	13	.	.	PUNCT
cblr-2931	132	1	nonetheless	nonetheless	ADV
cblr-2931	132	2	,	,	PUNCT
cblr-2931	132	3	there	there	ADV
cblr-2931	132	4	and	and	CCONJ
cblr-2931	132	5	then	then	ADV
cblr-2931	132	6	,	,	PUNCT
cblr-2931	132	7	the	the	DET
cblr-2931	132	8	principles	principle	NOUN
cblr-2931	132	9	of	of	ADP
cblr-2931	132	10	fiduciary	fiduciary	ADJ
cblr-2931	132	11	law	law	NOUN
cblr-2931	132	12	by	by	ADP
cblr-2931	132	13	judicial	judicial	ADJ
cblr-2931	132	14	fiat	fiat	NOUN
cblr-2931	132	15	were	be	AUX
cblr-2931	132	16	imported	import	VERB
cblr-2931	132	17	into	into	ADP
cblr-2931	132	18	the	the	DET
cblr-2931	132	19	advisers	adviser	NOUN
cblr-2931	132	20	act	act	PROPN
cblr-2931	132	21	.	.	PUNCT
cblr-2931	133	1	[	[	X
cblr-2931	133	2	vol	vol	NOUN
cblr-2931	133	3	.	.	NOUN
cblr-2931	133	4	20	20	NUM
cblr-2931	133	5	10716	10716	NUM
cblr-2931	133	6	columbia	columbia	PROPN
cblr-2931	133	7	business	business	NOUN
cblr-2931	133	8	law	law	PROPN
cblr-2931	133	9	review	review	NOUN
cblr-2931	133	10	no	no	INTJ
cblr-2931	133	11	.	.	PUNCT
cblr-2931	134	1	3:710	3:710	NUM
cblr-2931	134	2	]	]	PUNCT
cblr-2931	134	3	are	be	AUX
cblr-2931	134	4	existing	exist	VERB
cblr-2931	134	5	stock	stock	NOUN
cblr-2931	134	6	broker	broker	NOUN
cblr-2931	134	7	standards	standard	NOUN
cblr-2931	134	8	sufficient	sufficient	ADJ
cblr-2931	134	9	?	?	PUNCT
cblr-2931	135	1	the	the	DET
cblr-2931	135	2	dodd	dodd	PROPN
cblr-2931	135	3	-	-	PUNCT
cblr-2931	135	4	frank	frank	PROPN
cblr-2931	135	5	act	act	NOUN
cblr-2931	135	6	does	do	AUX
cblr-2931	135	7	not	not	PART
cblr-2931	135	8	impose	impose	VERB
cblr-2931	135	9	fiduciary	fiduciary	ADJ
cblr-2931	135	10	duties	duty	NOUN
cblr-2931	135	11	on	on	ADP
cblr-2931	135	12	broker	broker	NOUN
cblr-2931	135	13	-	-	PUNCT
cblr-2931	135	14	dealers	dealer	NOUN
cblr-2931	135	15	explicitly	explicitly	ADV
cblr-2931	135	16	by	by	ADP
cblr-2931	135	17	the	the	DET
cblr-2931	135	18	new	new	ADJ
cblr-2931	135	19	legislation	legislation	NOUN
cblr-2931	135	20	,	,	PUNCT
cblr-2931	135	21	but	but	CCONJ
cblr-2931	135	22	rather	rather	ADV
cblr-2931	135	23	leaves	leave	VERB
cblr-2931	135	24	that	that	DET
cblr-2931	135	25	decision	decision	NOUN
cblr-2931	135	26	to	to	ADP
cblr-2931	135	27	the	the	DET
cblr-2931	135	28	sec	sec	PROPN
cblr-2931	135	29	.	.	PUNCT
cblr-2931	136	1	the	the	DET
cblr-2931	136	2	act	act	NOUN
cblr-2931	136	3	thus	thus	ADV
cblr-2931	136	4	did	do	AUX
cblr-2931	136	5	not	not	PART
cblr-2931	136	6	mandate	mandate	VERB
cblr-2931	136	7	that	that	SCONJ
cblr-2931	136	8	broker	broker	NOUN
cblr-2931	136	9	-	-	PUNCT
cblr-2931	136	10	dealers	dealer	NOUN
cblr-2931	136	11	have	have	VERB
cblr-2931	136	12	a	a	DET
cblr-2931	136	13	continuing	continue	VERB
cblr-2931	136	14	duty	duty	NOUN
cblr-2931	136	15	of	of	ADP
cblr-2931	136	16	care	care	NOUN
cblr-2931	136	17	or	or	CCONJ
cblr-2931	136	18	loyalty	loyalty	NOUN
cblr-2931	136	19	to	to	ADP
cblr-2931	136	20	the	the	DET
cblr-2931	136	21	retail	retail	ADJ
cblr-2931	136	22	customers	customer	NOUN
cblr-2931	136	23	receiving	receive	VERB
cblr-2931	136	24	such	such	ADJ
cblr-2931	136	25	investment	investment	NOUN
cblr-2931	136	26	advice.2	advice.2	PROPN
cblr-2931	136	27	2	2	NUM
cblr-2931	136	28	in	in	ADP
cblr-2931	136	29	addition	addition	NOUN
cblr-2931	136	30	to	to	ADP
cblr-2931	136	31	the	the	DET
cblr-2931	136	32	possibility	possibility	NOUN
cblr-2931	136	33	of	of	ADP
cblr-2931	136	34	imposing	impose	VERB
cblr-2931	136	35	fiduciary	fiduciary	ADJ
cblr-2931	136	36	duties	duty	NOUN
cblr-2931	136	37	,	,	PUNCT
cblr-2931	136	38	the	the	DET
cblr-2931	136	39	sec	sec	PROPN
cblr-2931	136	40	may	may	AUX
cblr-2931	136	41	also	also	ADV
cblr-2931	136	42	choose	choose	VERB
cblr-2931	136	43	to	to	PART
cblr-2931	136	44	promulgate	promulgate	VERB
cblr-2931	136	45	rules	rule	NOUN
cblr-2931	136	46	that	that	PRON
cblr-2931	136	47	would	would	AUX
cblr-2931	136	48	require	require	VERB
cblr-2931	136	49	broker	broker	NOUN
cblr-2931	136	50	-	-	PUNCT
cblr-2931	136	51	dealers	dealer	NOUN
cblr-2931	136	52	to	to	PART
cblr-2931	136	53	make	make	VERB
cblr-2931	136	54	certain	certain	ADJ
cblr-2931	136	55	disclosures	disclosure	NOUN
cblr-2931	136	56	to	to	ADP
cblr-2931	136	57	retail	retail	ADJ
cblr-2931	136	58	customers	customer	NOUN
cblr-2931	136	59	,	,	PUNCT
cblr-2931	136	60	such	such	ADJ
cblr-2931	136	61	as	as	SCONJ
cblr-2931	136	62	if	if	SCONJ
cblr-2931	136	63	the	the	DET
cblr-2931	136	64	broker	broker	NOUN
cblr-2931	136	65	-	-	PUNCT
cblr-2931	136	66	dealer	dealer	NOUN
cblr-2931	136	67	only	only	ADV
cblr-2931	136	68	sells	sell	VERB
cblr-2931	136	69	a	a	DET
cblr-2931	136	70	limited	limited	ADJ
cblr-2931	136	71	range	range	NOUN
cblr-2931	136	72	of	of	ADP
cblr-2931	136	73	products	product	NOUN
cblr-2931	136	74	.	.	PUNCT
cblr-2931	136	75	"	"	PUNCT
cblr-2931	137	1	the	the	DET
cblr-2931	137	2	act	act	NOUN
cblr-2931	137	3	also	also	ADV
cblr-2931	137	4	provides	provide	VERB
cblr-2931	137	5	that	that	SCONJ
cblr-2931	137	6	the	the	DET
cblr-2931	137	7	sec	sec	PROPN
cblr-2931	137	8	may	may	AUX
cblr-2931	137	9	choose	choose	VERB
cblr-2931	137	10	to	to	PART
cblr-2931	137	11	create	create	VERB
cblr-2931	137	12	a	a	DET
cblr-2931	137	13	rule	rule	NOUN
cblr-2931	137	14	requiring	require	VERB
cblr-2931	137	15	broker	broker	NOUN
cblr-2931	137	16	-	-	PUNCT
cblr-2931	137	17	dealers	dealer	NOUN
cblr-2931	137	18	offering	offer	VERB
cblr-2931	137	19	personalized	personalize	VERB
cblr-2931	137	20	investment	investment	NOUN
cblr-2931	137	21	advice	advice	NOUN
cblr-2931	137	22	to	to	ADP
cblr-2931	137	23	retail	retail	ADJ
cblr-2931	137	24	customers	customer	NOUN
cblr-2931	137	25	to	to	PART
cblr-2931	137	26	act	act	VERB
cblr-2931	137	27	in	in	ADP
cblr-2931	137	28	the	the	DET
cblr-2931	137	29	best	good	ADJ
cblr-2931	137	30	interest	interest	NOUN
cblr-2931	137	31	of	of	ADP
cblr-2931	137	32	the	the	DET
cblr-2931	137	33	customer	customer	NOUN
cblr-2931	137	34	,	,	PUNCT
cblr-2931	137	35	as	as	ADV
cblr-2931	137	36	well	well	ADV
cblr-2931	137	37	as	as	ADP
cblr-2931	137	38	requiring	require	VERB
cblr-2931	137	39	broker	broker	NOUN
cblr-2931	137	40	-	-	PUNCT
cblr-2931	137	41	dealers	dealer	NOUN
cblr-2931	137	42	to	to	PART
cblr-2931	137	43	disclose	disclose	VERB
cblr-2931	137	44	certain	certain	ADJ
cblr-2931	137	45	conflicts	conflict	NOUN
cblr-2931	137	46	of	of	ADP
cblr-2931	137	47	interest.24	interest.24	NOUN
cblr-2931	137	48	the	the	DET
cblr-2931	137	49	statutory	statutory	ADJ
cblr-2931	137	50	mandate	mandate	NOUN
cblr-2931	137	51	leaves	leave	VERB
cblr-2931	137	52	the	the	DET
cblr-2931	137	53	sec	sec	PROPN
cblr-2931	137	54	with	with	ADP
cblr-2931	137	55	many	many	ADJ
cblr-2931	137	56	choices	choice	NOUN
cblr-2931	137	57	in	in	ADP
cblr-2931	137	58	terms	term	NOUN
cblr-2931	137	59	of	of	ADP
cblr-2931	137	60	the	the	DET
cblr-2931	137	61	appropriate	appropriate	ADJ
cblr-2931	137	62	regulatory	regulatory	ADJ
cblr-2931	137	63	response	response	NOUN
cblr-2931	137	64	.	.	PUNCT
cblr-2931	138	1	for	for	ADP
cblr-2931	138	2	example	example	NOUN
cblr-2931	138	3	,	,	PUNCT
cblr-2931	138	4	the	the	DET
cblr-2931	138	5	sec	sec	PROPN
cblr-2931	138	6	could	could	AUX
cblr-2931	138	7	retain	retain	VERB
cblr-2931	138	8	the	the	DET
cblr-2931	138	9	status	status	NOUN
cblr-2931	138	10	quo	quo	NOUN
cblr-2931	138	11	,	,	PUNCT
cblr-2931	138	12	which	which	PRON
cblr-2931	138	13	is	be	AUX
cblr-2931	138	14	unlikely	unlikely	ADJ
cblr-2931	138	15	in	in	ADP
cblr-2931	138	16	light	light	NOUN
cblr-2931	138	17	of	of	ADP
cblr-2931	138	18	the	the	DET
cblr-2931	138	19	pressure	pressure	NOUN
cblr-2931	138	20	that	that	PRON
cblr-2931	138	21	led	lead	VERB
cblr-2931	138	22	to	to	ADP
cblr-2931	138	23	the	the	DET
cblr-2931	138	24	massive	massive	ADJ
cblr-2931	138	25	reform	reform	NOUN
cblr-2931	138	26	legislation	legislation	NOUN
cblr-2931	138	27	.	.	PUNCT
cblr-2931	139	1	alternatively	alternatively	ADV
cblr-2931	139	2	,	,	PUNCT
cblr-2931	139	3	the	the	DET
cblr-2931	139	4	sec	sec	PROPN
cblr-2931	139	5	could	could	AUX
cblr-2931	139	6	expressly	expressly	ADV
cblr-2931	139	7	adopt	adopt	VERB
cblr-2931	139	8	a	a	DET
cblr-2931	139	9	fiduciary	fiduciary	ADJ
cblr-2931	139	10	duty	duty	NOUN
cblr-2931	139	11	standard	standard	NOUN
cblr-2931	139	12	.	.	PUNCT
cblr-2931	140	1	as	as	SCONJ
cblr-2931	140	2	discussed	discuss	VERB
cblr-2931	140	3	below	below	ADV
cblr-2931	140	4	,	,	PUNCT
cblr-2931	140	5	there	there	PRON
cblr-2931	140	6	is	be	VERB
cblr-2931	140	7	plenty	plenty	NOUN
cblr-2931	140	8	of	of	ADP
cblr-2931	140	9	support	support	NOUN
cblr-2931	140	10	in	in	ADP
cblr-2931	140	11	existing	exist	VERB
cblr-2931	140	12	interpretations	interpretation	NOUN
cblr-2931	140	13	recognizing	recognize	VERB
cblr-2931	140	14	fiduciary	fiduciary	ADJ
cblr-2931	140	15	obligations	obligation	NOUN
cblr-2931	140	16	.	.	PUNCT
cblr-2931	141	1	the	the	DET
cblr-2931	141	2	new	new	ADJ
cblr-2931	141	3	act	act	NOUN
cblr-2931	141	4	gives	give	VERB
cblr-2931	141	5	the	the	DET
cblr-2931	141	6	sec	sec	PROPN
cblr-2931	141	7	the	the	DET
cblr-2931	141	8	opportunity	opportunity	NOUN
cblr-2931	141	9	to	to	PART
cblr-2931	141	10	clarify	clarify	VERB
cblr-2931	141	11	these	these	DET
cblr-2931	141	12	interpretations	interpretation	NOUN
cblr-2931	141	13	and	and	CCONJ
cblr-2931	141	14	codify	codify	VERB
cblr-2931	141	15	the	the	DET
cblr-2931	141	16	existing	exist	VERB
cblr-2931	141	17	duties	duty	NOUN
cblr-2931	141	18	that	that	PRON
cblr-2931	141	19	are	be	AUX
cblr-2931	141	20	recognized	recognize	VERB
cblr-2931	141	21	by	by	ADP
cblr-2931	141	22	the	the	DET
cblr-2931	141	23	sec	sec	PROPN
cblr-2931	141	24	and	and	CCONJ
cblr-2931	141	25	the	the	DET
cblr-2931	141	26	selfregulatory	selfregulatory	ADJ
cblr-2931	141	27	organizations	organization	NOUN
cblr-2931	141	28	.	.	PUNCT
cblr-2931	142	1	the	the	DET
cblr-2931	142	2	sec	sec	PROPN
cblr-2931	142	3	could	could	AUX
cblr-2931	142	4	elect	elect	VERB
cblr-2931	142	5	to	to	PART
cblr-2931	142	6	adopt	adopt	VERB
cblr-2931	142	7	rules	rule	NOUN
cblr-2931	142	8	with	with	ADP
cblr-2931	142	9	guiding	guide	VERB
cblr-2931	142	10	principles	principle	NOUN
cblr-2931	142	11	or	or	CCONJ
cblr-2931	142	12	it	it	PRON
cblr-2931	142	13	could	could	AUX
cblr-2931	142	14	opt	opt	VERB
cblr-2931	142	15	in	in	ADP
cblr-2931	142	16	favor	favor	NOUN
cblr-2931	142	17	of	of	ADP
cblr-2931	142	18	more	more	ADV
cblr-2931	142	19	detailed	detailed	ADJ
cblr-2931	142	20	rulemaking	rulemaking	NOUN
cblr-2931	142	21	.	.	PUNCT
cblr-2931	143	1	this	this	DET
cblr-2931	143	2	article	article	NOUN
cblr-2931	143	3	examines	examine	VERB
cblr-2931	143	4	the	the	DET
cblr-2931	143	5	alternative	alternative	ADJ
cblr-2931	143	6	avenues	avenue	NOUN
cblr-2931	143	7	the	the	DET
cblr-2931	143	8	sec	sec	PROPN
cblr-2931	143	9	could	could	AUX
cblr-2931	143	10	take	take	VERB
cblr-2931	143	11	and	and	CCONJ
cblr-2931	143	12	evaluates	evaluate	VERB
cblr-2931	143	13	the	the	DET
cblr-2931	143	14	current	current	ADJ
cblr-2931	143	15	state	state	NOUN
cblr-2931	143	16	of	of	ADP
cblr-2931	143	17	broker	broker	NOUN
cblr-2931	143	18	-	-	PUNCT
cblr-2931	143	19	dealer	dealer	NOUN
cblr-2931	143	20	regulation	regulation	NOUN
cblr-2931	143	21	.	.	PUNCT
cblr-2931	144	1	this	this	DET
cblr-2931	144	2	analysis	analysis	NOUN
cblr-2931	144	3	leads	lead	VERB
cblr-2931	144	4	to	to	ADP
cblr-2931	144	5	the	the	DET
cblr-2931	144	6	conclusion	conclusion	NOUN
cblr-2931	144	7	that	that	SCONJ
cblr-2931	144	8	while	while	SCONJ
cblr-2931	144	9	some	some	DET
cblr-2931	144	10	fine	fine	NOUN
cblr-2931	144	11	-	-	PUNCT
cblr-2931	144	12	tuning	tuning	NOUN
cblr-2931	144	13	may	may	AUX
cblr-2931	144	14	be	be	AUX
cblr-2931	144	15	in	in	ADP
cblr-2931	144	16	order	order	NOUN
cblr-2931	144	17	,	,	PUNCT
cblr-2931	144	18	the	the	DET
cblr-2931	144	19	sec	sec	PROPN
cblr-2931	144	20	and	and	CCONJ
cblr-2931	144	21	self	self	NOUN
cblr-2931	144	22	-	-	PUNCT
cblr-2931	144	23	regulatory	regulatory	ADJ
cblr-2931	144	24	organization	organization	NOUN
cblr-2931	144	25	rules	rule	NOUN
cblr-2931	144	26	strike	strike	VERB
cblr-2931	144	27	a	a	DET
cblr-2931	144	28	good	good	ADJ
cblr-2931	144	29	balance	balance	NOUN
cblr-2931	144	30	between	between	ADP
cblr-2931	144	31	principles	principle	NOUN
cblr-2931	144	32	-	-	PUNCT
cblr-2931	144	33	based	base	VERB
cblr-2931	144	34	regulation	regulation	NOUN
cblr-2931	144	35	and	and	CCONJ
cblr-2931	144	36	rule	rule	NOUN
cblr-2931	144	37	-	-	PUNCT
cblr-2931	144	38	based	base	VERB
cblr-2931	144	39	regulation	regulation	NOUN
cblr-2931	144	40	.	.	PUNCT
cblr-2931	145	1	the	the	DET
cblr-2931	145	2	act	act	NOUN
cblr-2931	145	3	should	should	AUX
cblr-2931	145	4	not	not	PART
cblr-2931	145	5	be	be	AUX
cblr-2931	145	6	taken	take	VERB
cblr-2931	145	7	as	as	ADP
cblr-2931	145	8	a	a	DET
cblr-2931	145	9	message	message	NOUN
cblr-2931	145	10	to	to	PART
cblr-2931	145	11	move	move	VERB
cblr-2931	145	12	away	away	ADV
cblr-2931	145	13	from	from	ADP
cblr-2931	145	14	a	a	DET
cblr-2931	145	15	principles	principle	NOUN
cblr-2931	145	16	-	-	PUNCT
cblr-2931	145	17	based	base	VERB
cblr-2931	145	18	approach	approach	NOUN
cblr-2931	145	19	.	.	PUNCT
cblr-2931	146	1	2	2	NUM
cblr-2931	146	2	§	§	PROPN
cblr-2931	146	3	913(g)(1	913(g)(1	NUM
cblr-2931	146	4	)	)	PUNCT
cblr-2931	146	5	,	,	PUNCT
cblr-2931	146	6	124	124	NUM
cblr-2931	146	7	stat	stat	NOUN
cblr-2931	146	8	.	.	PUNCT
cblr-2931	147	1	at	at	ADP
cblr-2931	147	2	1828	1828	NUM
cblr-2931	147	3	.	.	PUNCT
cblr-2931	148	1	23	23	NUM
cblr-2931	149	1	i	i	PRON
cblr-2931	149	2	d.	d.	PROPN
cblr-2931	149	3	24	24	NUM
cblr-2931	149	4	§	§	PROPN
cblr-2931	149	5	913(g)(2	913(g)(2	NUM
cblr-2931	149	6	)	)	PUNCT
cblr-2931	149	7	,	,	PUNCT
cblr-2931	149	8	124	124	NUM
cblr-2931	149	9	stat	stat	NOUN
cblr-2931	149	10	.	.	PUNCT
cblr-2931	150	1	at	at	ADP
cblr-2931	150	2	1828	1828	NUM
cblr-2931	150	3	.	.	PUNCT
cblr-2931	151	1	717	717	NUM
cblr-2931	151	2	columbia	columbia	PROPN
cblr-2931	151	3	business	business	NOUN
cblr-2931	151	4	law	law	PROPN
cblr-2931	151	5	review	review	PROPN
cblr-2931	151	6	iii	iii	X
cblr-2931	151	7	.	.	PUNCT
cblr-2931	151	8	rules	rule	NOUN
cblr-2931	151	9	,	,	PUNCT
cblr-2931	151	10	principles	principle	NOUN
cblr-2931	151	11	,	,	PUNCT
cblr-2931	151	12	and	and	CCONJ
cblr-2931	151	13	standards	standard	NOUN
cblr-2931	151	14	it	it	PRON
cblr-2931	151	15	is	be	AUX
cblr-2931	151	16	a	a	DET
cblr-2931	151	17	relatively	relatively	ADV
cblr-2931	151	18	uncontroversial	uncontroversial	ADJ
cblr-2931	151	19	statement	statement	NOUN
cblr-2931	151	20	that	that	SCONJ
cblr-2931	151	21	the	the	DET
cblr-2931	151	22	securities	security	NOUN
cblr-2931	151	23	laws	law	NOUN
cblr-2931	151	24	enhance	enhance	VERB
cblr-2931	151	25	disclosure	disclosure	NOUN
cblr-2931	151	26	and	and	CCONJ
cblr-2931	151	27	prohibit	prohibit	VERB
cblr-2931	151	28	fraud	fraud	NOUN
cblr-2931	151	29	.	.	PUNCT
cblr-2931	152	1	broker	broker	NOUN
cblr-2931	152	2	-	-	PUNCT
cblr-2931	152	3	dealer	dealer	NOUN
cblr-2931	152	4	regulation	regulation	NOUN
cblr-2931	152	5	occupies	occupy	VERB
cblr-2931	152	6	a	a	DET
cblr-2931	152	7	special	special	ADJ
cblr-2931	152	8	place	place	NOUN
cblr-2931	152	9	in	in	ADP
cblr-2931	152	10	the	the	DET
cblr-2931	152	11	securities	security	NOUN
cblr-2931	152	12	laws	law	NOUN
cblr-2931	152	13	insofar	insofar	ADV
cblr-2931	152	14	as	as	SCONJ
cblr-2931	152	15	the	the	DET
cblr-2931	152	16	regulations	regulation	NOUN
cblr-2931	152	17	go	go	VERB
cblr-2931	152	18	beyond	beyond	ADP
cblr-2931	152	19	merely	merely	ADV
cblr-2931	152	20	outlawing	outlaw	VERB
cblr-2931	152	21	fraud.25	fraud.25	NOUN
cblr-2931	152	22	in	in	ADP
cblr-2931	152	23	considering	consider	VERB
cblr-2931	152	24	the	the	DET
cblr-2931	152	25	appropriate	appropriate	ADJ
cblr-2931	152	26	scope	scope	NOUN
cblr-2931	152	27	of	of	ADP
cblr-2931	152	28	broker	broker	NOUN
cblr-2931	152	29	-	-	PUNCT
cblr-2931	152	30	dealer	dealer	NOUN
cblr-2931	152	31	regulation	regulation	NOUN
cblr-2931	152	32	and	and	CCONJ
cblr-2931	152	33	the	the	DET
cblr-2931	152	34	nature	nature	NOUN
cblr-2931	152	35	of	of	ADP
cblr-2931	152	36	the	the	DET
cblr-2931	152	37	stock	stock	NOUN
cblr-2931	152	38	broker	broker	NOUN
cblr-2931	152	39	/	/	SYM
cblr-2931	152	40	customer	customer	NOUN
cblr-2931	152	41	relationship	relationship	NOUN
cblr-2931	152	42	,	,	PUNCT
cblr-2931	152	43	it	it	PRON
cblr-2931	152	44	is	be	AUX
cblr-2931	152	45	worth	worth	ADJ
cblr-2931	152	46	considering	consider	VERB
cblr-2931	152	47	some	some	DET
cblr-2931	152	48	aspects	aspect	NOUN
cblr-2931	152	49	of	of	ADP
cblr-2931	152	50	lawmaking	lawmake	VERB
cblr-2931	152	51	generally	generally	ADV
cblr-2931	152	52	and	and	CCONJ
cblr-2931	152	53	,	,	PUNCT
cblr-2931	152	54	in	in	ADP
cblr-2931	152	55	particular	particular	ADJ
cblr-2931	152	56	,	,	PUNCT
cblr-2931	152	57	the	the	DET
cblr-2931	152	58	distinctions	distinction	NOUN
cblr-2931	152	59	that	that	PRON
cblr-2931	152	60	can	can	AUX
cblr-2931	152	61	be	be	AUX
cblr-2931	152	62	made	make	VERB
cblr-2931	152	63	between	between	ADP
cblr-2931	152	64	rules	rule	NOUN
cblr-2931	152	65	,	,	PUNCT
cblr-2931	152	66	standards	standard	NOUN
cblr-2931	152	67	,	,	PUNCT
cblr-2931	152	68	and	and	CCONJ
cblr-2931	152	69	principles	principle	NOUN
cblr-2931	152	70	.	.	PUNCT
cblr-2931	153	1	as	as	SCONJ
cblr-2931	153	2	explained	explain	VERB
cblr-2931	153	3	below	below	ADV
cblr-2931	153	4	,	,	PUNCT
cblr-2931	153	5	rules	rule	NOUN
cblr-2931	153	6	tend	tend	VERB
cblr-2931	153	7	to	to	PART
cblr-2931	153	8	give	give	VERB
cblr-2931	153	9	more	more	ADJ
cblr-2931	153	10	concrete	concrete	ADJ
cblr-2931	153	11	guidance	guidance	NOUN
cblr-2931	153	12	as	as	SCONJ
cblr-2931	153	13	to	to	PART
cblr-2931	153	14	prohibited	prohibit	VERB
cblr-2931	153	15	conduct	conduct	NOUN
cblr-2931	153	16	.	.	PUNCT
cblr-2931	154	1	in	in	ADP
cblr-2931	154	2	contrast	contrast	NOUN
cblr-2931	154	3	,	,	PUNCT
cblr-2931	154	4	laws	law	NOUN
cblr-2931	154	5	based	base	VERB
cblr-2931	154	6	on	on	ADP
cblr-2931	154	7	principles	principle	NOUN
cblr-2931	154	8	and	and	CCONJ
cblr-2931	154	9	standards	standard	NOUN
cblr-2931	154	10	give	give	VERB
cblr-2931	154	11	flexibility	flexibility	NOUN
cblr-2931	154	12	to	to	PART
cblr-2931	154	13	adapt	adapt	VERB
cblr-2931	154	14	the	the	DET
cblr-2931	154	15	law	law	NOUN
cblr-2931	154	16	to	to	ADP
cblr-2931	154	17	situations	situation	NOUN
cblr-2931	154	18	not	not	PART
cblr-2931	154	19	covered	cover	VERB
cblr-2931	154	20	by	by	ADP
cblr-2931	154	21	explicit	explicit	ADJ
cblr-2931	154	22	rules	rule	NOUN
cblr-2931	154	23	.	.	PUNCT
cblr-2931	155	1	even	even	ADV
cblr-2931	155	2	a	a	DET
cblr-2931	155	3	fraud	fraud	NOUN
cblr-2931	155	4	-	-	PUNCT
cblr-2931	155	5	based	base	VERB
cblr-2931	155	6	regime	regime	NOUN
cblr-2931	155	7	raises	raise	VERB
cblr-2931	155	8	the	the	DET
cblr-2931	155	9	rules	rule	NOUN
cblr-2931	155	10	versus	versus	ADP
cblr-2931	155	11	standards	standard	NOUN
cblr-2931	155	12	dichotomy	dichotomy	NOUN
cblr-2931	155	13	.	.	PUNCT
cblr-2931	156	1	since	since	SCONJ
cblr-2931	156	2	the	the	DET
cblr-2931	156	3	nineteenth	nineteenth	ADJ
cblr-2931	156	4	century	century	NOUN
cblr-2931	156	5	,	,	PUNCT
cblr-2931	156	6	both	both	CCONJ
cblr-2931	156	7	courts26	courts26	NOUN
cblr-2931	156	8	and	and	CCONJ
cblr-2931	156	9	commentators27	commentators27	NOUN
cblr-2931	156	10	have	have	AUX
cblr-2931	156	11	suggested	suggest	VERB
cblr-2931	156	12	that	that	SCONJ
cblr-2931	156	13	defining	define	VERB
cblr-2931	156	14	25	25	NUM
cblr-2931	156	15	see	see	NOUN
cblr-2931	156	16	infra	infra	NOUN
cblr-2931	156	17	part	part	NOUN
cblr-2931	156	18	v.	v.	ADP
cblr-2931	156	19	26	26	NUM
cblr-2931	156	20	see	see	NOUN
cblr-2931	156	21	,	,	PUNCT
cblr-2931	156	22	e.g.	e.g.	ADV
cblr-2931	156	23	,	,	PUNCT
cblr-2931	156	24	mcaleer	mcaleer	NOUN
cblr-2931	156	25	v.	v.	ADP
cblr-2931	156	26	horsey	horsey	NOUN
cblr-2931	156	27	,	,	PUNCT
cblr-2931	156	28	35	35	NUM
cblr-2931	156	29	md	md	NOUN
cblr-2931	156	30	.	.	PROPN
cblr-2931	156	31	439	439	NUM
cblr-2931	156	32	,	,	PUNCT
cblr-2931	156	33	452	452	NUM
cblr-2931	156	34	(	(	PUNCT
cblr-2931	156	35	1872	1872	NUM
cblr-2931	156	36	):	):	PUNCT
cblr-2931	156	37	the	the	DET
cblr-2931	156	38	common	common	ADJ
cblr-2931	156	39	law	law	NOUN
cblr-2931	156	40	not	not	PART
cblr-2931	156	41	only	only	ADV
cblr-2931	156	42	gives	give	VERB
cblr-2931	156	43	no	no	DET
cblr-2931	156	44	definition	definition	NOUN
cblr-2931	156	45	of	of	ADP
cblr-2931	156	46	fraud	fraud	NOUN
cblr-2931	156	47	,	,	PUNCT
cblr-2931	156	48	but	but	CCONJ
cblr-2931	156	49	perhaps	perhaps	ADV
cblr-2931	156	50	wisely	wisely	ADV
cblr-2931	156	51	asserts	assert	VERB
cblr-2931	156	52	as	as	ADP
cblr-2931	156	53	a	a	DET
cblr-2931	156	54	principle	principle	NOUN
cblr-2931	156	55	that	that	SCONJ
cblr-2931	156	56	there	there	PRON
cblr-2931	156	57	shall	shall	AUX
cblr-2931	156	58	be	be	AUX
cblr-2931	156	59	no	no	DET
cblr-2931	156	60	definition	definition	NOUN
cblr-2931	156	61	of	of	ADP
cblr-2931	156	62	it	it	PRON
cblr-2931	156	63	,	,	PUNCT
cblr-2931	156	64	for	for	ADP
cblr-2931	156	65	,	,	PUNCT
cblr-2931	156	66	as	as	SCONJ
cblr-2931	156	67	it	it	PRON
cblr-2931	156	68	is	be	AUX
cblr-2931	156	69	the	the	DET
cblr-2931	156	70	very	very	ADJ
cblr-2931	156	71	nature	nature	NOUN
cblr-2931	156	72	and	and	CCONJ
cblr-2931	156	73	essence	essence	NOUN
cblr-2931	156	74	of	of	ADP
cblr-2931	156	75	fraud	fraud	NOUN
cblr-2931	156	76	to	to	PART
cblr-2931	156	77	elude	elude	VERB
cblr-2931	156	78	all	all	DET
cblr-2931	156	79	laws	law	NOUN
cblr-2931	156	80	in	in	ADP
cblr-2931	156	81	fact	fact	NOUN
cblr-2931	156	82	,	,	PUNCT
cblr-2931	156	83	without	without	ADP
cblr-2931	156	84	appearing	appear	VERB
cblr-2931	156	85	to	to	PART
cblr-2931	156	86	break	break	VERB
cblr-2931	156	87	them	they	PRON
cblr-2931	156	88	in	in	ADP
cblr-2931	156	89	form	form	NOUN
cblr-2931	156	90	,	,	PUNCT
cblr-2931	156	91	a	a	DET
cblr-2931	156	92	technical	technical	ADJ
cblr-2931	156	93	definition	definition	NOUN
cblr-2931	156	94	of	of	ADP
cblr-2931	156	95	fraud	fraud	NOUN
cblr-2931	156	96	,	,	PUNCT
cblr-2931	156	97	making	make	VERB
cblr-2931	156	98	everything	everything	PRON
cblr-2931	156	99	come	come	VERB
cblr-2931	156	100	within	within	ADP
cblr-2931	156	101	the	the	DET
cblr-2931	156	102	scope	scope	NOUN
cblr-2931	156	103	of	of	ADP
cblr-2931	156	104	its	its	PRON
cblr-2931	156	105	words	word	NOUN
cblr-2931	156	106	before	before	SCONJ
cblr-2931	156	107	the	the	DET
cblr-2931	156	108	law	law	NOUN
cblr-2931	156	109	could	could	AUX
cblr-2931	156	110	deal	deal	VERB
cblr-2931	156	111	with	with	ADP
cblr-2931	156	112	it	it	PRON
cblr-2931	156	113	as	as	ADP
cblr-2931	156	114	such	such	ADJ
cblr-2931	156	115	,	,	PUNCT
cblr-2931	156	116	would	would	AUX
cblr-2931	156	117	be	be	AUX
cblr-2931	156	118	in	in	ADP
cblr-2931	156	119	effect	effect	NOUN
cblr-2931	156	120	telling	tell	VERB
cblr-2931	156	121	to	to	ADP
cblr-2931	156	122	the	the	DET
cblr-2931	156	123	crafty	crafty	NOUN
cblr-2931	156	124	precisely	precisely	ADV
cblr-2931	156	125	how	how	SCONJ
cblr-2931	156	126	to	to	PART
cblr-2931	156	127	avoid	avoid	VERB
cblr-2931	156	128	the	the	DET
cblr-2931	156	129	grasp	grasp	NOUN
cblr-2931	156	130	of	of	ADP
cblr-2931	156	131	the	the	DET
cblr-2931	156	132	law	law	NOUN
cblr-2931	156	133	.	.	PUNCT
cblr-2931	157	1	see	see	VERB
cblr-2931	157	2	also	also	ADV
cblr-2931	157	3	,	,	PUNCT
cblr-2931	157	4	e.g.	e.g.	ADV
cblr-2931	157	5	,	,	PUNCT
cblr-2931	157	6	syracuse	syracuse	PROPN
cblr-2931	157	7	knitting	knitting	PROPN
cblr-2931	157	8	co.	co.	PROPN
cblr-2931	157	9	v.	v.	ADP
cblr-2931	157	10	blanchard	blanchard	PROPN
cblr-2931	157	11	,	,	PUNCT
cblr-2931	157	12	43	43	NUM
cblr-2931	157	13	a.	a.	NOUN
cblr-2931	157	14	637	637	NUM
cblr-2931	157	15	,	,	PUNCT
cblr-2931	157	16	639	639	NUM
cblr-2931	157	17	(	(	PUNCT
cblr-2931	157	18	n.h	n.h	PROPN
cblr-2931	157	19	.	.	PROPN
cblr-2931	157	20	1899	1899	NUM
cblr-2931	157	21	):	):	PUNCT
cblr-2931	157	22	it	it	PRON
cblr-2931	157	23	is	be	AUX
cblr-2931	157	24	difficult	difficult	ADJ
cblr-2931	157	25	to	to	PART
cblr-2931	157	26	define	define	VERB
cblr-2931	157	27	fraud	fraud	NOUN
cblr-2931	157	28	,	,	PUNCT
cblr-2931	157	29	except	except	SCONJ
cblr-2931	157	30	in	in	ADP
cblr-2931	157	31	a	a	DET
cblr-2931	157	32	very	very	ADV
cblr-2931	157	33	general	general	ADJ
cblr-2931	157	34	way	way	NOUN
cblr-2931	157	35	.	.	PUNCT
cblr-2931	158	1	it	it	PRON
cblr-2931	158	2	is	be	AUX
cblr-2931	158	3	variable	variable	ADJ
cblr-2931	158	4	,	,	PUNCT
cblr-2931	158	5	depending	depend	VERB
cblr-2931	158	6	upon	upon	SCONJ
cblr-2931	158	7	the	the	DET
cblr-2931	158	8	circumstances	circumstance	NOUN
cblr-2931	158	9	of	of	ADP
cblr-2931	158	10	the	the	DET
cblr-2931	158	11	case	case	NOUN
cblr-2931	158	12	.	.	PUNCT
cblr-2931	159	1	those	those	PRON
cblr-2931	159	2	who	who	PRON
cblr-2931	159	3	make	make	VERB
cblr-2931	159	4	use	use	NOUN
cblr-2931	159	5	of	of	ADP
cblr-2931	159	6	it	it	PRON
cblr-2931	159	7	adopt	adopt	VERB
cblr-2931	159	8	ways	way	NOUN
cblr-2931	159	9	that	that	PRON
cblr-2931	159	10	have	have	VERB
cblr-2931	159	11	the	the	DET
cblr-2931	159	12	appearance	appearance	NOUN
cblr-2931	159	13	of	of	ADP
cblr-2931	159	14	good	good	ADJ
cblr-2931	159	15	faith	faith	NOUN
cblr-2931	159	16	.	.	PUNCT
cblr-2931	160	1	great	great	ADJ
cblr-2931	160	2	skill	skill	NOUN
cblr-2931	160	3	is	be	AUX
cblr-2931	160	4	often	often	ADV
cblr-2931	160	5	shown	show	VERB
cblr-2931	160	6	in	in	ADP
cblr-2931	160	7	the	the	DET
cblr-2931	160	8	attempt	attempt	NOUN
cblr-2931	160	9	to	to	PART
cblr-2931	160	10	make	make	VERB
cblr-2931	160	11	that	that	PRON
cblr-2931	160	12	which	which	PRON
cblr-2931	160	13	is	be	AUX
cblr-2931	160	14	false	false	ADJ
cblr-2931	160	15	and	and	CCONJ
cblr-2931	160	16	corrupt	corrupt	ADJ
cblr-2931	160	17	appear	appear	VERB
cblr-2931	160	18	true	true	ADJ
cblr-2931	160	19	and	and	CCONJ
cblr-2931	160	20	honest	honest	ADJ
cblr-2931	160	21	.	.	PUNCT
cblr-2931	161	1	hard	hard	ADJ
cblr-2931	161	2	and	and	CCONJ
cblr-2931	161	3	fast	fast	ADJ
cblr-2931	161	4	rules	rule	NOUN
cblr-2931	161	5	of	of	ADP
cblr-2931	161	6	law	law	NOUN
cblr-2931	161	7	would	would	AUX
cblr-2931	161	8	be	be	AUX
cblr-2931	161	9	a	a	DET
cblr-2931	161	10	hindrance	hindrance	NOUN
cblr-2931	161	11	to	to	ADP
cblr-2931	161	12	the	the	DET
cblr-2931	161	13	discovery	discovery	NOUN
cblr-2931	161	14	of	of	ADP
cblr-2931	161	15	fraud	fraud	NOUN
cblr-2931	161	16	.	.	PUNCT
cblr-2931	162	1	accord	accord	PROPN
cblr-2931	162	2	arkansas	arkansas	PROPN
cblr-2931	162	3	valley	valley	PROPN
cblr-2931	162	4	compress	compress	PROPN
cblr-2931	162	5	&	&	CCONJ
cblr-2931	162	6	warehouse	warehouse	PROPN
cblr-2931	162	7	co.	co.	PROPN
cblr-2931	163	1	v.	v.	CCONJ
cblr-2931	163	2	morgan	morgan	PROPN
cblr-2931	163	3	,	,	PUNCT
cblr-2931	163	4	229	229	NUM
cblr-2931	163	5	s.w.2d	s.w.2d	NUM
cblr-2931	163	6	133	133	NUM
cblr-2931	163	7	,	,	PUNCT
cblr-2931	163	8	136	136	NUM
cblr-2931	163	9	(	(	PUNCT
cblr-2931	163	10	ark	ark	PROPN
cblr-2931	163	11	.	.	PROPN
cblr-2931	163	12	1950	1950	NUM
cblr-2931	163	13	)	)	PUNCT
cblr-2931	163	14	(	(	PUNCT
cblr-2931	163	15	"	"	PUNCT
cblr-2931	163	16	[	[	X
cblr-2931	163	17	trial	trial	NOUN
cblr-2931	163	18	clourts	clourt	NOUN
cblr-2931	163	19	have	have	AUX
cblr-2931	163	20	always	always	ADV
cblr-2931	163	21	been	be	AUX
cblr-2931	163	22	reluctant	reluctant	ADJ
cblr-2931	163	23	to	to	PART
cblr-2931	163	24	define	define	VERB
cblr-2931	163	25	'	'	PUNCT
cblr-2931	163	26	fraud	fraud	NOUN
cblr-2931	163	27	'	'	PUNCT
cblr-2931	163	28	(	(	PUNCT
cblr-2931	163	29	either	either	CCONJ
cblr-2931	163	30	actual	actual	ADJ
cblr-2931	163	31	or	or	CCONJ
cblr-2931	163	32	constructive	constructive	ADJ
cblr-2931	163	33	)	)	PUNCT
cblr-2931	163	34	lest	lest	SCONJ
cblr-2931	163	35	man	man	NOUN
cblr-2931	163	36	's	's	PART
cblr-2931	163	37	fertile	fertile	ADJ
cblr-2931	163	38	mind	mind	NOUN
cblr-2931	163	39	invent	invent	NOUN
cblr-2931	163	40	718	718	NUM
cblr-2931	164	1	[	[	X
cblr-2931	164	2	vol	vol	NOUN
cblr-2931	164	3	.	.	PUNCT
cblr-2931	165	1	2010	2010	NUM
cblr-2931	165	2	no	no	NOUN
cblr-2931	165	3	.	.	PUNCT
cblr-2931	166	1	3:710	3:710	NUM
cblr-2931	166	2	]	]	PUNCT
cblr-2931	166	3	are	be	AUX
cblr-2931	166	4	existing	exist	VERB
cblr-2931	166	5	stock	stock	NOUN
cblr-2931	166	6	broker	broker	NOUN
cblr-2931	166	7	standards	standard	NOUN
cblr-2931	166	8	sufficient	sufficient	ADJ
cblr-2931	166	9	?	?	PUNCT
cblr-2931	167	1	fraud	fraud	NOUN
cblr-2931	167	2	provides	provide	VERB
cblr-2931	167	3	unscrupulous	unscrupulous	ADJ
cblr-2931	167	4	actors	actor	NOUN
cblr-2931	167	5	with	with	ADP
cblr-2931	167	6	an	an	DET
cblr-2931	167	7	invitation	invitation	NOUN
cblr-2931	167	8	to	to	PART
cblr-2931	167	9	find	find	VERB
cblr-2931	167	10	a	a	DET
cblr-2931	167	11	way	way	NOUN
cblr-2931	167	12	around	around	ADP
cblr-2931	167	13	the	the	DET
cblr-2931	167	14	law	law	NOUN
cblr-2931	167	15	.	.	PUNCT
cblr-2931	168	1	the	the	DET
cblr-2931	168	2	law	law	NOUN
cblr-2931	168	3	thus	thus	ADV
cblr-2931	168	4	recognized	recognize	VERB
cblr-2931	168	5	that	that	SCONJ
cblr-2931	168	6	it	it	PRON
cblr-2931	168	7	is	be	AUX
cblr-2931	168	8	sufficient	sufficient	ADJ
cblr-2931	168	9	to	to	PART
cblr-2931	168	10	identify	identify	VERB
cblr-2931	168	11	a	a	DET
cblr-2931	168	12	principle	principle	NOUN
cblr-2931	168	13	as	as	SCONJ
cblr-2931	168	14	opposed	oppose	VERB
cblr-2931	168	15	to	to	ADP
cblr-2931	168	16	focusing	focus	VERB
cblr-2931	168	17	on	on	ADP
cblr-2931	168	18	specific	specific	ADJ
cblr-2931	168	19	detailed	detailed	ADJ
cblr-2931	168	20	definitions	definition	NOUN
cblr-2931	168	21	of	of	ADP
cblr-2931	168	22	the	the	DET
cblr-2931	168	23	types	type	NOUN
cblr-2931	168	24	of	of	ADP
cblr-2931	168	25	conduct	conduct	NOUN
cblr-2931	168	26	to	to	PART
cblr-2931	168	27	be	be	AUX
cblr-2931	168	28	prohibited.2	prohibited.2	ADP
cblr-2931	168	29	8	8	NUM
cblr-2931	168	30	the	the	DET
cblr-2931	168	31	jurisprudential	jurisprudential	ADJ
cblr-2931	168	32	debate	debate	NOUN
cblr-2931	168	33	as	as	ADP
cblr-2931	168	34	to	to	ADP
cblr-2931	168	35	the	the	DET
cblr-2931	168	36	relative	relative	ADJ
cblr-2931	168	37	effectiveness	effectiveness	NOUN
cblr-2931	168	38	of	of	ADP
cblr-2931	168	39	specific	specific	ADJ
cblr-2931	168	40	rule	rule	NOUN
cblr-2931	168	41	-	-	PUNCT
cblr-2931	168	42	based	base	VERB
cblr-2931	168	43	lawmaking	lawmaking	NOUN
cblr-2931	168	44	versus	versus	ADP
cblr-2931	168	45	lawmaking	lawmake	VERB
cblr-2931	168	46	through	through	ADP
cblr-2931	168	47	a	a	DET
cblr-2931	168	48	system	system	NOUN
cblr-2931	168	49	of	of	ADP
cblr-2931	168	50	principles	principle	NOUN
cblr-2931	168	51	and	and	CCONJ
cblr-2931	168	52	standards	standard	NOUN
cblr-2931	168	53	is	be	AUX
cblr-2931	168	54	a	a	DET
cblr-2931	168	55	longstanding	longstanding	ADJ
cblr-2931	168	56	,	,	PUNCT
cblr-2931	168	57	wellestablished	wellestablishe	VERB
cblr-2931	168	58	one	one	NUM
cblr-2931	168	59	.	.	PUNCT
cblr-2931	169	1	thus	thus	ADV
cblr-2931	169	2	,	,	PUNCT
cblr-2931	169	3	for	for	ADP
cblr-2931	169	4	example	example	NOUN
cblr-2931	169	5	,	,	PUNCT
cblr-2931	169	6	the	the	DET
cblr-2931	169	7	common	common	ADJ
cblr-2931	169	8	law	law	NOUN
cblr-2931	169	9	,	,	PUNCT
cblr-2931	169	10	although	although	SCONJ
cblr-2931	169	11	perhaps	perhaps	ADV
cblr-2931	169	12	inefficient	inefficient	ADJ
cblr-2931	169	13	in	in	ADP
cblr-2931	169	14	its	its	PRON
cblr-2931	169	15	evaluation	evaluation	NOUN
cblr-2931	169	16	,	,	PUNCT
cblr-2931	169	17	presents	present	VERB
cblr-2931	169	18	an	an	DET
cblr-2931	169	19	environment	environment	NOUN
cblr-2931	169	20	for	for	ADP
cblr-2931	169	21	flexible	flexible	ADJ
cblr-2931	169	22	rules	rule	NOUN
cblr-2931	169	23	that	that	PRON
cblr-2931	169	24	can	can	AUX
cblr-2931	169	25	adapt	adapt	VERB
cblr-2931	169	26	to	to	ADP
cblr-2931	169	27	change.2	change.2	PROPN
cblr-2931	169	28	9	9	NUM
cblr-2931	169	29	likewise	likewise	ADV
cblr-2931	169	30	,	,	PUNCT
cblr-2931	169	31	administrative	administrative	ADJ
cblr-2931	169	32	law	law	NOUN
cblr-2931	169	33	has	have	AUX
cblr-2931	169	34	for	for	ADP
cblr-2931	169	35	a	a	DET
cblr-2931	169	36	long	long	ADJ
cblr-2931	169	37	time	time	NOUN
cblr-2931	169	38	recognized	recognize	VERB
cblr-2931	169	39	a	a	DET
cblr-2931	169	40	similar	similar	ADJ
cblr-2931	169	41	dichotomy	dichotomy	NOUN
cblr-2931	169	42	with	with	ADP
cblr-2931	169	43	respect	respect	NOUN
cblr-2931	169	44	to	to	ADP
cblr-2931	169	45	alternative	alternative	ADJ
cblr-2931	169	46	approaches	approach	NOUN
cblr-2931	169	47	to	to	ADP
cblr-2931	169	48	administrative	administrative	ADJ
cblr-2931	169	49	rulemaking.30	rulemaking.30	PROPN
cblr-2931	169	50	standards(or	standards(or	PROPN
cblr-2931	169	51	principles-	principles-	NOUN
cblr-2931	169	52	)	)	PUNCT
cblr-2931	169	53	based	base	VERB
cblr-2931	169	54	rulemaking	rulemaking	NOUN
cblr-2931	169	55	focuses	focus	VERB
cblr-2931	169	56	on	on	ADP
cblr-2931	169	57	"	"	PUNCT
cblr-2931	169	58	the	the	DET
cblr-2931	169	59	goal	goal	NOUN
cblr-2931	169	60	toward	toward	ADP
cblr-2931	169	61	a	a	DET
cblr-2931	169	62	new	new	ADJ
cblr-2931	169	63	scheme	scheme	NOUN
cblr-2931	169	64	outside	outside	ADP
cblr-2931	169	65	the	the	DET
cblr-2931	169	66	definition	definition	NOUN
cblr-2931	169	67	but	but	CCONJ
cblr-2931	169	68	just	just	ADV
cblr-2931	169	69	as	as	ADV
cblr-2931	169	70	nefarious	nefarious	ADJ
cblr-2931	169	71	as	as	ADP
cblr-2931	169	72	previously	previously	ADV
cblr-2931	169	73	denounced	denounce	VERB
cblr-2931	169	74	schemes	scheme	NOUN
cblr-2931	169	75	.	.	PUNCT
cblr-2931	169	76	"	"	PUNCT
cblr-2931	169	77	)	)	PUNCT
cblr-2931	169	78	.	.	PUNCT
cblr-2931	170	1	27	27	NUM
cblr-2931	170	2	see	see	VERB
cblr-2931	170	3	dan	dan	PROPN
cblr-2931	170	4	m.	m.	PROPN
cblr-2931	170	5	kahan	kahan	PROPN
cblr-2931	170	6	,	,	PUNCT
cblr-2931	170	7	lenity	lenity	NOUN
cblr-2931	170	8	and	and	CCONJ
cblr-2931	170	9	federal	federal	ADJ
cblr-2931	170	10	common	common	ADJ
cblr-2931	170	11	law	law	NOUN
cblr-2931	170	12	crimes	crime	NOUN
cblr-2931	170	13	,	,	PUNCT
cblr-2931	170	14	1994	1994	NUM
cblr-2931	170	15	sup	sup	NOUN
cblr-2931	170	16	.	.	PUNCT
cblr-2931	171	1	ct	ct	AUX
cblr-2931	171	2	.	.	PUNCT
cblr-2931	171	3	rev	rev	PROPN
cblr-2931	171	4	.	.	PROPN
cblr-2931	171	5	345	345	NUM
cblr-2931	171	6	,	,	PUNCT
cblr-2931	171	7	410	410	NUM
cblr-2931	171	8	(	(	PUNCT
cblr-2931	171	9	1994	1994	NUM
cblr-2931	171	10	)	)	PUNCT
cblr-2931	171	11	(	(	PUNCT
cblr-2931	171	12	"	"	PUNCT
cblr-2931	171	13	[	[	X
cblr-2931	171	14	l]a[y	l]a[y	X
cblr-2931	171	15	]	]	X
cblr-2931	171	16	down	down	ADV
cblr-2931	171	17	as	as	ADP
cblr-2931	171	18	a	a	DET
cblr-2931	171	19	general	general	ADJ
cblr-2931	171	20	proposition	proposition	NOUN
cblr-2931	171	21	,	,	PUNCT
cblr-2931	171	22	what	what	PRON
cblr-2931	171	23	shall	shall	AUX
cblr-2931	171	24	constitute	constitute	VERB
cblr-2931	171	25	fraud	fraud	NOUN
cblr-2931	171	26	,	,	PUNCT
cblr-2931	171	27	or	or	CCONJ
cblr-2931	171	28	any	any	DET
cblr-2931	171	29	general	general	ADJ
cblr-2931	171	30	rule	rule	NOUN
cblr-2931	171	31	,	,	PUNCT
cblr-2931	171	32	beyond	beyond	ADP
cblr-2931	171	33	which	which	PRON
cblr-2931	171	34	they	they	PRON
cblr-2931	171	35	will	will	AUX
cblr-2931	171	36	not	not	PART
cblr-2931	171	37	go	go	VERB
cblr-2931	171	38	upon	upon	SCONJ
cblr-2931	171	39	the	the	DET
cblr-2931	171	40	ground	ground	NOUN
cblr-2931	171	41	of	of	ADP
cblr-2931	171	42	fraud	fraud	NOUN
cblr-2931	171	43	,	,	PUNCT
cblr-2931	171	44	lest	lest	SCONJ
cblr-2931	171	45	other	other	ADJ
cblr-2931	171	46	means	mean	NOUN
cblr-2931	171	47	of	of	ADP
cblr-2931	171	48	avoiding	avoid	VERB
cblr-2931	171	49	the	the	DET
cblr-2931	171	50	equity	equity	NOUN
cblr-2931	171	51	of	of	ADP
cblr-2931	171	52	the	the	DET
cblr-2931	171	53	courts	court	NOUN
cblr-2931	171	54	should	should	AUX
cblr-2931	171	55	be	be	AUX
cblr-2931	171	56	found	find	VERB
cblr-2931	171	57	out	out	ADP
cblr-2931	171	58	.	.	PUNCT
cblr-2931	171	59	"	"	PUNCT
cblr-2931	172	1	(	(	PUNCT
cblr-2931	172	2	quoting	quote	VERB
cblr-2931	172	3	joseph	joseph	PROPN
cblr-2931	172	4	story	story	PROPN
cblr-2931	172	5	,	,	PUNCT
cblr-2931	172	6	equity	equity	NOUN
cblr-2931	172	7	jurisprudence	jurisprudence	NOUN
cblr-2931	172	8	190	190	NUM
cblr-2931	172	9	(	(	PUNCT
cblr-2931	172	10	10th	10th	ADJ
cblr-2931	172	11	ed	ed	NOUN
cblr-2931	172	12	.	.	PROPN
cblr-2931	172	13	1870	1870	NUM
cblr-2931	172	14	)	)	PUNCT
cblr-2931	172	15	)	)	PUNCT
cblr-2931	172	16	)	)	PUNCT
cblr-2931	172	17	;	;	PUNCT
cblr-2931	172	18	see	see	VERB
cblr-2931	172	19	also	also	ADV
cblr-2931	172	20	,	,	PUNCT
cblr-2931	172	21	i	i	PRON
cblr-2931	172	22	d.	d.	PROPN
cblr-2931	172	23	at	at	ADP
cblr-2931	172	24	410	410	NUM
cblr-2931	172	25	n.316	n.316	NUM
cblr-2931	172	26	(	(	PUNCT
cblr-2931	172	27	"	"	PUNCT
cblr-2931	172	28	some	some	DET
cblr-2931	172	29	lawyers	lawyer	NOUN
cblr-2931	172	30	talk	talk	VERB
cblr-2931	172	31	as	as	SCONJ
cblr-2931	172	32	though	though	SCONJ
cblr-2931	172	33	they	they	PRON
cblr-2931	172	34	thought	think	VERB
cblr-2931	172	35	maximum	maximum	ADJ
cblr-2931	172	36	clarity	clarity	NOUN
cblr-2931	172	37	always	always	ADV
cblr-2931	172	38	desirable	desirable	VERB
cblr-2931	172	39	even	even	ADV
cblr-2931	172	40	though	though	SCONJ
cblr-2931	172	41	they	they	PRON
cblr-2931	172	42	would	would	AUX
cblr-2931	172	43	n't	not	PART
cblr-2931	172	44	have	have	VERB
cblr-2931	172	45	to	to	PART
cblr-2931	172	46	probe	probe	VERB
cblr-2931	172	47	very	very	ADV
cblr-2931	172	48	deeply	deeply	ADV
cblr-2931	172	49	to	to	PART
cblr-2931	172	50	find	find	VERB
cblr-2931	172	51	that	that	DET
cblr-2931	172	52	fraud	fraud	NOUN
cblr-2931	172	53	,	,	PUNCT
cblr-2931	172	54	and	and	CCONJ
cblr-2931	172	55	fiduciary	fiduciary	ADJ
cblr-2931	172	56	obligation	obligation	NOUN
cblr-2931	172	57	,	,	PUNCT
cblr-2931	172	58	and	and	CCONJ
cblr-2931	172	59	undue	undue	ADJ
cblr-2931	172	60	influence	influence	NOUN
cblr-2931	172	61	,	,	PUNCT
cblr-2931	172	62	have	have	AUX
cblr-2931	172	63	been	be	AUX
cblr-2931	172	64	carefully	carefully	ADV
cblr-2931	172	65	isolated	isolate	VERB
cblr-2931	172	66	from	from	ADP
cblr-2931	172	67	exact	exact	ADJ
cblr-2931	172	68	definition	definition	NOUN
cblr-2931	172	69	,	,	PUNCT
cblr-2931	172	70	because	because	SCONJ
cblr-2931	172	71	such	such	ADJ
cblr-2931	172	72	exact	exact	ADJ
cblr-2931	172	73	definition	definition	NOUN
cblr-2931	172	74	would	would	AUX
cblr-2931	172	75	simply	simply	ADV
cblr-2931	172	76	point	point	VERB
cblr-2931	172	77	out	out	ADP
cblr-2931	172	78	safe	safe	ADJ
cblr-2931	172	79	ways	way	NOUN
cblr-2931	172	80	of	of	ADP
cblr-2931	172	81	immunity	immunity	NOUN
cblr-2931	172	82	,	,	PUNCT
cblr-2931	172	83	and	and	CCONJ
cblr-2931	172	84	,	,	PUNCT
cblr-2931	172	85	to	to	ADP
cblr-2931	172	86	the	the	DET
cblr-2931	172	87	birds	bird	NOUN
cblr-2931	172	88	of	of	ADP
cblr-2931	172	89	prey	prey	NOUN
cblr-2931	172	90	,	,	PUNCT
cblr-2931	172	91	make	make	VERB
cblr-2931	172	92	the	the	DET
cblr-2931	172	93	law	law	NOUN
cblr-2931	172	94	'	'	PUNCT
cblr-2931	172	95	their	their	PRON
cblr-2931	172	96	perch	perch	NOUN
cblr-2931	172	97	and	and	CCONJ
cblr-2931	172	98	not	not	PART
cblr-2931	172	99	their	their	PRON
cblr-2931	172	100	terror	terror	NOUN
cblr-2931	172	101	.	.	PUNCT
cblr-2931	172	102	'	'	PUNCT
cblr-2931	172	103	"	"	PUNCT
cblr-2931	172	104	(	(	PUNCT
cblr-2931	172	105	quoting	quote	VERB
cblr-2931	172	106	charles	charles	PROPN
cblr-2931	172	107	l.	l.	PROPN
cblr-2931	172	108	black	black	PROPN
cblr-2931	172	109	,	,	PUNCT
cblr-2931	172	110	jr	jr	PROPN
cblr-2931	172	111	.	.	PROPN
cblr-2931	172	112	,	,	PUNCT
cblr-2931	172	113	the	the	DET
cblr-2931	172	114	humane	humane	ADJ
cblr-2931	172	115	imagination	imagination	NOUN
cblr-2931	172	116	33	33	NUM
cblr-2931	172	117	(	(	PUNCT
cblr-2931	172	118	1986	1986	NUM
cblr-2931	172	119	)	)	PUNCT
cblr-2931	172	120	)	)	PUNCT
cblr-2931	172	121	.	.	PUNCT
cblr-2931	173	1	2	2	NUM
cblr-2931	173	2	u.s	u.s	PROPN
cblr-2931	173	3	.	.	PROPN
cblr-2931	173	4	v.	v.	PROPN
cblr-2931	173	5	bishop	bishop	PROPN
cblr-2931	173	6	,	,	PUNCT
cblr-2931	173	7	825	825	NUM
cblr-2931	173	8	f.2d	f.2d	NOUN
cblr-2931	173	9	1278	1278	NUM
cblr-2931	173	10	,	,	PUNCT
cblr-2931	173	11	1280	1280	NUM
cblr-2931	173	12	(	(	PUNCT
cblr-2931	173	13	8th	8th	ADJ
cblr-2931	173	14	cir	cir	NOUN
cblr-2931	173	15	.	.	PROPN
cblr-2931	173	16	1987	1987	NUM
cblr-2931	173	17	)	)	PUNCT
cblr-2931	173	18	(	(	PUNCT
cblr-2931	173	19	"	"	PUNCT
cblr-2931	173	20	[	[	X
cblr-2931	173	21	the	the	DET
cblr-2931	173	22	]	]	X
cblr-2931	173	23	law	law	NOUN
cblr-2931	173	24	does	do	AUX
cblr-2931	173	25	not	not	PART
cblr-2931	173	26	define	define	VERB
cblr-2931	173	27	fraud	fraud	NOUN
cblr-2931	173	28	;	;	PUNCT
cblr-2931	173	29	it	it	PRON
cblr-2931	173	30	needs	need	VERB
cblr-2931	173	31	no	no	DET
cblr-2931	173	32	definition	definition	NOUN
cblr-2931	173	33	.	.	PUNCT
cblr-2931	174	1	it	it	PRON
cblr-2931	174	2	is	be	AUX
cblr-2931	174	3	as	as	ADV
cblr-2931	174	4	old	old	ADJ
cblr-2931	174	5	as	as	ADP
cblr-2931	174	6	falsehood	falsehood	NOUN
cblr-2931	174	7	and	and	CCONJ
cblr-2931	174	8	as	as	ADV
cblr-2931	174	9	versatile	versatile	ADV
cblr-2931	174	10	as	as	ADP
cblr-2931	174	11	human	human	ADJ
cblr-2931	174	12	ingenuity	ingenuity	NOUN
cblr-2931	174	13	.	.	PUNCT
cblr-2931	175	1	"	"	PUNCT
cblr-2931	175	2	)	)	PUNCT
cblr-2931	175	3	;	;	PUNCT
cblr-2931	175	4	weiss	weiss	PROPN
cblr-2931	175	5	v.	v.	PROPN
cblr-2931	175	6	u.s	u.s	PROPN
cblr-2931	175	7	.	.	PROPN
cblr-2931	175	8	,	,	PUNCT
cblr-2931	175	9	122	122	NUM
cblr-2931	175	10	f.2d	f.2d	PUNCT
cblr-2931	175	11	675	675	NUM
cblr-2931	175	12	,	,	PUNCT
cblr-2931	175	13	681	681	NUM
cblr-2931	175	14	(	(	PUNCT
cblr-2931	175	15	5th	5th	ADJ
cblr-2931	175	16	cir	cir	NOUN
cblr-2931	175	17	.	.	PROPN
cblr-2931	175	18	1941	1941	NUM
cblr-2931	175	19	)	)	PUNCT
cblr-2931	175	20	(	(	PUNCT
cblr-2931	175	21	"	"	PUNCT
cblr-2931	175	22	the	the	DET
cblr-2931	175	23	law	law	NOUN
cblr-2931	175	24	does	do	AUX
cblr-2931	175	25	not	not	PART
cblr-2931	175	26	define	define	VERB
cblr-2931	175	27	fraud	fraud	NOUN
cblr-2931	175	28	;	;	PUNCT
cblr-2931	175	29	it	it	PRON
cblr-2931	175	30	needs	need	VERB
cblr-2931	175	31	no	no	DET
cblr-2931	175	32	definition	definition	NOUN
cblr-2931	175	33	.	.	PUNCT
cblr-2931	176	1	it	it	PRON
cblr-2931	176	2	is	be	AUX
cblr-2931	176	3	as	as	ADV
cblr-2931	176	4	old	old	ADJ
cblr-2931	176	5	as	as	ADP
cblr-2931	176	6	falsehood	falsehood	NOUN
cblr-2931	176	7	and	and	CCONJ
cblr-2931	176	8	as	as	ADV
cblr-2931	176	9	versable	versable	ADJ
cblr-2931	176	10	as	as	ADP
cblr-2931	176	11	human	human	ADJ
cblr-2931	176	12	ingenuity	ingenuity	NOUN
cblr-2931	176	13	.	.	PUNCT
cblr-2931	177	1	"	"	PUNCT
cblr-2931	177	2	)	)	PUNCT
cblr-2931	177	3	;	;	PUNCT
cblr-2931	177	4	greco	greco	PROPN
cblr-2931	177	5	v.	v.	PROPN
cblr-2931	177	6	state	state	PROPN
cblr-2931	177	7	,	,	PUNCT
cblr-2931	177	8	499	499	NUM
cblr-2931	177	9	a.2d	a.2d	NUM
cblr-2931	177	10	209	209	NUM
cblr-2931	177	11	,	,	PUNCT
cblr-2931	177	12	214	214	NUM
cblr-2931	177	13	(	(	PUNCT
cblr-2931	177	14	md	md	PROPN
cblr-2931	177	15	.	.	PROPN
cblr-2931	177	16	app	app	PROPN
cblr-2931	177	17	.	.	PROPN
cblr-2931	177	18	1985	1985	NUM
cblr-2931	177	19	)	)	PUNCT
cblr-2931	177	20	,	,	PUNCT
cblr-2931	177	21	affd	affd	VERB
cblr-2931	177	22	515	515	NUM
cblr-2931	177	23	a.2d	a.2d	SYM
cblr-2931	177	24	220	220	NUM
cblr-2931	177	25	(	(	PUNCT
cblr-2931	177	26	md	md	PROPN
cblr-2931	177	27	.	.	PROPN
cblr-2931	177	28	1986	1986	NUM
cblr-2931	177	29	)	)	PUNCT
cblr-2931	177	30	(	(	PUNCT
cblr-2931	177	31	"	"	PUNCT
cblr-2931	177	32	courts	court	NOUN
cblr-2931	177	33	have	have	AUX
cblr-2931	177	34	been	be	AUX
cblr-2931	177	35	reluctant	reluctant	ADJ
cblr-2931	177	36	to	to	PART
cblr-2931	177	37	define	define	VERB
cblr-2931	177	38	fraud	fraud	NOUN
cblr-2931	177	39	with	with	ADP
cblr-2931	177	40	any	any	DET
cblr-2931	177	41	degree	degree	NOUN
cblr-2931	177	42	of	of	ADP
cblr-2931	177	43	preciseness	preciseness	NOUN
cblr-2931	177	44	.	.	PUNCT
cblr-2931	177	45	"	"	PUNCT
cblr-2931	177	46	)	)	PUNCT
cblr-2931	177	47	.	.	PUNCT
cblr-2931	178	1	29	29	NUM
cblr-2931	178	2	see	see	VERB
cblr-2931	178	3	,	,	PUNCT
cblr-2931	178	4	e.g.	e.g.	ADV
cblr-2931	178	5	,	,	PUNCT
cblr-2931	178	6	oliver	oliver	PROPN
cblr-2931	178	7	wendell	wendell	PROPN
cblr-2931	178	8	holmes	holmes	PROPN
cblr-2931	178	9	,	,	PUNCT
cblr-2931	178	10	jr	jr	PROPN
cblr-2931	178	11	.	.	PROPN
cblr-2931	178	12	,	,	PUNCT
cblr-2931	178	13	the	the	DET
cblr-2931	178	14	common	common	ADJ
cblr-2931	178	15	law	law	NOUN
cblr-2931	178	16	(	(	PUNCT
cblr-2931	178	17	1909	1909	NUM
cblr-2931	178	18	)	)	PUNCT
cblr-2931	178	19	.	.	PUNCT
cblr-2931	179	1	30	30	NUM
cblr-2931	179	2	see	see	VERB
cblr-2931	179	3	,	,	PUNCT
cblr-2931	179	4	e.g.	e.g.	ADV
cblr-2931	179	5	,	,	PUNCT
cblr-2931	179	6	edward	edward	PROPN
cblr-2931	179	7	l.	l.	PROPN
cblr-2931	179	8	rubin	rubin	PROPN
cblr-2931	179	9	,	,	PUNCT
cblr-2931	179	10	law	law	NOUN
cblr-2931	179	11	and	and	CCONJ
cblr-2931	179	12	legislation	legislation	NOUN
cblr-2931	179	13	in	in	ADP
cblr-2931	179	14	the	the	DET
cblr-2931	179	15	administrative	administrative	ADJ
cblr-2931	179	16	state	state	NOUN
cblr-2931	179	17	,	,	PUNCT
cblr-2931	179	18	89	89	NUM
cblr-2931	179	19	colum	colum	NOUN
cblr-2931	179	20	.	.	PUNCT
cblr-2931	180	1	l.	l.	PROPN
cblr-2931	180	2	rev	rev	PROPN
cblr-2931	180	3	.	.	PROPN
cblr-2931	180	4	369	369	NUM
cblr-2931	180	5	(	(	PUNCT
cblr-2931	180	6	1989	1989	NUM
cblr-2931	180	7	)	)	PUNCT
cblr-2931	180	8	.	.	PUNCT
cblr-2931	181	1	719	719	NUM
cblr-2931	181	2	which	which	DET
cblr-2931	181	3	conduct	conduct	NOUN
cblr-2931	181	4	should	should	AUX
cblr-2931	181	5	be	be	AUX
cblr-2931	181	6	oriented	orient	VERB
cblr-2931	181	7	.	.	PUNCT
cblr-2931	182	1	"3	"3	NOUN
cblr-2931	182	2	1	1	NUM
cblr-2931	182	3	specific	specific	ADJ
cblr-2931	182	4	rules	rule	NOUN
cblr-2931	182	5	respond	respond	VERB
cblr-2931	182	6	more	more	ADV
cblr-2931	182	7	directly	directly	ADV
cblr-2931	182	8	to	to	ADP
cblr-2931	182	9	the	the	DET
cblr-2931	182	10	concern	concern	NOUN
cblr-2931	182	11	that	that	SCONJ
cblr-2931	182	12	people	people	NOUN
cblr-2931	182	13	deserve	deserve	VERB
cblr-2931	182	14	to	to	PART
cblr-2931	182	15	have	have	VERB
cblr-2931	182	16	some	some	DET
cblr-2931	182	17	reasonable	reasonable	ADJ
cblr-2931	182	18	idea	idea	NOUN
cblr-2931	182	19	of	of	ADP
cblr-2931	182	20	what	what	DET
cblr-2931	182	21	conduct	conduct	NOUN
cblr-2931	182	22	is	be	AUX
cblr-2931	182	23	prohibited	prohibit	VERB
cblr-2931	182	24	.	.	PUNCT
cblr-2931	182	25	"	"	PUNCT
cblr-2931	183	1	there	there	PRON
cblr-2931	183	2	are	be	VERB
cblr-2931	183	3	a	a	DET
cblr-2931	183	4	number	number	NOUN
cblr-2931	183	5	of	of	ADP
cblr-2931	183	6	advantages	advantage	NOUN
cblr-2931	183	7	traditionally	traditionally	ADV
cblr-2931	183	8	associated	associate	VERB
cblr-2931	183	9	with	with	ADP
cblr-2931	183	10	a	a	DET
cblr-2931	183	11	rules	rule	NOUN
cblr-2931	183	12	-	-	PUNCT
cblr-2931	183	13	based	base	VERB
cblr-2931	183	14	system	system	NOUN
cblr-2931	183	15	.	.	PUNCT
cblr-2931	184	1	it	it	PRON
cblr-2931	184	2	can	can	AUX
cblr-2931	184	3	be	be	AUX
cblr-2931	184	4	assumed	assume	VERB
cblr-2931	184	5	that	that	SCONJ
cblr-2931	184	6	rules	rule	NOUN
cblr-2931	184	7	may	may	AUX
cblr-2931	184	8	ensure	ensure	VERB
cblr-2931	184	9	even	even	ADV
cblr-2931	184	10	-	-	PUNCT
cblr-2931	184	11	handed	hand	VERB
cblr-2931	184	12	enforcement	enforcement	NOUN
cblr-2931	184	13	-	-	PUNCT
cblr-2931	184	14	a	a	DET
cblr-2931	184	15	specific	specific	ADJ
cblr-2931	184	16	rule	rule	NOUN
cblr-2931	184	17	leaves	leave	VERB
cblr-2931	184	18	no	no	DET
cblr-2931	184	19	room	room	NOUN
cblr-2931	184	20	for	for	ADP
cblr-2931	184	21	discretionary	discretionary	ADJ
cblr-2931	184	22	application	application	NOUN
cblr-2931	184	23	because	because	SCONJ
cblr-2931	184	24	it	it	PRON
cblr-2931	184	25	clearly	clearly	ADV
cblr-2931	184	26	denotes	denote	VERB
cblr-2931	184	27	prohibited	prohibit	VERB
cblr-2931	184	28	or	or	CCONJ
cblr-2931	184	29	proscribed	proscribe	VERB
cblr-2931	184	30	conduct	conduct	NOUN
cblr-2931	184	31	.	.	PUNCT
cblr-2931	184	32	"	"	PUNCT
cblr-2931	185	1	clear	clear	ADJ
cblr-2931	185	2	rules	rule	NOUN
cblr-2931	185	3	are	be	AUX
cblr-2931	185	4	efficient	efficient	ADJ
cblr-2931	185	5	because	because	SCONJ
cblr-2931	185	6	they	they	PRON
cblr-2931	185	7	eliminate	eliminate	VERB
cblr-2931	185	8	the	the	DET
cblr-2931	185	9	need	need	NOUN
cblr-2931	185	10	for	for	ADP
cblr-2931	185	11	interpretive	interpretive	ADJ
cblr-2931	185	12	or	or	CCONJ
cblr-2931	185	13	adjuratory	adjuratory	ADJ
cblr-2931	185	14	supplementation.34	supplementation.34	NOUN
cblr-2931	185	15	they	they	PRON
cblr-2931	185	16	also	also	ADV
cblr-2931	185	17	make	make	VERB
cblr-2931	185	18	it	it	PRON
cblr-2931	185	19	easier	easy	ADJ
cblr-2931	185	20	for	for	SCONJ
cblr-2931	185	21	congress	congress	PROPN
cblr-2931	185	22	to	to	PART
cblr-2931	185	23	evaluate	evaluate	VERB
cblr-2931	185	24	the	the	DET
cblr-2931	185	25	agency	agency	NOUN
cblr-2931	185	26	.	.	PUNCT
cblr-2931	185	27	"	"	PUNCT
cblr-2931	186	1	on	on	ADP
cblr-2931	186	2	the	the	DET
cblr-2931	186	3	other	other	ADJ
cblr-2931	186	4	hand	hand	NOUN
cblr-2931	186	5	,	,	PUNCT
cblr-2931	186	6	specific	specific	ADJ
cblr-2931	186	7	and	and	CCONJ
cblr-2931	186	8	detailed	detailed	ADJ
cblr-2931	186	9	rules	rule	NOUN
cblr-2931	186	10	can	can	AUX
cblr-2931	186	11	hinder	hinder	VERB
cblr-2931	186	12	an	an	DET
cblr-2931	186	13	agency	agency	NOUN
cblr-2931	186	14	in	in	ADP
cblr-2931	186	15	applying	apply	VERB
cblr-2931	186	16	its	its	PRON
cblr-2931	186	17	goals	goal	NOUN
cblr-2931	186	18	because	because	SCONJ
cblr-2931	186	19	of	of	ADP
cblr-2931	186	20	their	their	PRON
cblr-2931	186	21	inherent	inherent	ADJ
cblr-2931	186	22	inflexibility	inflexibility	NOUN
cblr-2931	186	23	.	.	PUNCT
cblr-2931	187	1	it	it	PRON
cblr-2931	187	2	is	be	AUX
cblr-2931	187	3	'	'	PUNCT
cblr-2931	187	4	alfred	alfred	PROPN
cblr-2931	187	5	c.	c.	PROPN
cblr-2931	187	6	aman	aman	PROPN
cblr-2931	187	7	,	,	PUNCT
cblr-2931	187	8	jr	jr	PROPN
cblr-2931	187	9	.	.	PROPN
cblr-2931	187	10	&	&	CCONJ
cblr-2931	187	11	william	william	PROPN
cblr-2931	187	12	t.	t.	PROPN
cblr-2931	187	13	mayton	mayton	PROPN
cblr-2931	187	14	,	,	PUNCT
cblr-2931	187	15	administrative	administrative	ADJ
cblr-2931	187	16	law	law	NOUN
cblr-2931	187	17	37	37	NUM
cblr-2931	187	18	n.1	n.1	NOUN
cblr-2931	187	19	(	(	PUNCT
cblr-2931	187	20	2d	2d	NUM
cblr-2931	187	21	ed	ed	NOUN
cblr-2931	187	22	.	.	PROPN
cblr-2931	187	23	2001	2001	NUM
cblr-2931	187	24	)	)	PUNCT
cblr-2931	187	25	.	.	PUNCT
cblr-2931	188	1	cf	cf	NOUN
cblr-2931	188	2	.	.	PUNCT
cblr-2931	189	1	lawrence	lawrence	PROPN
cblr-2931	189	2	a.	a.	PROPN
cblr-2931	189	3	cunningham	cunningham	PROPN
cblr-2931	189	4	,	,	PUNCT
cblr-2931	189	5	a	a	DET
cblr-2931	189	6	prescription	prescription	NOUN
cblr-2931	189	7	to	to	PART
cblr-2931	189	8	retire	retire	VERB
cblr-2931	189	9	the	the	DET
cblr-2931	189	10	rhetoric	rhetoric	NOUN
cblr-2931	189	11	of	of	ADP
cblr-2931	189	12	"	"	PUNCT
cblr-2931	189	13	principles	principle	NOUN
cblr-2931	189	14	-	-	PUNCT
cblr-2931	189	15	based	base	VERB
cblr-2931	189	16	systems	system	NOUN
cblr-2931	189	17	"	"	PUNCT
cblr-2931	189	18	in	in	ADP
cblr-2931	189	19	corporate	corporate	ADJ
cblr-2931	189	20	law	law	NOUN
cblr-2931	189	21	,	,	PUNCT
cblr-2931	189	22	securities	security	NOUN
cblr-2931	189	23	regulation	regulation	NOUN
cblr-2931	189	24	,	,	PUNCT
cblr-2931	189	25	and	and	CCONJ
cblr-2931	189	26	accounting	accounting	NOUN
cblr-2931	189	27	,	,	PUNCT
cblr-2931	189	28	60	60	NUM
cblr-2931	189	29	vand	vand	NOUN
cblr-2931	189	30	.	.	PUNCT
cblr-2931	190	1	l.	l.	PROPN
cblr-2931	190	2	rev	rev	PROPN
cblr-2931	190	3	.	.	PROPN
cblr-2931	190	4	1411	1411	NUM
cblr-2931	190	5	(	(	PUNCT
cblr-2931	190	6	2007	2007	NUM
cblr-2931	190	7	)	)	PUNCT
cblr-2931	190	8	(	(	PUNCT
cblr-2931	190	9	suggesting	suggest	VERB
cblr-2931	190	10	that	that	SCONJ
cblr-2931	190	11	drawing	draw	VERB
cblr-2931	190	12	a	a	DET
cblr-2931	190	13	distinct	distinct	ADJ
cblr-2931	190	14	dichotomy	dichotomy	NOUN
cblr-2931	190	15	between	between	ADP
cblr-2931	190	16	rules	rule	NOUN
cblr-2931	190	17	and	and	CCONJ
cblr-2931	190	18	principles	principle	NOUN
cblr-2931	190	19	oversimplifies	oversimplify	VERB
cblr-2931	190	20	complexity	complexity	NOUN
cblr-2931	190	21	)	)	PUNCT
cblr-2931	190	22	.	.	PUNCT
cblr-2931	190	23	"	"	PUNCT
cblr-2931	191	1	aman	aman	PROPN
cblr-2931	191	2	&	&	CCONJ
cblr-2931	191	3	mayton	mayton	PROPN
cblr-2931	191	4	,	,	PUNCT
cblr-2931	191	5	supra	supra	PROPN
cblr-2931	191	6	note	note	NOUN
cblr-2931	191	7	31	31	NUM
cblr-2931	191	8	,	,	PUNCT
cblr-2931	191	9	at	at	ADP
cblr-2931	191	10	65	65	NUM
cblr-2931	191	11	;	;	PUNCT
cblr-2931	191	12	see	see	VERB
cblr-2931	191	13	also	also	ADV
cblr-2931	191	14	,	,	PUNCT
cblr-2931	191	15	e.g.	e.g.	ADV
cblr-2931	191	16	,	,	PUNCT
cblr-2931	191	17	gellhorn	gellhorn	PROPN
cblr-2931	191	18	&	&	CCONJ
cblr-2931	191	19	robinson	robinson	PROPN
cblr-2931	191	20	,	,	PUNCT
cblr-2931	191	21	perspectives	perspective	NOUN
cblr-2931	191	22	on	on	ADP
cblr-2931	191	23	administrative	administrative	ADJ
cblr-2931	191	24	law	law	NOUN
cblr-2931	191	25	,	,	PUNCT
cblr-2931	191	26	75	75	NUM
cblr-2931	191	27	colum	colum	NOUN
cblr-2931	191	28	.	.	PUNCT
cblr-2931	192	1	l.	l.	PROPN
cblr-2931	192	2	rev	rev	PROPN
cblr-2931	192	3	.	.	PROPN
cblr-2931	192	4	771	771	NUM
cblr-2931	192	5	,	,	PUNCT
cblr-2931	192	6	792	792	NUM
cblr-2931	192	7	-	-	SYM
cblr-2931	192	8	93	93	NUM
cblr-2931	192	9	(	(	PUNCT
cblr-2931	192	10	1975	1975	NUM
cblr-2931	192	11	)	)	PUNCT
cblr-2931	192	12	(	(	PUNCT
cblr-2931	192	13	discussing	discuss	VERB
cblr-2931	192	14	due	due	ADJ
cblr-2931	192	15	process	process	NOUN
cblr-2931	192	16	and	and	CCONJ
cblr-2931	192	17	vagueness	vagueness	NOUN
cblr-2931	192	18	issues	issue	NOUN
cblr-2931	192	19	)	)	PUNCT
cblr-2931	192	20	.	.	PUNCT
cblr-2931	192	21	'	'	PUNCT
cblr-2931	193	1	aman	aman	PROPN
cblr-2931	193	2	&	&	CCONJ
cblr-2931	193	3	mayton	mayton	PROPN
cblr-2931	193	4	,	,	PUNCT
cblr-2931	193	5	supra	supra	PROPN
cblr-2931	193	6	note	note	NOUN
cblr-2931	193	7	31	31	NUM
cblr-2931	193	8	,	,	PUNCT
cblr-2931	193	9	at	at	ADP
cblr-2931	193	10	66	66	NUM
cblr-2931	193	11	-	-	SYM
cblr-2931	193	12	67	67	NUM
cblr-2931	193	13	.	.	PUNCT
cblr-2931	194	1	regulatory	regulatory	ADJ
cblr-2931	194	2	agencies	agency	NOUN
cblr-2931	194	3	may	may	AUX
cblr-2931	194	4	prefer	prefer	VERB
cblr-2931	194	5	rules	rule	NOUN
cblr-2931	194	6	to	to	ADP
cblr-2931	194	7	standards	standard	NOUN
cblr-2931	194	8	because	because	SCONJ
cblr-2931	194	9	agency	agency	NOUN
cblr-2931	194	10	officials	official	NOUN
cblr-2931	194	11	do	do	AUX
cblr-2931	194	12	not	not	PART
cblr-2931	194	13	have	have	VERB
cblr-2931	194	14	to	to	PART
cblr-2931	194	15	apply	apply	VERB
cblr-2931	194	16	the	the	DET
cblr-2931	194	17	specific	specific	ADJ
cblr-2931	194	18	facts	fact	NOUN
cblr-2931	194	19	of	of	ADP
cblr-2931	194	20	a	a	DET
cblr-2931	194	21	situation	situation	NOUN
cblr-2931	194	22	to	to	ADP
cblr-2931	194	23	a	a	DET
cblr-2931	194	24	general	general	ADJ
cblr-2931	194	25	standard	standard	NOUN
cblr-2931	194	26	and	and	CCONJ
cblr-2931	194	27	make	make	VERB
cblr-2931	194	28	a	a	DET
cblr-2931	194	29	personal	personal	ADJ
cblr-2931	194	30	judgment	judgment	NOUN
cblr-2931	194	31	.	.	PUNCT
cblr-2931	195	1	it	it	PRON
cblr-2931	195	2	has	have	AUX
cblr-2931	195	3	thus	thus	ADV
cblr-2931	195	4	been	be	AUX
cblr-2931	195	5	suggested	suggest	VERB
cblr-2931	195	6	that	that	SCONJ
cblr-2931	195	7	a	a	DET
cblr-2931	195	8	clear	clear	ADJ
cblr-2931	195	9	rule	rule	NOUN
cblr-2931	195	10	makes	make	VERB
cblr-2931	195	11	the	the	DET
cblr-2931	195	12	judgment	judgment	NOUN
cblr-2931	195	13	for	for	ADP
cblr-2931	195	14	agency	agency	NOUN
cblr-2931	195	15	officials	official	NOUN
cblr-2931	195	16	,	,	PUNCT
cblr-2931	195	17	thereby	thereby	ADV
cblr-2931	195	18	"	"	PUNCT
cblr-2931	195	19	enhanc[ing	enhanc[e	VERB
cblr-2931	195	20	]	]	PUNCT
cblr-2931	195	21	routine	routine	ADJ
cblr-2931	195	22	and	and	CCONJ
cblr-2931	195	23	neutrality	neutrality	NOUN
cblr-2931	195	24	.	.	PUNCT
cblr-2931	195	25	"	"	PUNCT
cblr-2931	196	1	i	i	PRON
cblr-2931	196	2	d.	d.	PROPN
cblr-2931	196	3	at	at	ADP
cblr-2931	196	4	67	67	NUM
cblr-2931	196	5	.	.	PUNCT
cblr-2931	197	1	it	it	PRON
cblr-2931	197	2	has	have	AUX
cblr-2931	197	3	further	far	ADV
cblr-2931	197	4	been	be	AUX
cblr-2931	197	5	suggested	suggest	VERB
cblr-2931	197	6	that	that	SCONJ
cblr-2931	197	7	"	"	PUNCT
cblr-2931	197	8	[	[	X
cblr-2931	197	9	tihe	tihe	ADJ
cblr-2931	197	10	private	private	ADJ
cblr-2931	197	11	sector	sector	NOUN
cblr-2931	197	12	tends	tend	VERB
cblr-2931	197	13	to	to	PART
cblr-2931	197	14	conform	conform	VERB
cblr-2931	197	15	to	to	ADP
cblr-2931	197	16	the	the	DET
cblr-2931	197	17	substance	substance	NOUN
cblr-2931	197	18	of	of	ADP
cblr-2931	197	19	agency	agency	NOUN
cblr-2931	197	20	regulations	regulation	NOUN
cblr-2931	197	21	:	:	PUNCT
cblr-2931	197	22	once	once	SCONJ
cblr-2931	197	23	this	this	DET
cblr-2931	197	24	substance	substance	NOUN
cblr-2931	197	25	is	be	AUX
cblr-2931	197	26	settled	settle	VERB
cblr-2931	197	27	and	and	CCONJ
cblr-2931	197	28	then	then	ADV
cblr-2931	197	29	revealed	reveal	VERB
cblr-2931	197	30	.	.	PUNCT
cblr-2931	198	1	as	as	SCONJ
cblr-2931	198	2	the	the	DET
cblr-2931	198	3	private	private	ADJ
cblr-2931	198	4	sector	sector	NOUN
cblr-2931	198	5	by	by	ADP
cblr-2931	198	6	its	its	PRON
cblr-2931	198	7	own	own	ADJ
cblr-2931	198	8	motion	motion	NOUN
cblr-2931	198	9	conforms	conform	VERB
cblr-2931	198	10	to	to	ADP
cblr-2931	198	11	rules	rule	NOUN
cblr-2931	198	12	,	,	PUNCT
cblr-2931	198	13	regulation	regulation	NOUN
cblr-2931	198	14	according	accord	VERB
cblr-2931	198	15	to	to	ADP
cblr-2931	198	16	rules	rule	NOUN
cblr-2931	198	17	reduces	reduce	VERB
cblr-2931	198	18	agency	agency	NOUN
cblr-2931	198	19	enforcement	enforcement	NOUN
cblr-2931	198	20	costs	cost	NOUN
cblr-2931	198	21	.	.	PUNCT
cblr-2931	198	22	"	"	PUNCT
cblr-2931	199	1	i	i	PRON
cblr-2931	199	2	d.	d.	PROPN
cblr-2931	199	3	34	34	NUM
cblr-2931	199	4	see	see	VERB
cblr-2931	199	5	richard	richard	PROPN
cblr-2931	199	6	j.	j.	PROPN
cblr-2931	199	7	pierce	pierce	PROPN
cblr-2931	199	8	,	,	PUNCT
cblr-2931	199	9	jr	jr	PROPN
cblr-2931	199	10	.	.	PROPN
cblr-2931	199	11	,	,	PUNCT
cblr-2931	199	12	administrative	administrative	ADJ
cblr-2931	199	13	law	law	NOUN
cblr-2931	199	14	treatise	treatise	NOUN
cblr-2931	199	15	497	497	NUM
cblr-2931	199	16	-	-	SYM
cblr-2931	199	17	498	498	NUM
cblr-2931	199	18	(	(	PUNCT
cblr-2931	199	19	5th	5th	ADJ
cblr-2931	199	20	ed	ed	NOUN
cblr-2931	199	21	.	.	PROPN
cblr-2931	199	22	2010	2010	NUM
cblr-2931	199	23	)	)	PUNCT
cblr-2931	199	24	(	(	PUNCT
cblr-2931	199	25	"	"	PUNCT
cblr-2931	199	26	rulemaking	rulemaking	NOUN
cblr-2931	199	27	eliminates	eliminate	VERB
cblr-2931	199	28	the	the	DET
cblr-2931	199	29	need	need	NOUN
cblr-2931	199	30	to	to	PART
cblr-2931	199	31	engage	engage	VERB
cblr-2931	199	32	in	in	ADP
cblr-2931	199	33	expensive	expensive	ADJ
cblr-2931	199	34	and	and	CCONJ
cblr-2931	199	35	time	time	NOUN
cblr-2931	199	36	-	-	PUNCT
cblr-2931	199	37	consuming	consume	VERB
cblr-2931	199	38	adjudicatory	adjudicatory	NOUN
cblr-2931	199	39	hearings	hearing	NOUN
cblr-2931	199	40	to	to	PART
cblr-2931	199	41	address	address	VERB
cblr-2931	199	42	issues	issue	NOUN
cblr-2931	199	43	of	of	ADP
cblr-2931	199	44	legislative	legislative	ADJ
cblr-2931	199	45	fact	fact	NOUN
cblr-2931	199	46	;	;	PUNCT
cblr-2931	199	47	rulemaking	rulemaking	NOUN
cblr-2931	199	48	eliminates	eliminate	VERB
cblr-2931	199	49	the	the	DET
cblr-2931	199	50	need	need	NOUN
cblr-2931	199	51	to	to	PART
cblr-2931	199	52	relitigate	relitigate	VERB
cblr-2931	199	53	recurring	recur	VERB
cblr-2931	199	54	issues	issue	NOUN
cblr-2931	199	55	;	;	PUNCT
cblr-2931	199	56	and	and	CCONJ
cblr-2931	199	57	rules	rule	NOUN
cblr-2931	199	58	created	create	VERB
cblr-2931	199	59	through	through	ADP
cblr-2931	199	60	rulemaking	rulemaking	NOUN
cblr-2931	199	61	are	be	AUX
cblr-2931	199	62	easier	easy	ADJ
cblr-2931	199	63	and	and	CCONJ
cblr-2931	199	64	less	less	ADV
cblr-2931	199	65	expensive	expensive	ADJ
cblr-2931	199	66	to	to	PART
cblr-2931	199	67	enforce	enforce	VERB
cblr-2931	199	68	and	and	CCONJ
cblr-2931	199	69	to	to	PART
cblr-2931	199	70	implement	implement	VERB
cblr-2931	199	71	than	than	SCONJ
cblr-2931	199	72	are	be	AUX
cblr-2931	199	73	'	'	PUNCT
cblr-2931	199	74	rules	rule	NOUN
cblr-2931	199	75	'	'	PUNCT
cblr-2931	199	76	announced	announce	VERB
cblr-2931	199	77	in	in	ADP
cblr-2931	199	78	the	the	DET
cblr-2931	199	79	course	course	NOUN
cblr-2931	199	80	of	of	ADP
cblr-2931	199	81	adjudicating	adjudicate	VERB
cblr-2931	199	82	specific	specific	ADJ
cblr-2931	199	83	disputes	dispute	NOUN
cblr-2931	199	84	.	.	PUNCT
cblr-2931	199	85	"	"	PUNCT
cblr-2931	199	86	)	)	PUNCT
cblr-2931	199	87	.	.	PUNCT
cblr-2931	200	1	"	"	PUNCT
cblr-2931	201	1	i	i	PRON
cblr-2931	201	2	d.	d.	PROPN
cblr-2931	201	3	(	(	PUNCT
cblr-2931	201	4	observing	observe	VERB
cblr-2931	201	5	that	that	SCONJ
cblr-2931	201	6	because	because	SCONJ
cblr-2931	201	7	an	an	DET
cblr-2931	201	8	agency	agency	NOUN
cblr-2931	201	9	must	must	AUX
cblr-2931	201	10	issue	issue	VERB
cblr-2931	201	11	a	a	DET
cblr-2931	201	12	public	public	ADJ
cblr-2931	201	13	notice	notice	NOUN
cblr-2931	201	14	of	of	ADP
cblr-2931	201	15	a	a	DET
cblr-2931	201	16	proposed	propose	VERB
cblr-2931	201	17	rule	rule	NOUN
cblr-2931	201	18	before	before	ADP
cblr-2931	201	19	enacting	enact	VERB
cblr-2931	201	20	the	the	DET
cblr-2931	201	21	rule	rule	NOUN
cblr-2931	201	22	,	,	PUNCT
cblr-2931	201	23	the	the	DET
cblr-2931	201	24	public	public	NOUN
cblr-2931	201	25	has	have	VERB
cblr-2931	201	26	a	a	DET
cblr-2931	201	27	chance	chance	NOUN
cblr-2931	201	28	to	to	PART
cblr-2931	201	29	alert	alert	VERB
cblr-2931	201	30	congress	congress	PROPN
cblr-2931	201	31	and	and	CCONJ
cblr-2931	201	32	the	the	DET
cblr-2931	201	33	president	president	NOUN
cblr-2931	201	34	of	of	ADP
cblr-2931	201	35	the	the	DET
cblr-2931	201	36	proposed	propose	VERB
cblr-2931	201	37	rule	rule	NOUN
cblr-2931	201	38	)	)	PUNCT
cblr-2931	201	39	.	.	PUNCT
cblr-2931	202	1	720	720	NUM
cblr-2931	202	2	columia	columia	NOUN
cblr-2931	202	3	business	business	NOUN
cblr-2931	202	4	law	law	NOUN
cblr-2931	202	5	review	review	NOUN
cblr-2931	202	6	[	[	X
cblr-2931	202	7	vol	vol	NOUN
cblr-2931	202	8	.	.	PUNCT
cblr-2931	202	9	2010	2010	NUM
cblr-2931	202	10	no	no	NOUN
cblr-2931	202	11	.	.	PUNCT
cblr-2931	203	1	3:710	3:710	NUM
cblr-2931	203	2	]	]	PUNCT
cblr-2931	203	3	are	be	AUX
cblr-2931	203	4	existing	exist	VERB
cblr-2931	203	5	stock	stock	NOUN
cblr-2931	203	6	broker	broker	NOUN
cblr-2931	203	7	standards	standard	NOUN
cblr-2931	203	8	sufficient	sufficient	ADJ
cblr-2931	203	9	?	?	PUNCT
cblr-2931	204	1	problematic	problematic	ADJ
cblr-2931	204	2	to	to	PART
cblr-2931	204	3	apply	apply	VERB
cblr-2931	204	4	strict	strict	ADJ
cblr-2931	204	5	rules	rule	NOUN
cblr-2931	204	6	to	to	ADP
cblr-2931	204	7	a	a	DET
cblr-2931	204	8	situation	situation	NOUN
cblr-2931	204	9	that	that	PRON
cblr-2931	204	10	does	do	AUX
cblr-2931	204	11	not	not	PART
cblr-2931	204	12	neatly	neatly	ADV
cblr-2931	204	13	fit	fit	VERB
cblr-2931	204	14	into	into	ADP
cblr-2931	204	15	the	the	DET
cblr-2931	204	16	rules	rule	NOUN
cblr-2931	204	17	.	.	PUNCT
cblr-2931	205	1	standards	standard	NOUN
cblr-2931	205	2	,	,	PUNCT
cblr-2931	205	3	on	on	ADP
cblr-2931	205	4	the	the	DET
cblr-2931	205	5	other	other	ADJ
cblr-2931	205	6	hand	hand	NOUN
cblr-2931	205	7	,	,	PUNCT
cblr-2931	205	8	permit	permit	NOUN
cblr-2931	205	9	agencies	agency	NOUN
cblr-2931	205	10	to	to	PART
cblr-2931	205	11	apply	apply	VERB
cblr-2931	205	12	principles	principle	NOUN
cblr-2931	205	13	to	to	ADP
cblr-2931	205	14	the	the	DET
cblr-2931	205	15	unique	unique	ADJ
cblr-2931	205	16	facts	fact	NOUN
cblr-2931	205	17	of	of	ADP
cblr-2931	205	18	each	each	DET
cblr-2931	205	19	case	case	NOUN
cblr-2931	205	20	in	in	ADP
cblr-2931	205	21	furtherance	furtherance	NOUN
cblr-2931	205	22	of	of	ADP
cblr-2931	205	23	the	the	DET
cblr-2931	205	24	overall	overall	ADJ
cblr-2931	205	25	goal	goal	NOUN
cblr-2931	205	26	of	of	ADP
cblr-2931	205	27	the	the	DET
cblr-2931	205	28	agency	agency	NOUN
cblr-2931	205	29	.	.	PUNCT
cblr-2931	205	30	"	"	PUNCT
cblr-2931	206	1	of	of	ADP
cblr-2931	206	2	course	course	NOUN
cblr-2931	206	3	,	,	PUNCT
cblr-2931	206	4	it	it	PRON
cblr-2931	206	5	is	be	AUX
cblr-2931	206	6	necessary	necessary	ADJ
cblr-2931	206	7	to	to	PART
cblr-2931	206	8	state	state	VERB
cblr-2931	206	9	the	the	DET
cblr-2931	206	10	standards	standard	NOUN
cblr-2931	206	11	in	in	ADP
cblr-2931	206	12	such	such	DET
cblr-2931	206	13	a	a	DET
cblr-2931	206	14	way	way	NOUN
cblr-2931	206	15	as	as	SCONJ
cblr-2931	206	16	to	to	PART
cblr-2931	206	17	make	make	VERB
cblr-2931	206	18	it	it	PRON
cblr-2931	206	19	clear	clear	ADJ
cblr-2931	206	20	what	what	PRON
cblr-2931	206	21	the	the	DET
cblr-2931	206	22	guiding	guide	VERB
cblr-2931	206	23	principles	principle	NOUN
cblr-2931	206	24	are	be	AUX
cblr-2931	206	25	.	.	PUNCT
cblr-2931	207	1	thus	thus	ADV
cblr-2931	207	2	,	,	PUNCT
cblr-2931	207	3	there	there	PRON
cblr-2931	207	4	is	be	VERB
cblr-2931	207	5	no	no	DET
cblr-2931	207	6	one	one	NUM
cblr-2931	207	7	-	-	PUNCT
cblr-2931	207	8	size	size	NOUN
cblr-2931	207	9	-	-	PUNCT
cblr-2931	207	10	fits	fit	VERB
cblr-2931	207	11	-	-	PUNCT
cblr-2931	207	12	all	all	PRON
cblr-2931	207	13	answer	answer	NOUN
cblr-2931	207	14	to	to	ADP
cblr-2931	207	15	the	the	DET
cblr-2931	207	16	appropriate	appropriate	ADJ
cblr-2931	207	17	balance	balance	NOUN
cblr-2931	207	18	between	between	ADP
cblr-2931	207	19	specific	specific	ADJ
cblr-2931	207	20	rules	rule	NOUN
cblr-2931	207	21	and	and	CCONJ
cblr-2931	207	22	more	more	ADV
cblr-2931	207	23	generalized	generalized	ADJ
cblr-2931	207	24	standards	standard	NOUN
cblr-2931	207	25	and	and	CCONJ
cblr-2931	207	26	principles	principle	NOUN
cblr-2931	207	27	.	.	PUNCT
cblr-2931	208	1	there	there	PRON
cblr-2931	208	2	is	be	VERB
cblr-2931	208	3	no	no	DET
cblr-2931	208	4	easy	easy	ADJ
cblr-2931	208	5	solution	solution	NOUN
cblr-2931	208	6	since	since	SCONJ
cblr-2931	208	7	some	some	DET
cblr-2931	208	8	areas	area	NOUN
cblr-2931	208	9	of	of	ADP
cblr-2931	208	10	regulation	regulation	NOUN
cblr-2931	208	11	are	be	AUX
cblr-2931	208	12	more	more	ADV
cblr-2931	208	13	suited	suited	ADJ
cblr-2931	208	14	to	to	ADP
cblr-2931	208	15	specific	specific	ADJ
cblr-2931	208	16	rules	rule	NOUN
cblr-2931	208	17	while	while	SCONJ
cblr-2931	208	18	others	other	NOUN
cblr-2931	208	19	lend	lend	VERB
cblr-2931	208	20	themselves	themselves	PRON
cblr-2931	208	21	to	to	ADP
cblr-2931	208	22	a	a	DET
cblr-2931	208	23	more	more	ADJ
cblr-2931	208	24	principles	principle	NOUN
cblr-2931	208	25	-	-	PUNCT
cblr-2931	208	26	based	base	VERB
cblr-2931	208	27	approach	approach	NOUN
cblr-2931	208	28	.	.	PUNCT
cblr-2931	209	1	an	an	DET
cblr-2931	209	2	optimal	optimal	ADJ
cblr-2931	209	3	balance	balance	NOUN
cblr-2931	209	4	of	of	ADP
cblr-2931	209	5	rules	rule	NOUN
cblr-2931	209	6	and	and	CCONJ
cblr-2931	209	7	standards	standard	NOUN
cblr-2931	209	8	will	will	AUX
cblr-2931	209	9	"	"	PUNCT
cblr-2931	209	10	channel	channel	VERB
cblr-2931	209	11	the	the	DET
cblr-2931	209	12	discretion	discretion	NOUN
cblr-2931	209	13	of	of	ADP
cblr-2931	209	14	public	public	ADJ
cblr-2931	209	15	officials	official	NOUN
cblr-2931	209	16	"	"	PUNCT
cblr-2931	209	17	without	without	ADP
cblr-2931	209	18	stripping	strip	VERB
cblr-2931	209	19	regulators	regulator	NOUN
cblr-2931	209	20	of	of	ADP
cblr-2931	209	21	their	their	PRON
cblr-2931	209	22	ability	ability	NOUN
cblr-2931	209	23	to	to	PART
cblr-2931	209	24	use	use	VERB
cblr-2931	209	25	judgment	judgment	NOUN
cblr-2931	209	26	where	where	SCONJ
cblr-2931	209	27	appropriate	appropriate	ADJ
cblr-2931	209	28	.	.	PUNCT
cblr-2931	209	29	"	"	PUNCT
cblr-2931	210	1	the	the	DET
cblr-2931	210	2	supreme	supreme	PROPN
cblr-2931	210	3	court	court	PROPN
cblr-2931	210	4	in	in	ADP
cblr-2931	210	5	sec	sec	PROPN
cblr-2931	210	6	v.	v.	ADP
cblr-2931	210	7	chenery	chenery	PROPN
cblr-2931	210	8	stated	state	VERB
cblr-2931	210	9	that	that	SCONJ
cblr-2931	210	10	an	an	DET
cblr-2931	210	11	agency	agency	NOUN
cblr-2931	210	12	can	can	AUX
cblr-2931	210	13	not	not	PART
cblr-2931	210	14	foresee	foresee	VERB
cblr-2931	210	15	every	every	DET
cblr-2931	210	16	situation	situation	NOUN
cblr-2931	210	17	that	that	PRON
cblr-2931	210	18	may	may	AUX
cblr-2931	210	19	occur	occur	VERB
cblr-2931	210	20	and	and	CCONJ
cblr-2931	210	21	thus	thus	ADV
cblr-2931	210	22	can	can	AUX
cblr-2931	210	23	not	not	PART
cblr-2931	210	24	account	account	VERB
cblr-2931	210	25	for	for	ADP
cblr-2931	210	26	every	every	DET
cblr-2931	210	27	situation	situation	NOUN
cblr-2931	210	28	with	with	ADP
cblr-2931	210	29	a	a	DET
cblr-2931	210	30	rule	rule	NOUN
cblr-2931	210	31	for	for	ADP
cblr-2931	210	32	that	that	DET
cblr-2931	210	33	situation	situation	NOUN
cblr-2931	210	34	,	,	PUNCT
cblr-2931	210	35	aptly	aptly	ADV
cblr-2931	210	36	identifying	identify	VERB
cblr-2931	210	37	the	the	DET
cblr-2931	210	38	advantages	advantage	NOUN
cblr-2931	210	39	of	of	ADP
cblr-2931	210	40	standards	standard	NOUN
cblr-2931	210	41	and	and	CCONJ
cblr-2931	210	42	agency	agency	NOUN
cblr-2931	210	43	flexibility	flexibility	NOUN
cblr-2931	210	44	in	in	ADP
cblr-2931	210	45	achieving	achieve	VERB
cblr-2931	210	46	goals	goal	NOUN
cblr-2931	210	47	.	.	PUNCT
cblr-2931	210	48	"	"	PUNCT
cblr-2931	211	1	"	"	PUNCT
cblr-2931	211	2	aman	aman	PROPN
cblr-2931	211	3	&	&	CCONJ
cblr-2931	211	4	mayton	mayton	PROPN
cblr-2931	211	5	,	,	PUNCT
cblr-2931	211	6	supra	supra	PROPN
cblr-2931	211	7	note	note	NOUN
cblr-2931	211	8	31	31	NUM
cblr-2931	211	9	,	,	PUNCT
cblr-2931	211	10	at	at	ADP
cblr-2931	211	11	67	67	NUM
cblr-2931	211	12	;	;	PUNCT
cblr-2931	211	13	see	see	VERB
cblr-2931	211	14	also	also	ADV
cblr-2931	211	15	,	,	PUNCT
cblr-2931	211	16	e.g.	e.g.	ADV
cblr-2931	211	17	,	,	PUNCT
cblr-2931	211	18	cristie	cristie	PROPN
cblr-2931	211	19	l.	l.	PROPN
cblr-2931	211	20	ford	ford	PROPN
cblr-2931	211	21	,	,	PUNCT
cblr-2931	211	22	new	new	ADJ
cblr-2931	211	23	governance	governance	NOUN
cblr-2931	211	24	,	,	PUNCT
cblr-2931	211	25	compliance	compliance	NOUN
cblr-2931	211	26	,	,	PUNCT
cblr-2931	211	27	and	and	CCONJ
cblr-2931	211	28	principles	principle	NOUN
cblr-2931	211	29	-	-	PUNCT
cblr-2931	211	30	based	base	VERB
cblr-2931	211	31	securities	security	NOUN
cblr-2931	211	32	regulation	regulation	NOUN
cblr-2931	211	33	,	,	PUNCT
cblr-2931	211	34	45	45	NUM
cblr-2931	211	35	am	am	NOUN
cblr-2931	211	36	.	.	PUNCT
cblr-2931	212	1	bus	bus	NOUN
cblr-2931	212	2	.	.	PUNCT
cblr-2931	213	1	l.	l.	PROPN
cblr-2931	213	2	j.	j.	PROPN
cblr-2931	213	3	1	1	PROPN
cblr-2931	213	4	,	,	PUNCT
cblr-2931	213	5	2	2	NUM
cblr-2931	213	6	(	(	PUNCT
cblr-2931	213	7	2008	2008	NUM
cblr-2931	213	8	)	)	PUNCT
cblr-2931	213	9	(	(	PUNCT
cblr-2931	213	10	suggesting	suggest	VERB
cblr-2931	213	11	principles	principle	NOUN
cblr-2931	213	12	-	-	PUNCT
cblr-2931	213	13	based	base	VERB
cblr-2931	213	14	securities	security	NOUN
cblr-2931	213	15	regulation	regulation	NOUN
cblr-2931	213	16	as	as	ADP
cblr-2931	213	17	a	a	DET
cblr-2931	213	18	new	new	ADJ
cblr-2931	213	19	governance	governance	NOUN
cblr-2931	213	20	regime	regime	NOUN
cblr-2931	213	21	-	-	PUNCT
cblr-2931	213	22	one	one	NUM
cblr-2931	213	23	that	that	PRON
cblr-2931	213	24	uses	use	VERB
cblr-2931	213	25	innovative	innovative	ADJ
cblr-2931	213	26	,	,	PUNCT
cblr-2931	213	27	pragmatic	pragmatic	ADJ
cblr-2931	213	28	,	,	PUNCT
cblr-2931	213	29	information	information	NOUN
cblr-2931	213	30	-	-	PUNCT
cblr-2931	213	31	based	base	VERB
cblr-2931	213	32	,	,	PUNCT
cblr-2931	213	33	iterative	iterative	NOUN
cblr-2931	213	34	,	,	PUNCT
cblr-2931	213	35	and	and	CCONJ
cblr-2931	213	36	dialogic	dialogic	ADJ
cblr-2931	213	37	mechanisms	mechanism	NOUN
cblr-2931	213	38	to	to	PART
cblr-2931	213	39	gather	gather	VERB
cblr-2931	213	40	,	,	PUNCT
cblr-2931	213	41	distill	distill	VERB
cblr-2931	213	42	,	,	PUNCT
cblr-2931	213	43	and	and	CCONJ
cblr-2931	213	44	leverage	leverage	NOUN
cblr-2931	213	45	industry	industry	NOUN
cblr-2931	213	46	learning	learning	NOUN
cblr-2931	213	47	in	in	ADP
cblr-2931	213	48	the	the	DET
cblr-2931	213	49	service	service	NOUN
cblr-2931	213	50	of	of	ADP
cblr-2931	213	51	a	a	DET
cblr-2931	213	52	stillrobust	stillrobust	NOUN
cblr-2931	213	53	but	but	CCONJ
cblr-2931	213	54	better	well	ADV
cblr-2931	213	55	designed	design	VERB
cblr-2931	213	56	,	,	PUNCT
cblr-2931	213	57	that	that	ADV
cblr-2931	213	58	is	is	ADV
cblr-2931	213	59	,	,	PUNCT
cblr-2931	213	60	more	more	ADV
cblr-2931	213	61	effective	effective	ADJ
cblr-2931	213	62	and	and	CCONJ
cblr-2931	213	63	less	less	ADV
cblr-2931	213	64	burdensome	burdensome	ADJ
cblr-2931	213	65	,	,	PUNCT
cblr-2931	213	66	public	public	ADJ
cblr-2931	213	67	regulatory	regulatory	ADJ
cblr-2931	213	68	mandate	mandate	NOUN
cblr-2931	213	69	)	)	PUNCT
cblr-2931	213	70	.	.	PUNCT
cblr-2931	213	71	"	"	PUNCT
cblr-2931	214	1	aman	aman	PROPN
cblr-2931	214	2	&	&	CCONJ
cblr-2931	214	3	mayton	mayton	PROPN
cblr-2931	214	4	,	,	PUNCT
cblr-2931	214	5	supra	supra	PROPN
cblr-2931	214	6	note	note	NOUN
cblr-2931	214	7	31	31	NUM
cblr-2931	214	8	,	,	PUNCT
cblr-2931	214	9	at	at	ADP
cblr-2931	214	10	67	67	NUM
cblr-2931	214	11	n.9	n.9	NOUN
cblr-2931	214	12	(	(	PUNCT
cblr-2931	214	13	citing	cite	VERB
cblr-2931	214	14	colin	colin	PROPN
cblr-2931	214	15	s.	s.	PROPN
cblr-2931	214	16	diver	diver	PROPN
cblr-2931	214	17	,	,	PUNCT
cblr-2931	214	18	the	the	DET
cblr-2931	214	19	optimal	optimal	ADJ
cblr-2931	214	20	precision	precision	NOUN
cblr-2931	214	21	ofadministrative	ofadministrative	ADJ
cblr-2931	214	22	rules	rule	NOUN
cblr-2931	214	23	,	,	PUNCT
cblr-2931	214	24	93	93	NUM
cblr-2931	214	25	yale	yale	PROPN
cblr-2931	214	26	l.j	l.j	PROPN
cblr-2931	214	27	.	.	PROPN
cblr-2931	214	28	65	65	NUM
cblr-2931	214	29	(	(	PUNCT
cblr-2931	214	30	1983	1983	NUM
cblr-2931	214	31	)	)	PUNCT
cblr-2931	214	32	)	)	PUNCT
cblr-2931	214	33	.	.	PUNCT
cblr-2931	215	1	332	332	NUM
cblr-2931	215	2	u.s	u.s	PROPN
cblr-2931	215	3	.	.	PROPN
cblr-2931	215	4	194	194	NUM
cblr-2931	215	5	,	,	PUNCT
cblr-2931	215	6	202	202	NUM
cblr-2931	215	7	-	-	SYM
cblr-2931	215	8	03	03	NUM
cblr-2931	215	9	(	(	PUNCT
cblr-2931	215	10	1947	1947	NUM
cblr-2931	215	11	)	)	PUNCT
cblr-2931	215	12	(	(	PUNCT
cblr-2931	215	13	"	"	PUNCT
cblr-2931	215	14	[	[	X
cblr-2931	215	15	plroblems	plroblem	NOUN
cblr-2931	215	16	may	may	AUX
cblr-2931	215	17	arise	arise	VERB
cblr-2931	215	18	in	in	ADP
cblr-2931	215	19	a	a	DET
cblr-2931	215	20	case	case	NOUN
cblr-2931	215	21	which	which	PRON
cblr-2931	215	22	the	the	DET
cblr-2931	215	23	administrative	administrative	ADJ
cblr-2931	215	24	agency	agency	NOUN
cblr-2931	215	25	could	could	AUX
cblr-2931	215	26	not	not	PART
cblr-2931	215	27	reasonably	reasonably	ADV
cblr-2931	215	28	foresee	foresee	VERB
cblr-2931	215	29	.	.	PUNCT
cblr-2931	215	30	.	.	PUNCT
cblr-2931	215	31	.	.	PUNCT
cblr-2931	216	1	[	[	X
cblr-2931	216	2	or	or	CCONJ
cblr-2931	216	3	]	]	X
cblr-2931	216	4	the	the	DET
cblr-2931	216	5	problems	problem	NOUN
cblr-2931	216	6	might	might	AUX
cblr-2931	216	7	be	be	AUX
cblr-2931	216	8	so	so	ADV
cblr-2931	216	9	specialized	specialized	ADJ
cblr-2931	216	10	and	and	CCONJ
cblr-2931	216	11	varying	vary	VERB
cblr-2931	216	12	in	in	ADP
cblr-2931	216	13	nature	nature	NOUN
cblr-2931	216	14	as	as	SCONJ
cblr-2931	216	15	to	to	PART
cblr-2931	216	16	be	be	AUX
cblr-2931	216	17	impossible	impossible	ADJ
cblr-2931	216	18	of	of	ADP
cblr-2931	216	19	capture	capture	NOUN
cblr-2931	216	20	within	within	ADP
cblr-2931	216	21	the	the	DET
cblr-2931	216	22	boundaries	boundary	NOUN
cblr-2931	216	23	of	of	ADP
cblr-2931	216	24	a	a	DET
cblr-2931	216	25	general	general	ADJ
cblr-2931	216	26	rule	rule	NOUN
cblr-2931	216	27	.	.	PUNCT
cblr-2931	216	28	"	"	PUNCT
cblr-2931	216	29	)	)	PUNCT
cblr-2931	216	30	;	;	PUNCT
cblr-2931	216	31	see	see	VERB
cblr-2931	216	32	also	also	ADV
cblr-2931	216	33	,	,	PUNCT
cblr-2931	216	34	e.g.	e.g.	ADV
cblr-2931	216	35	,	,	PUNCT
cblr-2931	216	36	aman	aman	PROPN
cblr-2931	216	37	&	&	CCONJ
cblr-2931	216	38	mayton	mayton	PROPN
cblr-2931	216	39	,	,	PUNCT
cblr-2931	216	40	supra	supra	PROPN
cblr-2931	216	41	note	note	NOUN
cblr-2931	216	42	31	31	NUM
cblr-2931	216	43	,	,	PUNCT
cblr-2931	216	44	at	at	ADP
cblr-2931	216	45	104	104	NUM
cblr-2931	216	46	(	(	PUNCT
cblr-2931	216	47	"	"	PUNCT
cblr-2931	216	48	for	for	ADP
cblr-2931	216	49	instance	instance	NOUN
cblr-2931	216	50	,	,	PUNCT
cblr-2931	216	51	the	the	DET
cblr-2931	216	52	securities	securities	PROPN
cblr-2931	216	53	exchange	exchange	PROPN
cblr-2931	216	54	commission	commission	PROPN
cblr-2931	216	55	developed	develop	VERB
cblr-2931	216	56	its	its	PRON
cblr-2931	216	57	standard	standard	NOUN
cblr-2931	216	58	restricting	restrict	VERB
cblr-2931	216	59	the	the	DET
cblr-2931	216	60	use	use	NOUN
cblr-2931	216	61	of	of	ADP
cblr-2931	216	62	inside	inside	ADJ
cblr-2931	216	63	information	information	NOUN
cblr-2931	216	64	by	by	ADP
cblr-2931	216	65	stockbrokers	stockbroker	NOUN
cblr-2931	216	66	by	by	ADP
cblr-2931	216	67	adjudication	adjudication	NOUN
cblr-2931	216	68	rather	rather	ADV
cblr-2931	216	69	than	than	ADP
cblr-2931	216	70	by	by	ADP
cblr-2931	216	71	rulemaking	rulemaking	NOUN
cblr-2931	216	72	.	.	PUNCT
cblr-2931	217	1	as	as	SCONJ
cblr-2931	217	2	described	describe	VERB
cblr-2931	217	3	by	by	ADP
cblr-2931	217	4	professor	professor	PROPN
cblr-2931	217	5	william	william	PROPN
cblr-2931	217	6	cary	cary	PROPN
cblr-2931	217	7	,	,	PUNCT
cblr-2931	217	8	a	a	DET
cblr-2931	217	9	past	past	ADJ
cblr-2931	217	10	chairman	chairman	NOUN
cblr-2931	217	11	of	of	ADP
cblr-2931	217	12	the	the	DET
cblr-2931	217	13	commission	commission	NOUN
cblr-2931	217	14	,	,	PUNCT
cblr-2931	217	15	that	that	DET
cblr-2931	217	16	body	body	NOUN
cblr-2931	217	17	chose	choose	VERB
cblr-2931	217	18	adjudication	adjudication	NOUN
cblr-2931	217	19	because	because	SCONJ
cblr-2931	217	20	it	it	PRON
cblr-2931	217	21	not	not	PART
cblr-2931	217	22	[	[	X
cblr-2931	217	23	sic	sic	ADJ
cblr-2931	217	24	]	]	X
cblr-2931	217	25	wish	wish	VERB
cblr-2931	217	26	to	to	PART
cblr-2931	217	27	deal	deal	VERB
cblr-2931	217	28	with	with	ADP
cblr-2931	217	29	inputs	input	NOUN
cblr-2931	217	30	and	and	CCONJ
cblr-2931	217	31	objections	objection	NOUN
cblr-2931	217	32	from	from	ADP
cblr-2931	217	33	the	the	DET
cblr-2931	217	34	stock	stock	NOUN
cblr-2931	217	35	exchanges	exchange	NOUN
cblr-2931	217	36	and	and	CCONJ
cblr-2931	217	37	brokerage	brokerage	NOUN
cblr-2931	217	38	firms	firm	NOUN
cblr-2931	217	39	as	as	SCONJ
cblr-2931	217	40	would	would	AUX
cblr-2931	217	41	have	have	AUX
cblr-2931	217	42	been	be	AUX
cblr-2931	217	43	the	the	DET
cblr-2931	217	44	case	case	NOUN
cblr-2931	217	45	with	with	ADP
cblr-2931	217	46	rulemaking	rulemaking	NOUN
cblr-2931	217	47	.	.	PUNCT
cblr-2931	217	48	"	"	PUNCT
cblr-2931	217	49	)	)	PUNCT
cblr-2931	217	50	(	(	PUNCT
cblr-2931	217	51	citing	cite	VERB
cblr-2931	217	52	william	william	PROPN
cblr-2931	217	53	cary	cary	PROPN
cblr-2931	217	54	,	,	PUNCT
cblr-2931	217	55	politics	politic	NOUN
cblr-2931	217	56	and	and	CCONJ
cblr-2931	217	57	the	the	DET
cblr-2931	217	58	regulatory	regulatory	ADJ
cblr-2931	217	59	agencies	agency	NOUN
cblr-2931	217	60	82	82	NUM
cblr-2931	217	61	-	-	SYM
cblr-2931	217	62	85	85	NUM
cblr-2931	217	63	(	(	PUNCT
cblr-2931	217	64	1967	1967	NUM
cblr-2931	217	65	)	)	PUNCT
cblr-2931	217	66	)	)	PUNCT
cblr-2931	217	67	.	.	PUNCT
cblr-2931	218	1	721	721	NUM
cblr-2931	218	2	columbia	columbia	PROPN
cblr-2931	218	3	business	business	PROPN
cblr-2931	218	4	law	law	PROPN
cblr-2931	218	5	review	review	NOUN
cblr-2931	218	6	professor	professor	NOUN
cblr-2931	218	7	diver	diver	NOUN
cblr-2931	218	8	makes	make	VERB
cblr-2931	218	9	the	the	DET
cblr-2931	218	10	point	point	NOUN
cblr-2931	218	11	that	that	SCONJ
cblr-2931	218	12	there	there	PRON
cblr-2931	218	13	are	be	VERB
cblr-2931	218	14	three	three	NUM
cblr-2931	218	15	dimensions	dimension	NOUN
cblr-2931	218	16	to	to	ADP
cblr-2931	218	17	regulation	regulation	NOUN
cblr-2931	218	18	by	by	ADP
cblr-2931	218	19	administrative	administrative	ADJ
cblr-2931	218	20	agencies	agency	NOUN
cblr-2931	218	21	.	.	PUNCT
cblr-2931	219	1	first	first	ADV
cblr-2931	219	2	,	,	PUNCT
cblr-2931	219	3	there	there	PRON
cblr-2931	219	4	is	be	VERB
cblr-2931	219	5	transparency	transparency	NOUN
cblr-2931	219	6	:	:	PUNCT
cblr-2931	219	7	a	a	DET
cblr-2931	219	8	rule	rule	NOUN
cblr-2931	219	9	is	be	AUX
cblr-2931	219	10	transparent	transparent	ADJ
cblr-2931	219	11	if	if	SCONJ
cblr-2931	219	12	it	it	PRON
cblr-2931	219	13	uses	uses	AUX
cblr-2931	219	14	welldefined	welldefine	VERB
cblr-2931	219	15	words	word	NOUN
cblr-2931	219	16	that	that	PRON
cblr-2931	219	17	are	be	AUX
cblr-2931	219	18	unambiguous	unambiguous	ADJ
cblr-2931	219	19	to	to	ADP
cblr-2931	219	20	the	the	DET
cblr-2931	219	21	audience	audience	NOUN
cblr-2931	219	22	.	.	PUNCT
cblr-2931	219	23	"	"	PUNCT
cblr-2931	220	1	second	second	ADJ
cblr-2931	220	2	is	be	AUX
cblr-2931	220	3	accessibility	accessibility	NOUN
cblr-2931	220	4	:	:	PUNCT
cblr-2931	220	5	"	"	PUNCT
cblr-2931	220	6	[	[	X
cblr-2931	220	7	tlhe	tlhe	NOUN
cblr-2931	220	8	rulemaker	rulemaker	NOUN
cblr-2931	220	9	will	will	AUX
cblr-2931	220	10	want	want	VERB
cblr-2931	220	11	his	his	PRON
cblr-2931	220	12	rule	rule	NOUN
cblr-2931	220	13	to	to	PART
cblr-2931	220	14	be	be	AUX
cblr-2931	220	15	'	'	PUNCT
cblr-2931	220	16	accessible	accessible	ADJ
cblr-2931	220	17	'	'	PUNCT
cblr-2931	220	18	to	to	ADP
cblr-2931	220	19	its	its	PRON
cblr-2931	220	20	intended	intended	ADJ
cblr-2931	220	21	audience	audience	NOUN
cblr-2931	220	22	-	-	PUNCT
cblr-2931	220	23	that	that	ADV
cblr-2931	220	24	is	be	AUX
cblr-2931	220	25	,	,	PUNCT
cblr-2931	220	26	applicable	applicable	ADJ
cblr-2931	220	27	to	to	ADP
cblr-2931	220	28	concrete	concrete	ADJ
cblr-2931	220	29	situations	situation	NOUN
cblr-2931	220	30	without	without	ADP
cblr-2931	220	31	excessive	excessive	ADJ
cblr-2931	220	32	difficulty	difficulty	NOUN
cblr-2931	220	33	or	or	CCONJ
cblr-2931	220	34	effort	effort	NOUN
cblr-2931	220	35	.	.	PUNCT
cblr-2931	221	1	"'o	"'o	NOUN
cblr-2931	222	1	the	the	DET
cblr-2931	222	2	third	third	ADJ
cblr-2931	222	3	dimension	dimension	NOUN
cblr-2931	222	4	is	be	AUX
cblr-2931	222	5	congruency	congruency	NOUN
cblr-2931	222	6	:	:	PUNCT
cblr-2931	222	7	a	a	DET
cblr-2931	222	8	rule	rule	NOUN
cblr-2931	222	9	is	be	AUX
cblr-2931	222	10	congruent	congruent	ADJ
cblr-2931	222	11	if	if	SCONJ
cblr-2931	222	12	it	it	PRON
cblr-2931	222	13	achieves	achieve	VERB
cblr-2931	222	14	the	the	DET
cblr-2931	222	15	regulatory	regulatory	ADJ
cblr-2931	222	16	scheme	scheme	NOUN
cblr-2931	222	17	's	's	PART
cblr-2931	222	18	desired	desire	VERB
cblr-2931	222	19	objective	objective	NOUN
cblr-2931	222	20	.	.	PUNCT
cblr-2931	223	1	the	the	DET
cblr-2931	223	2	analysis	analysis	NOUN
cblr-2931	223	3	then	then	ADV
cblr-2931	223	4	turns	turn	VERB
cblr-2931	223	5	to	to	ADP
cblr-2931	223	6	examination	examination	NOUN
cblr-2931	223	7	of	of	ADP
cblr-2931	223	8	whether	whether	SCONJ
cblr-2931	223	9	the	the	DET
cblr-2931	223	10	rules	rule	NOUN
cblr-2931	223	11	are	be	AUX
cblr-2931	223	12	effective	effective	ADJ
cblr-2931	223	13	in	in	ADP
cblr-2931	223	14	affecting	affect	VERB
cblr-2931	223	15	behavior	behavior	NOUN
cblr-2931	223	16	so	so	SCONJ
cblr-2931	223	17	that	that	SCONJ
cblr-2931	223	18	the	the	DET
cblr-2931	223	19	law	law	NOUN
cblr-2931	223	20	's	's	PART
cblr-2931	223	21	policy	policy	NOUN
cblr-2931	223	22	objective	objective	NOUN
cblr-2931	223	23	is	be	AUX
cblr-2931	223	24	realized	realize	VERB
cblr-2931	223	25	.	.	PUNCT
cblr-2931	224	1	a	a	DET
cblr-2931	224	2	legislative	legislative	ADJ
cblr-2931	224	3	or	or	CCONJ
cblr-2931	224	4	regulatory	regulatory	ADJ
cblr-2931	224	5	declaration	declaration	NOUN
cblr-2931	224	6	of	of	ADP
cblr-2931	224	7	broker	broker	NOUN
cblr-2931	224	8	-	-	PUNCT
cblr-2931	224	9	dealer	dealer	NOUN
cblr-2931	224	10	fiduciary	fiduciary	ADJ
cblr-2931	224	11	duties	duty	NOUN
cblr-2931	224	12	would	would	AUX
cblr-2931	224	13	constitute	constitute	VERB
cblr-2931	224	14	a	a	DET
cblr-2931	224	15	broadly	broadly	ADV
cblr-2931	224	16	-	-	PUNCT
cblr-2931	224	17	stated	state	VERB
cblr-2931	224	18	principle	principle	NOUN
cblr-2931	224	19	.	.	PUNCT
cblr-2931	225	1	the	the	DET
cblr-2931	225	2	guidance	guidance	NOUN
cblr-2931	225	3	that	that	PRON
cblr-2931	225	4	would	would	AUX
cblr-2931	225	5	be	be	AUX
cblr-2931	225	6	provided	provide	VERB
cblr-2931	225	7	by	by	ADP
cblr-2931	225	8	such	such	DET
cblr-2931	225	9	a	a	DET
cblr-2931	225	10	statement	statement	NOUN
cblr-2931	225	11	depends	depend	VERB
cblr-2931	225	12	in	in	ADP
cblr-2931	225	13	large	large	ADJ
cblr-2931	225	14	part	part	NOUN
cblr-2931	225	15	on	on	ADP
cblr-2931	225	16	what	what	PRON
cblr-2931	225	17	it	it	PRON
cblr-2931	225	18	means	mean	VERB
cblr-2931	225	19	to	to	PART
cblr-2931	225	20	say	say	VERB
cblr-2931	225	21	that	that	SCONJ
cblr-2931	225	22	a	a	DET
cblr-2931	225	23	fiduciary	fiduciary	ADJ
cblr-2931	225	24	duty	duty	NOUN
cblr-2931	225	25	exists	exist	VERB
cblr-2931	225	26	.	.	PUNCT
cblr-2931	226	1	the	the	DET
cblr-2931	226	2	discussion	discussion	NOUN
cblr-2931	226	3	that	that	PRON
cblr-2931	226	4	follows	follow	VERB
cblr-2931	226	5	provides	provide	VERB
cblr-2931	226	6	an	an	DET
cblr-2931	226	7	overview	overview	NOUN
cblr-2931	226	8	of	of	ADP
cblr-2931	226	9	general	general	ADJ
cblr-2931	226	10	fiduciary	fiduciary	ADJ
cblr-2931	226	11	principles	principle	NOUN
cblr-2931	226	12	,	,	PUNCT
cblr-2931	226	13	a	a	DET
cblr-2931	226	14	description	description	NOUN
cblr-2931	226	15	of	of	ADP
cblr-2931	226	16	factors	factor	NOUN
cblr-2931	226	17	that	that	PRON
cblr-2931	226	18	the	the	DET
cblr-2931	226	19	law	law	NOUN
cblr-2931	226	20	has	have	AUX
cblr-2931	226	21	used	use	VERB
cblr-2931	226	22	to	to	PART
cblr-2931	226	23	identify	identify	VERB
cblr-2931	226	24	fiduciary	fiduciary	ADJ
cblr-2931	226	25	relationships	relationship	NOUN
cblr-2931	226	26	,	,	PUNCT
cblr-2931	226	27	and	and	CCONJ
cblr-2931	226	28	the	the	DET
cblr-2931	226	29	significance	significance	NOUN
cblr-2931	226	30	of	of	ADP
cblr-2931	226	31	labeling	label	VERB
cblr-2931	226	32	a	a	DET
cblr-2931	226	33	relationship	relationship	NOUN
cblr-2931	226	34	as	as	ADP
cblr-2931	226	35	fiduciary	fiduciary	ADJ
cblr-2931	226	36	.	.	PUNCT
cblr-2931	227	1	iv	iv	X
cblr-2931	227	2	.	.	PUNCT
cblr-2931	227	3	overview	overview	NOUN
cblr-2931	227	4	of	of	ADP
cblr-2931	227	5	fiduciary	fiduciary	ADJ
cblr-2931	227	6	duty	duty	NOUN
cblr-2931	227	7	although	although	SCONJ
cblr-2931	227	8	there	there	PRON
cblr-2931	227	9	is	be	VERB
cblr-2931	227	10	no	no	DET
cblr-2931	227	11	clear	clear	ADJ
cblr-2931	227	12	definition	definition	NOUN
cblr-2931	227	13	of	of	ADP
cblr-2931	227	14	fiduciary	fiduciary	ADJ
cblr-2931	227	15	relationship,4	relationship,4	ADJ
cblr-2931	227	16	1	1	NUM
cblr-2931	227	17	some	some	DET
cblr-2931	227	18	important	important	ADJ
cblr-2931	227	19	generalizations	generalization	NOUN
cblr-2931	227	20	can	can	AUX
cblr-2931	227	21	provide	provide	VERB
cblr-2931	227	22	good	good	ADJ
cblr-2931	227	23	guidance	guidance	NOUN
cblr-2931	227	24	.	.	PUNCT
cblr-2931	228	1	a	a	DET
cblr-2931	228	2	fiduciary	fiduciary	ADJ
cblr-2931	228	3	relationship	relationship	NOUN
cblr-2931	228	4	consists	consist	VERB
cblr-2931	228	5	of	of	ADP
cblr-2931	228	6	two	two	NUM
cblr-2931	228	7	parties	party	NOUN
cblr-2931	228	8	,	,	PUNCT
cblr-2931	228	9	the	the	DET
cblr-2931	228	10	fiduciary	fiduciary	ADJ
cblr-2931	228	11	and	and	CCONJ
cblr-2931	228	12	the	the	DET
cblr-2931	228	13	beneficiary	beneficiary	NOUN
cblr-2931	228	14	.	.	PUNCT
cblr-2931	229	1	it	it	PRON
cblr-2931	229	2	is	be	AUX
cblr-2931	229	3	generally	generally	ADV
cblr-2931	229	4	understood	understand	VERB
cblr-2931	229	5	that	that	SCONJ
cblr-2931	229	6	in	in	ADP
cblr-2931	229	7	such	such	DET
cblr-2931	229	8	a	a	DET
cblr-2931	229	9	relationship	relationship	NOUN
cblr-2931	229	10	,	,	PUNCT
cblr-2931	229	11	the	the	DET
cblr-2931	229	12	fiduciary	fiduciary	NOUN
cblr-2931	229	13	has	have	VERB
cblr-2931	229	14	the	the	DET
cblr-2931	229	15	"	"	PUNCT
cblr-2931	229	16	diver	diver	NOUN
cblr-2931	229	17	,	,	PUNCT
cblr-2931	229	18	supra	supra	PROPN
cblr-2931	229	19	note	note	PROPN
cblr-2931	229	20	37	37	NUM
cblr-2931	229	21	,	,	PUNCT
cblr-2931	229	22	at	at	ADP
cblr-2931	229	23	67	67	NUM
cblr-2931	229	24	.	.	PUNCT
cblr-2931	229	25	40	40	NUM
cblr-2931	230	1	i	i	PRON
cblr-2931	230	2	d.	d.	PROPN
cblr-2931	230	3	4	4	NUM
cblr-2931	230	4	see	see	VERB
cblr-2931	230	5	,	,	PUNCT
cblr-2931	230	6	e.g.	e.g.	ADV
cblr-2931	230	7	,	,	PUNCT
cblr-2931	230	8	franklin	franklin	PROPN
cblr-2931	230	9	supply	supply	PROPN
cblr-2931	230	10	co.	co.	PROPN
cblr-2931	230	11	v.	v.	ADP
cblr-2931	230	12	tolman	tolman	PROPN
cblr-2931	230	13	,	,	PUNCT
cblr-2931	230	14	454	454	NUM
cblr-2931	230	15	f.2d	f.2d	NOUN
cblr-2931	230	16	1059	1059	NUM
cblr-2931	230	17	,	,	PUNCT
cblr-2931	230	18	1065	1065	NUM
cblr-2931	230	19	(	(	PUNCT
cblr-2931	230	20	9th	9th	ADJ
cblr-2931	230	21	cir	cir	NOUN
cblr-2931	230	22	.	.	PROPN
cblr-2931	230	23	1972	1972	NUM
cblr-2931	230	24	)	)	PUNCT
cblr-2931	230	25	(	(	PUNCT
cblr-2931	230	26	"	"	PUNCT
cblr-2931	230	27	a	a	DET
cblr-2931	230	28	'	'	PUNCT
cblr-2931	230	29	fiduciary	fiduciary	ADJ
cblr-2931	230	30	relation	relation	NOUN
cblr-2931	230	31	'	'	PUNCT
cblr-2931	230	32	is	be	AUX
cblr-2931	230	33	an	an	DET
cblr-2931	230	34	elusive	elusive	ADJ
cblr-2931	230	35	status	status	NOUN
cblr-2931	230	36	to	to	PART
cblr-2931	230	37	define	define	VERB
cblr-2931	230	38	.	.	PUNCT
cblr-2931	230	39	"	"	PUNCT
cblr-2931	230	40	)	)	PUNCT
cblr-2931	230	41	;	;	PUNCT
cblr-2931	230	42	keenan	keenan	PROPN
cblr-2931	230	43	v.	v.	PROPN
cblr-2931	230	44	d.h	d.h	PROPN
cblr-2931	230	45	.	.	PROPN
cblr-2931	230	46	blair	blair	PROPN
cblr-2931	230	47	&	&	CCONJ
cblr-2931	230	48	co.	co.	PROPN
cblr-2931	230	49	,	,	PUNCT
cblr-2931	230	50	838	838	NUM
cblr-2931	230	51	f.	f.	PROPN
cblr-2931	230	52	supp	supp	PROPN
cblr-2931	230	53	.	.	PUNCT
cblr-2931	231	1	82	82	NUM
cblr-2931	231	2	,	,	PUNCT
cblr-2931	231	3	89	89	NUM
cblr-2931	231	4	(	(	PUNCT
cblr-2931	231	5	s.d.n.y	s.d.n.y	PROPN
cblr-2931	231	6	.	.	PROPN
cblr-2931	231	7	1993	1993	NUM
cblr-2931	231	8	)	)	PUNCT
cblr-2931	231	9	(	(	PUNCT
cblr-2931	231	10	"	"	PUNCT
cblr-2931	231	11	the	the	DET
cblr-2931	231	12	precise	precise	ADJ
cblr-2931	231	13	contours	contours	NOUN
cblr-2931	231	14	of	of	ADP
cblr-2931	231	15	a	a	DET
cblr-2931	231	16	fiduciary	fiduciary	ADJ
cblr-2931	231	17	relationship	relationship	NOUN
cblr-2931	231	18	are	be	AUX
cblr-2931	231	19	incapable	incapable	ADJ
cblr-2931	231	20	of	of	ADP
cblr-2931	231	21	expression	expression	NOUN
cblr-2931	231	22	.	.	PUNCT
cblr-2931	232	1	"	"	PUNCT
cblr-2931	232	2	)	)	PUNCT
cblr-2931	232	3	;	;	PUNCT
cblr-2931	232	4	farragut	farragut	PROPN
cblr-2931	232	5	mortgage	mortgage	PROPN
cblr-2931	232	6	co.	co.	PROPN
cblr-2931	232	7	v.	v.	PROPN
cblr-2931	232	8	arthur	arthur	PROPN
cblr-2931	232	9	andersen	andersen	PROPN
cblr-2931	232	10	,	,	PUNCT
cblr-2931	232	11	llp	llp	PROPN
cblr-2931	232	12	,	,	PUNCT
cblr-2931	232	13	no	no	NOUN
cblr-2931	232	14	.	.	NOUN
cblr-2931	233	1	956231	956231	NUM
cblr-2931	233	2	-	-	SYM
cblr-2931	233	3	b	b	NOUN
cblr-2931	233	4	,	,	PUNCT
cblr-2931	233	5	1999	1999	NUM
cblr-2931	233	6	wl	wl	NOUN
cblr-2931	233	7	823656	823656	NUM
cblr-2931	233	8	,	,	PUNCT
cblr-2931	233	9	at	at	ADP
cblr-2931	233	10	*	*	PROPN
cblr-2931	233	11	1	1	NUM
cblr-2931	233	12	,	,	PUNCT
cblr-2931	233	13	*	*	NOUN
cblr-2931	233	14	13	13	NUM
cblr-2931	233	15	(	(	PUNCT
cblr-2931	233	16	mass	mass	PROPN
cblr-2931	233	17	.	.	PUNCT
cblr-2931	234	1	super	super	PROPN
cblr-2931	234	2	.	.	PUNCT
cblr-2931	235	1	ct	ct	PROPN
cblr-2931	235	2	.	.	PUNCT
cblr-2931	236	1	aug	aug	PROPN
cblr-2931	236	2	.	.	PROPN
cblr-2931	236	3	5	5	NUM
cblr-2931	236	4	,	,	PUNCT
cblr-2931	236	5	1999	1999	NUM
cblr-2931	236	6	)	)	PUNCT
cblr-2931	236	7	(	(	PUNCT
cblr-2931	236	8	explaining	explain	VERB
cblr-2931	236	9	that	that	SCONJ
cblr-2931	236	10	there	there	PRON
cblr-2931	236	11	is	be	VERB
cblr-2931	236	12	no	no	DET
cblr-2931	236	13	all	all	ADV
cblr-2931	236	14	-	-	PUNCT
cblr-2931	236	15	inclusive	inclusive	ADJ
cblr-2931	236	16	definition	definition	NOUN
cblr-2931	236	17	of	of	ADP
cblr-2931	236	18	.	.	PUNCT
cblr-2931	237	1	a	a	DET
cblr-2931	237	2	fiduciary	fiduciary	ADJ
cblr-2931	237	3	relationship	relationship	NOUN
cblr-2931	237	4	;	;	PUNCT
cblr-2931	237	5	the	the	DET
cblr-2931	237	6	existence	existence	NOUN
cblr-2931	237	7	of	of	ADP
cblr-2931	237	8	such	such	DET
cblr-2931	237	9	a	a	DET
cblr-2931	237	10	relationship	relationship	NOUN
cblr-2931	237	11	is	be	AUX
cblr-2931	237	12	a	a	DET
cblr-2931	237	13	question	question	NOUN
cblr-2931	237	14	of	of	ADP
cblr-2931	237	15	fact	fact	NOUN
cblr-2931	237	16	)	)	PUNCT
cblr-2931	237	17	.	.	PUNCT
cblr-2931	238	1	722	722	NUM
cblr-2931	238	2	[	[	NOUN
cblr-2931	238	3	vol	vol	NOUN
cblr-2931	238	4	.	.	PUNCT
cblr-2931	238	5	2010	2010	NUM
cblr-2931	238	6	no	no	NOUN
cblr-2931	238	7	.	.	PUNCT
cblr-2931	239	1	3:710	3:710	NUM
cblr-2931	239	2	]	]	PUNCT
cblr-2931	239	3	are	be	AUX
cblr-2931	239	4	existing	exist	VERB
cblr-2931	239	5	stock	stock	NOUN
cblr-2931	239	6	broker	broker	NOUN
cblr-2931	239	7	standards	standard	NOUN
cblr-2931	239	8	sufficient	sufficient	ADJ
cblr-2931	239	9	?	?	PUNCT
cblr-2931	240	1	duty	duty	NOUN
cblr-2931	240	2	to	to	PART
cblr-2931	240	3	be	be	AUX
cblr-2931	240	4	loyal	loyal	ADJ
cblr-2931	240	5	and	and	CCONJ
cblr-2931	240	6	act	act	VERB
cblr-2931	240	7	in	in	ADP
cblr-2931	240	8	the	the	DET
cblr-2931	240	9	interest	interest	NOUN
cblr-2931	240	10	of	of	ADP
cblr-2931	240	11	the	the	DET
cblr-2931	240	12	beneficiary	beneficiary	NOUN
cblr-2931	240	13	.	.	PUNCT
cblr-2931	240	14	"	"	PUNCT
cblr-2931	241	1	the	the	DET
cblr-2931	241	2	beneficiary	beneficiary	NOUN
cblr-2931	241	3	has	have	AUX
cblr-2931	241	4	entrusted	entrust	VERB
cblr-2931	241	5	the	the	DET
cblr-2931	241	6	fiduciary	fiduciary	NOUN
cblr-2931	241	7	with	with	ADP
cblr-2931	241	8	the	the	DET
cblr-2931	241	9	power	power	NOUN
cblr-2931	241	10	to	to	PART
cblr-2931	241	11	oversee	oversee	VERB
cblr-2931	241	12	his	his	PRON
cblr-2931	241	13	well	well	ADV
cblr-2931	241	14	-	-	PUNCT
cblr-2931	241	15	being	being	NOUN
cblr-2931	241	16	.	.	PUNCT
cblr-2931	241	17	"	"	PUNCT
cblr-2931	242	1	the	the	DET
cblr-2931	242	2	beneficiary	beneficiary	NOUN
cblr-2931	242	3	is	be	AUX
cblr-2931	242	4	dependent	dependent	ADJ
cblr-2931	242	5	upon	upon	SCONJ
cblr-2931	242	6	the	the	DET
cblr-2931	242	7	fiduciary	fiduciary	ADJ
cblr-2931	242	8	due	due	ADP
cblr-2931	242	9	to	to	ADP
cblr-2931	242	10	his	his	PRON
cblr-2931	242	11	reliance	reliance	NOUN
cblr-2931	242	12	upon	upon	SCONJ
cblr-2931	242	13	a	a	DET
cblr-2931	242	14	specific	specific	ADJ
cblr-2931	242	15	service	service	NOUN
cblr-2931	242	16	the	the	DET
cblr-2931	242	17	fiduciary	fiduciary	ADJ
cblr-2931	242	18	provides	provide	VERB
cblr-2931	242	19	under	under	ADP
cblr-2931	242	20	the	the	DET
cblr-2931	242	21	arrangement	arrangement	NOUN
cblr-2931	242	22	in	in	ADP
cblr-2931	242	23	question	question	NOUN
cblr-2931	242	24	.	.	PUNCT
cblr-2931	242	25	"	"	PUNCT
cblr-2931	243	1	the	the	DET
cblr-2931	243	2	beneficiary	beneficiary	NOUN
cblr-2931	243	3	ordinarily	ordinarily	ADV
cblr-2931	243	4	has	have	VERB
cblr-2931	243	5	very	very	ADV
cblr-2931	243	6	little	little	ADJ
cblr-2931	243	7	or	or	CCONJ
cblr-2931	243	8	no	no	PRON
cblr-2931	243	9	control	control	NOUN
cblr-2931	243	10	over	over	ADP
cblr-2931	243	11	the	the	DET
cblr-2931	243	12	relationship	relationship	NOUN
cblr-2931	243	13	or	or	CCONJ
cblr-2931	243	14	its	its	PRON
cblr-2931	243	15	subject	subject	NOUN
cblr-2931	243	16	matter	matter	NOUN
cblr-2931	243	17	,	,	PUNCT
cblr-2931	243	18	and	and	CCONJ
cblr-2931	243	19	thus	thus	ADV
cblr-2931	243	20	the	the	DET
cblr-2931	243	21	beneficiary	beneficiary	NOUN
cblr-2931	243	22	is	be	AUX
cblr-2931	243	23	forced	force	VERB
cblr-2931	243	24	to	to	PART
cblr-2931	243	25	rely	rely	VERB
cblr-2931	243	26	on	on	ADP
cblr-2931	243	27	the	the	DET
cblr-2931	243	28	fiduciary	fiduciary	NOUN
cblr-2931	243	29	's	's	PART
cblr-2931	243	30	expertise	expertise	NOUN
cblr-2931	243	31	in	in	ADP
cblr-2931	243	32	the	the	DET
cblr-2931	243	33	specific	specific	ADJ
cblr-2931	243	34	area.4	area.4	PROPN
cblr-2931	243	35	5	5	NUM
cblr-2931	243	36	in	in	ADP
cblr-2931	243	37	other	other	ADJ
cblr-2931	243	38	words	word	NOUN
cblr-2931	243	39	,	,	PUNCT
cblr-2931	243	40	a	a	DET
cblr-2931	243	41	fiduciary	fiduciary	ADJ
cblr-2931	243	42	relationship	relationship	NOUN
cblr-2931	243	43	often	often	ADV
cblr-2931	243	44	exists	exist	VERB
cblr-2931	243	45	when	when	SCONJ
cblr-2931	243	46	one	one	NUM
cblr-2931	243	47	person	person	NOUN
cblr-2931	243	48	places	place	VERB
cblr-2931	243	49	his	his	PRON
cblr-2931	243	50	trust	trust	NOUN
cblr-2931	243	51	and	and	CCONJ
cblr-2931	243	52	confidence	confidence	NOUN
cblr-2931	243	53	in	in	ADP
cblr-2931	243	54	another	another	PRON
cblr-2931	243	55	.	.	PUNCT
cblr-2931	244	1	there	there	PRON
cblr-2931	244	2	is	be	VERB
cblr-2931	244	3	reliance	reliance	NOUN
cblr-2931	244	4	upon	upon	SCONJ
cblr-2931	244	5	the	the	DET
cblr-2931	244	6	fiduciary	fiduciary	ADJ
cblr-2931	244	7	that	that	SCONJ
cblr-2931	244	8	the	the	DET
cblr-2931	244	9	fiduciary	fiduciary	ADJ
cblr-2931	244	10	will	will	AUX
cblr-2931	244	11	not	not	PART
cblr-2931	244	12	abuse	abuse	VERB
cblr-2931	244	13	this	this	DET
cblr-2931	244	14	trust.4	trust.4	PROPN
cblr-2931	244	15	6	6	NUM
cblr-2931	244	16	described	describe	VERB
cblr-2931	244	17	another	another	DET
cblr-2931	244	18	way	way	NOUN
cblr-2931	244	19	,	,	PUNCT
cblr-2931	244	20	a	a	DET
cblr-2931	244	21	fiduciary	fiduciary	ADJ
cblr-2931	244	22	relationship	relationship	NOUN
cblr-2931	244	23	is	be	AUX
cblr-2931	244	24	said	say	VERB
cblr-2931	244	25	to	to	PART
cblr-2931	244	26	exist	exist	VERB
cblr-2931	244	27	when	when	SCONJ
cblr-2931	244	28	any	any	DET
cblr-2931	244	29	person	person	NOUN
cblr-2931	244	30	instills	instill	VERB
cblr-2931	244	31	a	a	DET
cblr-2931	244	32	power	power	NOUN
cblr-2931	244	33	of	of	ADP
cblr-2931	244	34	some	some	DET
cblr-2931	244	35	type	type	NOUN
cblr-2931	244	36	within	within	ADP
cblr-2931	244	37	another	another	PRON
cblr-2931	244	38	,	,	PUNCT
cblr-2931	244	39	the	the	DET
cblr-2931	244	40	fiduciary	fiduciary	NOUN
cblr-2931	244	41	,	,	PUNCT
cblr-2931	244	42	with	with	ADP
cblr-2931	244	43	the	the	DET
cblr-2931	244	44	intention	intention	NOUN
cblr-2931	244	45	that	that	SCONJ
cblr-2931	244	46	the	the	DET
cblr-2931	244	47	fiduciary	fiduciary	ADJ
cblr-2931	244	48	will	will	AUX
cblr-2931	244	49	act	act	VERB
cblr-2931	244	50	to	to	PART
cblr-2931	244	51	further	further	VERB
cblr-2931	244	52	the	the	DET
cblr-2931	244	53	beneficiary	beneficiary	NOUN
cblr-2931	244	54	's	's	PART
cblr-2931	244	55	best	good	ADJ
cblr-2931	244	56	interests	interest	NOUN
cblr-2931	244	57	.	.	PUNCT
cblr-2931	245	1	the	the	DET
cblr-2931	245	2	restatement	restatement	NOUN
cblr-2931	245	3	of	of	ADP
cblr-2931	245	4	torts	torts	PROPN
cblr-2931	245	5	is	be	AUX
cblr-2931	245	6	particularly	particularly	ADV
cblr-2931	245	7	helpful	helpful	ADJ
cblr-2931	245	8	to	to	ADP
cblr-2931	245	9	understanding	understand	VERB
cblr-2931	245	10	the	the	DET
cblr-2931	245	11	nature	nature	NOUN
cblr-2931	245	12	of	of	ADP
cblr-2931	245	13	the	the	DET
cblr-2931	245	14	stock	stock	NOUN
cblr-2931	245	15	broker	broker	PROPN
cblr-2931	245	16	relationship	relationship	NOUN
cblr-2931	245	17	to	to	ADP
cblr-2931	245	18	his	his	PRON
cblr-2931	245	19	or	or	CCONJ
cblr-2931	245	20	her	her	PRON
cblr-2931	245	21	customer	customer	NOUN
cblr-2931	245	22	:	:	PUNCT
cblr-2931	245	23	"	"	PUNCT
cblr-2931	245	24	[	[	X
cblr-2931	245	25	a	a	X
cblr-2931	245	26	]	]	X
cblr-2931	245	27	fiduciary	fiduciary	ADJ
cblr-2931	245	28	relation	relation	NOUN
cblr-2931	245	29	exists	exist	VERB
cblr-2931	245	30	between	between	ADP
cblr-2931	245	31	two	two	NUM
cblr-2931	245	32	persons	person	NOUN
cblr-2931	245	33	when	when	SCONJ
cblr-2931	245	34	one	one	NUM
cblr-2931	245	35	of	of	ADP
cblr-2931	245	36	them	they	PRON
cblr-2931	245	37	is	be	AUX
cblr-2931	245	38	under	under	ADP
cblr-2931	245	39	a	a	DET
cblr-2931	245	40	duty	duty	NOUN
cblr-2931	245	41	to	to	PART
cblr-2931	245	42	act	act	VERB
cblr-2931	245	43	or	or	CCONJ
cblr-2931	245	44	to	to	PART
cblr-2931	245	45	give	give	VERB
cblr-2931	245	46	advice	advice	NOUN
cblr-2931	245	47	for	for	ADP
cblr-2931	245	48	the	the	DET
cblr-2931	245	49	benefit	benefit	NOUN
cblr-2931	245	50	of	of	ADP
cblr-2931	245	51	another	another	PRON
cblr-2931	245	52	upon	upon	SCONJ
cblr-2931	245	53	matters	matter	NOUN
cblr-2931	245	54	within	within	ADP
cblr-2931	245	55	the	the	DET
cblr-2931	245	56	scope	scope	NOUN
cblr-2931	245	57	of	of	ADP
cblr-2931	245	58	the	the	DET
cblr-2931	245	59	relation	relation	NOUN
cblr-2931	245	60	.	.	PUNCT
cblr-2931	246	1	"48	"48	PUNCT
cblr-2931	247	1	under	under	ADP
cblr-2931	247	2	common	common	ADJ
cblr-2931	247	3	law	law	NOUN
cblr-2931	247	4	,	,	PUNCT
cblr-2931	247	5	fiduciary	fiduciary	ADJ
cblr-2931	247	6	duties	duty	NOUN
cblr-2931	247	7	were	be	AUX
cblr-2931	247	8	imposed	impose	VERB
cblr-2931	247	9	in	in	ADP
cblr-2931	247	10	situations	situation	NOUN
cblr-2931	247	11	where	where	SCONJ
cblr-2931	247	12	one	one	NUM
cblr-2931	247	13	party	party	NOUN
cblr-2931	247	14	's	's	PART
cblr-2931	247	15	knowledge	knowledge	NOUN
cblr-2931	247	16	or	or	CCONJ
cblr-2931	247	17	expertise	expertise	NOUN
cblr-2931	247	18	was	be	AUX
cblr-2931	247	19	far	far	ADV
cblr-2931	247	20	vaster	vast	ADJ
cblr-2931	247	21	than	than	ADP
cblr-2931	247	22	that	that	PRON
cblr-2931	247	23	of	of	ADP
cblr-2931	247	24	another	another	DET
cblr-2931	247	25	party	party	NOUN
cblr-2931	247	26	who	who	PRON
cblr-2931	247	27	may	may	AUX
cblr-2931	247	28	rely	rely	VERB
cblr-2931	247	29	upon	upon	SCONJ
cblr-2931	247	30	this	this	DET
cblr-2931	247	31	42	42	NUM
cblr-2931	247	32	see	see	NOUN
cblr-2931	247	33	,	,	PUNCT
cblr-2931	247	34	e.g.	e.g.	ADV
cblr-2931	247	35	,	,	PUNCT
cblr-2931	247	36	deborah	deborah	PROPN
cblr-2931	247	37	a.	a.	PROPN
cblr-2931	247	38	demott	demott	PROPN
cblr-2931	247	39	,	,	PUNCT
cblr-2931	247	40	beyond	beyond	ADP
cblr-2931	247	41	metaphor	metaphor	NOUN
cblr-2931	247	42	:	:	PUNCT
cblr-2931	247	43	an	an	DET
cblr-2931	247	44	analysis	analysis	NOUN
cblr-2931	247	45	of	of	ADP
cblr-2931	247	46	fiduciary	fiduciary	ADJ
cblr-2931	247	47	obligation	obligation	NOUN
cblr-2931	247	48	,	,	PUNCT
cblr-2931	247	49	1988	1988	NUM
cblr-2931	247	50	duke	duke	PROPN
cblr-2931	247	51	l.j	l.j	PROPN
cblr-2931	247	52	.	.	PROPN
cblr-2931	247	53	879	879	NUM
cblr-2931	247	54	(	(	PUNCT
cblr-2931	247	55	1988	1988	NUM
cblr-2931	247	56	)	)	PUNCT
cblr-2931	247	57	;	;	PUNCT
cblr-2931	247	58	d.	d.	PROPN
cblr-2931	247	59	gordon	gordon	PROPN
cblr-2931	247	60	smith	smith	PROPN
cblr-2931	247	61	,	,	PUNCT
cblr-2931	247	62	the	the	DET
cblr-2931	247	63	critical	critical	ADJ
cblr-2931	247	64	resource	resource	NOUN
cblr-2931	247	65	theory	theory	NOUN
cblr-2931	247	66	of	of	ADP
cblr-2931	247	67	fiduciary	fiduciary	ADJ
cblr-2931	247	68	duty	duty	NOUN
cblr-2931	247	69	,	,	PUNCT
cblr-2931	247	70	55	55	NUM
cblr-2931	247	71	vand	vand	NOUN
cblr-2931	247	72	.	.	PUNCT
cblr-2931	248	1	l.	l.	PROPN
cblr-2931	248	2	rev	rev	PROPN
cblr-2931	248	3	.	.	PROPN
cblr-2931	248	4	1399	1399	NUM
cblr-2931	248	5	,	,	PUNCT
cblr-2931	248	6	1402	1402	NUM
cblr-2931	248	7	(	(	PUNCT
cblr-2931	248	8	2002	2002	NUM
cblr-2931	248	9	)	)	PUNCT
cblr-2931	248	10	;	;	PUNCT
cblr-2931	248	11	victor	victor	PROPN
cblr-2931	248	12	brudney	brudney	PROPN
cblr-2931	248	13	,	,	PUNCT
cblr-2931	248	14	contract	contract	NOUN
cblr-2931	248	15	and	and	CCONJ
cblr-2931	248	16	fiduciary	fiduciary	ADJ
cblr-2931	248	17	duty	duty	NOUN
cblr-2931	248	18	in	in	ADP
cblr-2931	248	19	corporate	corporate	ADJ
cblr-2931	248	20	law	law	NOUN
cblr-2931	248	21	,	,	PUNCT
cblr-2931	248	22	38	38	NUM
cblr-2931	248	23	b.c	b.c	PROPN
cblr-2931	248	24	.	.	PROPN
cblr-2931	248	25	l.	l.	PROPN
cblr-2931	248	26	rev	rev	PROPN
cblr-2931	248	27	.	.	PROPN
cblr-2931	248	28	595	595	NUM
cblr-2931	248	29	,	,	PUNCT
cblr-2931	248	30	624	624	NUM
cblr-2931	248	31	(	(	PUNCT
cblr-2931	248	32	1997	1997	NUM
cblr-2931	248	33	)	)	PUNCT
cblr-2931	248	34	.	.	PUNCT
cblr-2931	249	1	a	a	DET
cblr-2931	249	2	see	see	NOUN
cblr-2931	249	3	,	,	PUNCT
cblr-2931	249	4	e.g.	e.g.	ADV
cblr-2931	249	5	,	,	PUNCT
cblr-2931	249	6	kelli	kelli	PROPN
cblr-2931	249	7	a.	a.	PROPN
cblr-2931	249	8	alces	alces	PROPN
cblr-2931	249	9	,	,	PUNCT
cblr-2931	249	10	debunking	debunk	VERB
cblr-2931	249	11	the	the	DET
cblr-2931	249	12	corporate	corporate	ADJ
cblr-2931	249	13	fiduciary	fiduciary	ADJ
cblr-2931	249	14	myth	myth	NOUN
cblr-2931	249	15	,	,	PUNCT
cblr-2931	249	16	35	35	NUM
cblr-2931	249	17	iowa	iowa	PROPN
cblr-2931	249	18	j.	j.	PROPN
cblr-2931	249	19	corp	corp	PROPN
cblr-2931	249	20	.	.	PROPN
cblr-2931	249	21	l.	l.	PROPN
cblr-2931	249	22	239	239	NUM
cblr-2931	249	23	,	,	PUNCT
cblr-2931	249	24	240	240	NUM
cblr-2931	249	25	(	(	PUNCT
cblr-2931	249	26	2009	2009	NUM
cblr-2931	249	27	)	)	PUNCT
cblr-2931	249	28	.	.	PUNCT
cblr-2931	250	1	see	see	VERB
cblr-2931	250	2	tamar	tamar	PROPN
cblr-2931	250	3	frankel	frankel	PROPN
cblr-2931	250	4	,	,	PUNCT
cblr-2931	250	5	fiduciary	fiduciary	ADJ
cblr-2931	250	6	law	law	NOUN
cblr-2931	250	7	,	,	PUNCT
cblr-2931	250	8	71	71	NUM
cblr-2931	250	9	cal	cal	NOUN
cblr-2931	250	10	.	.	PUNCT
cblr-2931	251	1	l.	l.	PROPN
cblr-2931	251	2	rev	rev	PROPN
cblr-2931	251	3	.	.	PROPN
cblr-2931	251	4	795	795	NUM
cblr-2931	251	5	(	(	PUNCT
cblr-2931	251	6	1983	1983	NUM
cblr-2931	251	7	)	)	PUNCT
cblr-2931	251	8	.	.	PUNCT
cblr-2931	252	1	*	*	PUNCT
cblr-2931	252	2	see	see	VERB
cblr-2931	252	3	alces	alce	NOUN
cblr-2931	252	4	,	,	PUNCT
cblr-2931	252	5	supra	supra	PROPN
cblr-2931	252	6	note	note	PROPN
cblr-2931	252	7	43	43	NUM
cblr-2931	252	8	,	,	PUNCT
cblr-2931	252	9	at	at	ADP
cblr-2931	252	10	240	240	NUM
cblr-2931	252	11	-	-	SYM
cblr-2931	252	12	41	41	NUM
cblr-2931	252	13	;	;	PUNCT
cblr-2931	252	14	see	see	VERB
cblr-2931	252	15	also	also	ADV
cblr-2931	252	16	,	,	PUNCT
cblr-2931	252	17	e.g.	e.g.	ADV
cblr-2931	252	18	,	,	PUNCT
cblr-2931	252	19	frankel	frankel	NOUN
cblr-2931	252	20	,	,	PUNCT
cblr-2931	252	21	supra	supra	PROPN
cblr-2931	252	22	note	note	NOUN
cblr-2931	253	1	44	44	NUM
cblr-2931	253	2	.	.	PUNCT
cblr-2931	254	1	46	46	NUM
cblr-2931	254	2	see	see	VERB
cblr-2931	254	3	alces	alce	NOUN
cblr-2931	254	4	,	,	PUNCT
cblr-2931	254	5	supra	supra	PROPN
cblr-2931	254	6	note	note	PROPN
cblr-2931	254	7	43	43	NUM
cblr-2931	254	8	,	,	PUNCT
cblr-2931	254	9	at	at	ADP
cblr-2931	254	10	259	259	NUM
cblr-2931	254	11	-	-	SYM
cblr-2931	254	12	60	60	NUM
cblr-2931	254	13	;	;	PUNCT
cblr-2931	254	14	see	see	VERB
cblr-2931	254	15	also	also	ADV
cblr-2931	254	16	,	,	PUNCT
cblr-2931	254	17	e.g.	e.g.	ADV
cblr-2931	254	18	,	,	PUNCT
cblr-2931	254	19	demott	demott	PROPN
cblr-2931	254	20	,	,	PUNCT
cblr-2931	254	21	supra	supra	PROPN
cblr-2931	254	22	note	note	PROPN
cblr-2931	254	23	43	43	NUM
cblr-2931	254	24	;	;	PUNCT
cblr-2931	254	25	smith	smith	PROPN
cblr-2931	254	26	,	,	PUNCT
cblr-2931	254	27	supra	supra	PROPN
cblr-2931	254	28	note	note	PROPN
cblr-2931	254	29	42	42	NUM
cblr-2931	254	30	,	,	PUNCT
cblr-2931	254	31	at	at	ADP
cblr-2931	254	32	1402	1402	NUM
cblr-2931	254	33	-	-	SYM
cblr-2931	254	34	03	03	NUM
cblr-2931	254	35	.	.	PUNCT
cblr-2931	255	1	4	4	NUM
cblr-2931	255	2	see	see	VERB
cblr-2931	255	3	alces	alce	NOUN
cblr-2931	255	4	,	,	PUNCT
cblr-2931	255	5	supra	supra	PROPN
cblr-2931	255	6	note	note	PROPN
cblr-2931	255	7	43	43	NUM
cblr-2931	255	8	,	,	PUNCT
cblr-2931	255	9	at	at	ADP
cblr-2931	255	10	260	260	NUM
cblr-2931	255	11	.	.	NOUN
cblr-2931	255	12	4	4	NUM
cblr-2931	255	13	restatement	restatement	NOUN
cblr-2931	255	14	(	(	PUNCT
cblr-2931	255	15	second	second	ADJ
cblr-2931	255	16	)	)	PUNCT
cblr-2931	255	17	of	of	ADP
cblr-2931	255	18	torts	torts	PROPN
cblr-2931	255	19	§	§	PROPN
cblr-2931	255	20	874	874	NUM
cblr-2931	255	21	cmt	cmt	PROPN
cblr-2931	255	22	.	.	PUNCT
cblr-2931	256	1	a	a	DET
cblr-2931	256	2	(	(	PUNCT
cblr-2931	256	3	1979	1979	NUM
cblr-2931	256	4	)	)	PUNCT
cblr-2931	256	5	.	.	PUNCT
cblr-2931	257	1	723	723	NUM
cblr-2931	257	2	columbia	columbia	PROPN
cblr-2931	257	3	business	business	NOUN
cblr-2931	257	4	law	law	PROPN
cblr-2931	257	5	re	re	NOUN
cblr-2931	257	6	view	view	NOUN
cblr-2931	257	7	expertise	expertise	NOUN
cblr-2931	257	8	.	.	PUNCT
cblr-2931	257	9	"	"	PUNCT
cblr-2931	258	1	however	however	ADV
cblr-2931	258	2	,	,	PUNCT
cblr-2931	258	3	not	not	PART
cblr-2931	258	4	all	all	DET
cblr-2931	258	5	relationships	relationship	NOUN
cblr-2931	258	6	of	of	ADP
cblr-2931	258	7	this	this	DET
cblr-2931	258	8	nature	nature	NOUN
cblr-2931	258	9	are	be	AUX
cblr-2931	258	10	defined	define	VERB
cblr-2931	258	11	as	as	ADP
cblr-2931	258	12	fiduciary	fiduciary	ADJ
cblr-2931	258	13	.	.	PUNCT
cblr-2931	259	1	instead	instead	ADV
cblr-2931	259	2	,	,	PUNCT
cblr-2931	259	3	some	some	PRON
cblr-2931	259	4	are	be	AUX
cblr-2931	259	5	nothing	nothing	PRON
cblr-2931	259	6	more	more	ADJ
cblr-2931	259	7	than	than	ADP
cblr-2931	259	8	contractual	contractual	ADJ
cblr-2931	259	9	.	.	PUNCT
cblr-2931	259	10	0	0	PUNCT
cblr-2931	260	1	thus	thus	ADV
cblr-2931	260	2	,	,	PUNCT
cblr-2931	260	3	the	the	DET
cblr-2931	260	4	existence	existence	NOUN
cblr-2931	260	5	of	of	ADP
cblr-2931	260	6	special	special	ADJ
cblr-2931	260	7	knowledge	knowledge	NOUN
cblr-2931	260	8	or	or	CCONJ
cblr-2931	260	9	expertise	expertise	NOUN
cblr-2931	260	10	of	of	ADP
cblr-2931	260	11	one	one	NUM
cblr-2931	260	12	party	party	NOUN
cblr-2931	260	13	is	be	AUX
cblr-2931	260	14	a	a	DET
cblr-2931	260	15	factor	factor	NOUN
cblr-2931	260	16	but	but	CCONJ
cblr-2931	260	17	is	be	AUX
cblr-2931	260	18	not	not	PART
cblr-2931	260	19	determinative	determinative	ADJ
cblr-2931	260	20	.	.	PUNCT
cblr-2931	261	1	however	however	ADV
cblr-2931	261	2	,	,	PUNCT
cblr-2931	261	3	when	when	SCONJ
cblr-2931	261	4	a	a	DET
cblr-2931	261	5	party	party	NOUN
cblr-2931	261	6	holds	hold	VERB
cblr-2931	261	7	oneself	oneself	PRON
cblr-2931	261	8	out	out	ADP
cblr-2931	261	9	as	as	ADP
cblr-2931	261	10	having	have	VERB
cblr-2931	261	11	special	special	ADJ
cblr-2931	261	12	knowledge	knowledge	NOUN
cblr-2931	261	13	,	,	PUNCT
cblr-2931	261	14	a	a	DET
cblr-2931	261	15	fiduciary	fiduciary	ADJ
cblr-2931	261	16	duty	duty	NOUN
cblr-2931	261	17	is	be	AUX
cblr-2931	261	18	even	even	ADV
cblr-2931	261	19	more	more	ADV
cblr-2931	261	20	likely	likely	ADJ
cblr-2931	261	21	to	to	PART
cblr-2931	261	22	exist	exist	VERB
cblr-2931	261	23	.	.	PUNCT
cblr-2931	261	24	"	"	PUNCT
cblr-2931	262	1	a	a	DET
cblr-2931	262	2	summary	summary	NOUN
cblr-2931	262	3	of	of	ADP
cblr-2931	262	4	the	the	DET
cblr-2931	262	5	cases	case	NOUN
cblr-2931	262	6	and	and	CCONJ
cblr-2931	262	7	the	the	DET
cblr-2931	262	8	literature	literature	NOUN
cblr-2931	262	9	leads	lead	VERB
cblr-2931	262	10	to	to	ADP
cblr-2931	262	11	the	the	DET
cblr-2931	262	12	conclusion	conclusion	NOUN
cblr-2931	262	13	that	that	SCONJ
cblr-2931	262	14	fiduciary	fiduciary	ADJ
cblr-2931	262	15	relationships	relationship	NOUN
cblr-2931	262	16	can	can	AUX
cblr-2931	262	17	be	be	AUX
cblr-2931	262	18	placed	place	VERB
cblr-2931	262	19	within	within	ADP
cblr-2931	262	20	one	one	NUM
cblr-2931	262	21	of	of	ADP
cblr-2931	262	22	four	four	NUM
cblr-2931	262	23	categories	category	NOUN
cblr-2931	262	24	:	:	PUNCT
cblr-2931	262	25	(	(	PUNCT
cblr-2931	262	26	1	1	X
cblr-2931	262	27	)	)	PUNCT
cblr-2931	262	28	[	[	X
cblr-2931	262	29	wlhere	wlhere	VERB
cblr-2931	262	30	one	one	NUM
cblr-2931	262	31	person	person	NOUN
cblr-2931	262	32	has	have	VERB
cblr-2931	262	33	control	control	NOUN
cblr-2931	262	34	of	of	ADP
cblr-2931	262	35	property	property	NOUN
cblr-2931	262	36	which	which	PRON
cblr-2931	262	37	...	...	PUNCT
cblr-2931	262	38	in	in	ADP
cblr-2931	262	39	the	the	DET
cblr-2931	262	40	view	view	NOUN
cblr-2931	262	41	of	of	ADP
cblr-2931	262	42	the	the	DET
cblr-2931	262	43	court	court	NOUN
cblr-2931	262	44	of	of	ADP
cblr-2931	262	45	equity	equity	NOUN
cblr-2931	262	46	is	be	AUX
cblr-2931	262	47	the	the	DET
cblr-2931	262	48	property	property	NOUN
cblr-2931	262	49	of	of	ADP
cblr-2931	262	50	another	another	PRON
cblr-2931	262	51	;	;	PUNCT
cblr-2931	262	52	(	(	PUNCT
cblr-2931	262	53	2	2	X
cblr-2931	262	54	)	)	PUNCT
cblr-2931	262	55	where	where	SCONJ
cblr-2931	262	56	one	one	NUM
cblr-2931	262	57	person	person	NOUN
cblr-2931	262	58	'	'	PUNCT
cblr-2931	262	59	has	have	AUX
cblr-2931	262	60	undertaken	undertake	VERB
cblr-2931	262	61	or	or	CCONJ
cblr-2931	262	62	is	be	AUX
cblr-2931	262	63	under	under	ADP
cblr-2931	262	64	an	an	DET
cblr-2931	262	65	obligation	obligation	NOUN
cblr-2931	262	66	...	...	PUNCT
cblr-2931	262	67	to	to	PART
cblr-2931	262	68	act	act	VERB
cblr-2931	262	69	on	on	ADP
cblr-2931	262	70	another	another	PRON
cblr-2931	262	71	's	's	PART
cblr-2931	262	72	behalf	behalf	NOUN
cblr-2931	262	73	or	or	CCONJ
cblr-2931	262	74	for	for	ADP
cblr-2931	262	75	another	another	PRON
cblr-2931	262	76	's	's	PART
cblr-2931	262	77	benefit	benefit	NOUN
cblr-2931	262	78	'	'	PUNCT
cblr-2931	262	79	;	;	PUNCT
cblr-2931	262	80	(	(	PUNCT
cblr-2931	262	81	3	3	X
cblr-2931	262	82	)	)	PUNCT
cblr-2931	262	83	where	where	SCONJ
cblr-2931	262	84	one	one	NUM
cblr-2931	262	85	person	person	NOUN
cblr-2931	262	86	with	with	ADP
cblr-2931	262	87	limited	limited	ADJ
cblr-2931	262	88	or	or	CCONJ
cblr-2931	262	89	partial	partial	ADJ
cblr-2931	262	90	interests	interest	NOUN
cblr-2931	262	91	in	in	ADP
cblr-2931	262	92	property	property	NOUN
cblr-2931	262	93	obtains	obtain	VERB
cblr-2931	262	94	renewed	renew	VERB
cblr-2931	262	95	or	or	CCONJ
cblr-2931	262	96	additional	additional	ADJ
cblr-2931	262	97	rights	right	NOUN
cblr-2931	262	98	in	in	ADP
cblr-2931	262	99	the	the	DET
cblr-2931	262	100	property	property	NOUN
cblr-2931	262	101	;	;	PUNCT
cblr-2931	262	102	and	and	CCONJ
cblr-2931	262	103	(	(	PUNCT
cblr-2931	262	104	4	4	X
cblr-2931	262	105	)	)	PUNCT
cblr-2931	262	106	where	where	SCONJ
cblr-2931	262	107	'	'	PUNCT
cblr-2931	262	108	undue	undue	ADJ
cblr-2931	262	109	influence	influence	NOUN
cblr-2931	262	110	'	'	PUNCT
cblr-2931	262	111	exists.52	exists.52	NOUN
cblr-2931	262	112	however	however	ADV
cblr-2931	262	113	,	,	PUNCT
cblr-2931	262	114	while	while	SCONJ
cblr-2931	262	115	there	there	PRON
cblr-2931	262	116	are	be	VERB
cblr-2931	262	117	a	a	DET
cblr-2931	262	118	number	number	NOUN
cblr-2931	262	119	of	of	ADP
cblr-2931	262	120	relationships	relationship	NOUN
cblr-2931	262	121	that	that	PRON
cblr-2931	262	122	are	be	AUX
cblr-2931	262	123	generally	generally	ADV
cblr-2931	262	124	considered	consider	VERB
cblr-2931	262	125	fiduciary	fiduciary	ADJ
cblr-2931	262	126	in	in	ADP
cblr-2931	262	127	nature	nature	NOUN
cblr-2931	262	128	,	,	PUNCT
cblr-2931	262	129	"	"	PUNCT
cblr-2931	262	130	it	it	PRON
cblr-2931	262	131	is	be	AUX
cblr-2931	262	132	difficult	difficult	ADJ
cblr-2931	262	133	to	to	PART
cblr-2931	262	134	generalize	generalize	VERB
cblr-2931	262	135	from	from	ADP
cblr-2931	262	136	one	one	NUM
cblr-2931	262	137	relationship	relationship	NOUN
cblr-2931	262	138	to	to	ADP
cblr-2931	262	139	another	another	PRON
cblr-2931	262	140	.	.	PUNCT
cblr-2931	263	1	overall	overall	ADV
cblr-2931	263	2	,	,	PUNCT
cblr-2931	263	3	the	the	DET
cblr-2931	263	4	nature	nature	NOUN
cblr-2931	263	5	of	of	ADP
cblr-2931	263	6	the	the	DET
cblr-2931	263	7	relationship	relationship	NOUN
cblr-2931	263	8	depends	depend	VERB
cblr-2931	263	9	on	on	ADP
cblr-2931	263	10	the	the	DET
cblr-2931	263	11	type	type	NOUN
cblr-2931	263	12	of	of	ADP
cblr-2931	263	13	fiduciary	fiduciary	ADJ
cblr-2931	263	14	relationship	relationship	NOUN
cblr-2931	263	15	.	.	PUNCT
cblr-2931	264	1	in	in	ADP
cblr-2931	264	2	other	other	ADJ
cblr-2931	264	3	words	word	NOUN
cblr-2931	264	4	,	,	PUNCT
cblr-2931	264	5	the	the	DET
cblr-2931	264	6	"	"	PUNCT
cblr-2931	264	7	fiduciary	fiduciary	ADJ
cblr-2931	264	8	obligation	obligation	NOUN
cblr-2931	264	9	is	be	AUX
cblr-2931	264	10	inevitably	inevitably	ADV
cblr-2931	264	11	tied	tie	VERB
cblr-2931	264	12	to	to	ADP
cblr-2931	264	13	the	the	DET
cblr-2931	264	14	particular	particular	ADJ
cblr-2931	264	15	context	context	NOUN
cblr-2931	264	16	in	in	ADP
cblr-2931	264	17	which	which	PRON
cblr-2931	264	18	it	it	PRON
cblr-2931	264	19	arises	arise	VERB
cblr-2931	264	20	.	.	PUNCT
cblr-2931	265	1	"	"	PUNCT
cblr-2931	265	2	"	"	PUNCT
cblr-2931	265	3	standards	standard	NOUN
cblr-2931	265	4	within	within	ADP
cblr-2931	265	5	fiduciary	fiduciary	ADJ
cblr-2931	265	6	relationships	relationship	NOUN
cblr-2931	265	7	are	be	AUX
cblr-2931	265	8	flexible	flexible	ADJ
cblr-2931	265	9	,	,	PUNCT
cblr-2931	265	10	and	and	CCONJ
cblr-2931	265	11	courts	court	NOUN
cblr-2931	265	12	can	can	AUX
cblr-2931	265	13	apply	apply	VERB
cblr-2931	265	14	them	they	PRON
cblr-2931	265	15	as	as	SCONJ
cblr-2931	265	16	they	they	PRON
cblr-2931	265	17	see	see	VERB
cblr-2931	265	18	fit	fit	ADJ
cblr-2931	265	19	in	in	ADP
cblr-2931	265	20	individual	individual	ADJ
cblr-2931	265	21	'	'	PUNCT
cblr-2931	265	22	scott	scott	PROPN
cblr-2931	265	23	fitzgibbon	fitzgibbon	NOUN
cblr-2931	265	24	,	,	PUNCT
cblr-2931	265	25	fiduciary	fiduciary	ADJ
cblr-2931	265	26	relationships	relationship	NOUN
cblr-2931	265	27	are	be	AUX
cblr-2931	265	28	not	not	PART
cblr-2931	265	29	contracts	contract	NOUN
cblr-2931	265	30	,	,	PUNCT
cblr-2931	265	31	82	82	NUM
cblr-2931	265	32	marq	marq	NOUN
cblr-2931	265	33	.	.	PUNCT
cblr-2931	266	1	l.	l.	PROPN
cblr-2931	266	2	rev	rev	PROPN
cblr-2931	266	3	.	.	PROPN
cblr-2931	266	4	303	303	NUM
cblr-2931	266	5	,	,	PUNCT
cblr-2931	266	6	322	322	NUM
cblr-2931	266	7	(	(	PUNCT
cblr-2931	266	8	1999	1999	NUM
cblr-2931	266	9	)	)	PUNCT
cblr-2931	266	10	.	.	PUNCT
cblr-2931	267	1	o	o	PROPN
cblr-2931	267	2	see	see	VERB
cblr-2931	267	3	frankel	frankel	NOUN
cblr-2931	267	4	,	,	PUNCT
cblr-2931	267	5	supra	supra	PROPN
cblr-2931	267	6	note	note	PROPN
cblr-2931	267	7	44	44	NUM
cblr-2931	267	8	,	,	PUNCT
cblr-2931	267	9	at	at	ADP
cblr-2931	267	10	808	808	NUM
cblr-2931	267	11	.	.	NOUN
cblr-2931	267	12	91	91	NUM
cblr-2931	267	13	see	see	VERB
cblr-2931	267	14	discussion	discussion	NOUN
cblr-2931	267	15	of	of	ADP
cblr-2931	267	16	the	the	DET
cblr-2931	267	17	"	"	PUNCT
cblr-2931	267	18	shingle	shingle	NOUN
cblr-2931	267	19	theory	theory	NOUN
cblr-2931	267	20	"	"	PUNCT
cblr-2931	267	21	in	in	ADP
cblr-2931	267	22	part	part	NOUN
cblr-2931	267	23	v.d	v.d	PROPN
cblr-2931	267	24	.	.	PROPN
cblr-2931	267	25	infra	infra	NOUN
cblr-2931	267	26	.	.	PUNCT
cblr-2931	268	1	52	52	NUM
cblr-2931	268	2	smith	smith	PROPN
cblr-2931	268	3	,	,	PUNCT
cblr-2931	268	4	supra	supra	PROPN
cblr-2931	268	5	note	note	PROPN
cblr-2931	268	6	42	42	NUM
cblr-2931	268	7	,	,	PUNCT
cblr-2931	268	8	at	at	ADP
cblr-2931	268	9	1427	1427	NUM
cblr-2931	268	10	.	.	PUNCT
cblr-2931	268	11	'	'	PUNCT
cblr-2931	269	1	the	the	DET
cblr-2931	269	2	following	following	NOUN
cblr-2931	269	3	are	be	AUX
cblr-2931	269	4	generally	generally	ADV
cblr-2931	269	5	considered	consider	VERB
cblr-2931	269	6	to	to	PART
cblr-2931	269	7	be	be	AUX
cblr-2931	269	8	fiduciary	fiduciary	ADJ
cblr-2931	269	9	relationships	relationship	NOUN
cblr-2931	269	10	:	:	PUNCT
cblr-2931	269	11	trustee	trustee	NOUN
cblr-2931	269	12	/	/	SYM
cblr-2931	269	13	trust	trust	PROPN
cblr-2931	269	14	,	,	PUNCT
cblr-2931	269	15	guardian	guardian	NOUN
cblr-2931	269	16	/	/	SYM
cblr-2931	269	17	ward	ward	NOUN
cblr-2931	269	18	,	,	PUNCT
cblr-2931	269	19	agent	agent	NOUN
cblr-2931	269	20	/	/	SYM
cblr-2931	269	21	principal	principal	NOUN
cblr-2931	269	22	,	,	PUNCT
cblr-2931	269	23	priest	priest	NOUN
cblr-2931	269	24	/	/	SYM
cblr-2931	269	25	devotee	devotee	ADJ
cblr-2931	269	26	,	,	PUNCT
cblr-2931	269	27	attorney	attorney	NOUN
cblr-2931	269	28	/	/	SYM
cblr-2931	269	29	client	client	NOUN
cblr-2931	269	30	,	,	PUNCT
cblr-2931	269	31	accountant	accountant	NOUN
cblr-2931	269	32	/	/	SYM
cblr-2931	269	33	client	client	PROPN
cblr-2931	269	34	.	.	PUNCT
cblr-2931	270	1	see	see	VERB
cblr-2931	270	2	demott	demott	PROPN
cblr-2931	270	3	,	,	PUNCT
cblr-2931	270	4	supra	supra	PROPN
cblr-2931	270	5	note	note	VERB
cblr-2931	270	6	42	42	NUM
cblr-2931	270	7	,	,	PUNCT
cblr-2931	270	8	at	at	ADP
cblr-2931	270	9	883	883	NUM
cblr-2931	270	10	,	,	PUNCT
cblr-2931	270	11	904	904	NUM
cblr-2931	270	12	,	,	PUNCT
cblr-2931	270	13	907	907	NUM
cblr-2931	270	14	-	-	SYM
cblr-2931	270	15	08	08	NUM
cblr-2931	270	16	;	;	PUNCT
cblr-2931	270	17	smith	smith	PROPN
cblr-2931	270	18	,	,	PUNCT
cblr-2931	270	19	supra	supra	PROPN
cblr-2931	270	20	note	note	PROPN
cblr-2931	270	21	42	42	NUM
cblr-2931	270	22	,	,	PUNCT
cblr-2931	270	23	at	at	ADP
cblr-2931	270	24	1427	1427	NUM
cblr-2931	270	25	,	,	PUNCT
cblr-2931	270	26	1460	1460	NUM
cblr-2931	270	27	;	;	PUNCT
cblr-2931	271	1	fitzgibbon	fitzgibbon	NOUN
cblr-2931	271	2	,	,	PUNCT
cblr-2931	271	3	supra	supra	PROPN
cblr-2931	271	4	note	note	NOUN
cblr-2931	271	5	49	49	NUM
cblr-2931	271	6	,	,	PUNCT
cblr-2931	271	7	at	at	ADP
cblr-2931	271	8	307	307	NUM
cblr-2931	271	9	.	.	PUNCT
cblr-2931	271	10	'	'	PUNCT
cblr-2931	272	1	see	see	VERB
cblr-2931	272	2	demott	demott	PROPN
cblr-2931	272	3	,	,	PUNCT
cblr-2931	272	4	supra	supra	PROPN
cblr-2931	272	5	note	note	VERB
cblr-2931	272	6	42	42	NUM
cblr-2931	272	7	,	,	PUNCT
cblr-2931	272	8	at	at	ADP
cblr-2931	272	9	909	909	NUM
cblr-2931	272	10	.	.	PUNCT
cblr-2931	272	11	724	724	NUM
cblr-2931	273	1	[	[	X
cblr-2931	273	2	vol	vol	NOUN
cblr-2931	273	3	.	.	PUNCT
cblr-2931	274	1	2010	2010	NUM
cblr-2931	274	2	no	no	NOUN
cblr-2931	274	3	.	.	PUNCT
cblr-2931	275	1	3:710	3:710	NUM
cblr-2931	275	2	]	]	PUNCT
cblr-2931	275	3	are	be	AUX
cblr-2931	275	4	existing	exist	VERB
cblr-2931	275	5	stock	stock	NOUN
cblr-2931	275	6	broker	broker	NOUN
cblr-2931	275	7	standards	standard	NOUN
cblr-2931	275	8	sufficient	sufficient	ADJ
cblr-2931	275	9	?	?	PUNCT
cblr-2931	276	1	circumstances.6	circumstances.6	NOUN
cblr-2931	276	2	as	as	ADP
cblr-2931	276	3	a	a	DET
cblr-2931	276	4	result	result	NOUN
cblr-2931	276	5	,	,	PUNCT
cblr-2931	276	6	it	it	PRON
cblr-2931	276	7	is	be	AUX
cblr-2931	276	8	difficult	difficult	ADJ
cblr-2931	276	9	to	to	PART
cblr-2931	276	10	make	make	VERB
cblr-2931	276	11	meaningful	meaningful	ADJ
cblr-2931	276	12	generalizations	generalization	NOUN
cblr-2931	276	13	describing	describe	VERB
cblr-2931	276	14	fiduciary	fiduciary	ADJ
cblr-2931	276	15	relationships	relationship	NOUN
cblr-2931	276	16	,	,	PUNCT
cblr-2931	276	17	considering	consider	VERB
cblr-2931	276	18	the	the	DET
cblr-2931	276	19	diversity	diversity	NOUN
cblr-2931	276	20	of	of	ADP
cblr-2931	276	21	contexts	context	NOUN
cblr-2931	276	22	in	in	ADP
cblr-2931	276	23	which	which	PRON
cblr-2931	276	24	they	they	PRON
cblr-2931	276	25	can	can	AUX
cblr-2931	276	26	arise	arise	VERB
cblr-2931	276	27	.	.	PUNCT
cblr-2931	277	1	6	6	NUM
cblr-2931	277	2	broadly	broadly	ADV
cblr-2931	277	3	speaking	speak	VERB
cblr-2931	277	4	,	,	PUNCT
cblr-2931	277	5	the	the	DET
cblr-2931	277	6	scope	scope	NOUN
cblr-2931	277	7	of	of	ADP
cblr-2931	277	8	the	the	DET
cblr-2931	277	9	fiduciary	fiduciary	ADJ
cblr-2931	277	10	duty	duty	NOUN
cblr-2931	277	11	depends	depend	VERB
cblr-2931	277	12	upon	upon	SCONJ
cblr-2931	277	13	a	a	DET
cblr-2931	277	14	standard	standard	NOUN
cblr-2931	277	15	of	of	ADP
cblr-2931	277	16	the	the	DET
cblr-2931	277	17	duty	duty	NOUN
cblr-2931	277	18	defined	define	VERB
cblr-2931	277	19	by	by	ADP
cblr-2931	277	20	the	the	DET
cblr-2931	277	21	type	type	NOUN
cblr-2931	277	22	of	of	ADP
cblr-2931	277	23	relationship	relationship	NOUN
cblr-2931	277	24	.	.	PUNCT
cblr-2931	277	25	"	"	PUNCT
cblr-2931	278	1	while	while	SCONJ
cblr-2931	278	2	fiduciary	fiduciary	ADJ
cblr-2931	278	3	relationships	relationship	NOUN
cblr-2931	278	4	across	across	ADP
cblr-2931	278	5	the	the	DET
cblr-2931	278	6	board	board	NOUN
cblr-2931	278	7	possess	possess	VERB
cblr-2931	278	8	some	some	DET
cblr-2931	278	9	similarities	similarity	NOUN
cblr-2931	278	10	,	,	PUNCT
cblr-2931	278	11	they	they	PRON
cblr-2931	278	12	are	be	AUX
cblr-2931	278	13	also	also	ADV
cblr-2931	278	14	different	different	ADJ
cblr-2931	278	15	-	-	PUNCT
cblr-2931	278	16	thus	thus	ADV
cblr-2931	278	17	generalities	generality	NOUN
cblr-2931	278	18	are	be	AUX
cblr-2931	278	19	insufficient	insufficient	ADJ
cblr-2931	278	20	to	to	PART
cblr-2931	278	21	explain	explain	VERB
cblr-2931	278	22	fiduciary	fiduciary	ADJ
cblr-2931	278	23	relationships.58	relationships.58	NOUN
cblr-2931	278	24	these	these	DET
cblr-2931	278	25	differences	difference	NOUN
cblr-2931	278	26	include	include	VERB
cblr-2931	278	27	:	:	PUNCT
cblr-2931	278	28	(	(	PUNCT
cblr-2931	278	29	1	1	X
cblr-2931	278	30	)	)	PUNCT
cblr-2931	278	31	the	the	DET
cblr-2931	278	32	purpose	purpose	NOUN
cblr-2931	278	33	and	and	CCONJ
cblr-2931	278	34	nature	nature	NOUN
cblr-2931	278	35	of	of	ADP
cblr-2931	278	36	the	the	DET
cblr-2931	278	37	relationship	relationship	NOUN
cblr-2931	278	38	;	;	PUNCT
cblr-2931	279	1	(	(	PUNCT
cblr-2931	279	2	2	2	X
cblr-2931	279	3	)	)	PUNCT
cblr-2931	279	4	the	the	DET
cblr-2931	279	5	amount	amount	NOUN
cblr-2931	279	6	of	of	ADP
cblr-2931	279	7	power	power	NOUN
cblr-2931	279	8	granted	grant	VERB
cblr-2931	279	9	to	to	ADP
cblr-2931	279	10	the	the	DET
cblr-2931	279	11	fiduciary	fiduciary	NOUN
cblr-2931	279	12	by	by	ADP
cblr-2931	279	13	the	the	DET
cblr-2931	279	14	beneficiary	beneficiary	NOUN
cblr-2931	279	15	;	;	PUNCT
cblr-2931	279	16	and	and	CCONJ
cblr-2931	279	17	(	(	PUNCT
cblr-2931	279	18	3	3	X
cblr-2931	279	19	)	)	PUNCT
cblr-2931	279	20	protective	protective	ADJ
cblr-2931	279	21	mechanisms	mechanism	NOUN
cblr-2931	279	22	put	put	VERB
cblr-2931	279	23	into	into	ADP
cblr-2931	279	24	place	place	NOUN
cblr-2931	279	25	to	to	PART
cblr-2931	279	26	aid	aid	VERB
cblr-2931	279	27	in	in	ADP
cblr-2931	279	28	reducing	reduce	VERB
cblr-2931	279	29	the	the	DET
cblr-2931	279	30	abuse	abuse	NOUN
cblr-2931	279	31	of	of	ADP
cblr-2931	279	32	this	this	DET
cblr-2931	279	33	power	power	NOUN
cblr-2931	279	34	.	.	PUNCT
cblr-2931	280	1	9	9	NUM
cblr-2931	281	1	notwithstanding	notwithstanding	ADP
cblr-2931	281	2	these	these	DET
cblr-2931	281	3	differences	difference	NOUN
cblr-2931	281	4	,	,	PUNCT
cblr-2931	281	5	all	all	DET
cblr-2931	281	6	fiduciary	fiduciary	ADJ
cblr-2931	281	7	relationships	relationship	NOUN
cblr-2931	281	8	share	share	VERB
cblr-2931	281	9	the	the	DET
cblr-2931	281	10	feature	feature	NOUN
cblr-2931	281	11	that	that	PRON
cblr-2931	281	12	the	the	DET
cblr-2931	281	13	fiduciary	fiduciary	ADJ
cblr-2931	281	14	is	be	AUX
cblr-2931	281	15	the	the	DET
cblr-2931	281	16	substitute	substitute	NOUN
cblr-2931	281	17	for	for	ADP
cblr-2931	281	18	the	the	DET
cblr-2931	281	19	beneficiary	beneficiary	NOUN
cblr-2931	281	20	.	.	PUNCT
cblr-2931	282	1	the	the	DET
cblr-2931	282	2	beneficiary	beneficiary	NOUN
cblr-2931	282	3	is	be	AUX
cblr-2931	282	4	looking	look	VERB
cblr-2931	282	5	to	to	ADP
cblr-2931	282	6	the	the	DET
cblr-2931	282	7	fiduciary	fiduciary	NOUN
cblr-2931	282	8	for	for	ADP
cblr-2931	282	9	a	a	DET
cblr-2931	282	10	benefit.o	benefit.o	NOUN
cblr-2931	282	11	it	it	PRON
cblr-2931	282	12	has	have	AUX
cblr-2931	282	13	been	be	AUX
cblr-2931	282	14	suggested	suggest	VERB
cblr-2931	282	15	that	that	SCONJ
cblr-2931	282	16	one	one	NUM
cblr-2931	282	17	way	way	NOUN
cblr-2931	282	18	to	to	PART
cblr-2931	282	19	view	view	VERB
cblr-2931	282	20	a	a	DET
cblr-2931	282	21	fiduciary	fiduciary	ADJ
cblr-2931	282	22	relationship	relationship	NOUN
cblr-2931	282	23	based	base	VERB
cblr-2931	282	24	upon	upon	SCONJ
cblr-2931	282	25	trust	trust	NOUN
cblr-2931	282	26	and	and	CCONJ
cblr-2931	282	27	confidence	confidence	NOUN
cblr-2931	282	28	is	be	AUX
cblr-2931	282	29	to	to	PART
cblr-2931	282	30	see	see	VERB
cblr-2931	282	31	it	it	PRON
cblr-2931	282	32	from	from	ADP
cblr-2931	282	33	the	the	DET
cblr-2931	282	34	perspective	perspective	NOUN
cblr-2931	282	35	of	of	ADP
cblr-2931	282	36	morality	morality	NOUN
cblr-2931	282	37	-	-	PUNCT
cblr-2931	282	38	that	that	SCONJ
cblr-2931	282	39	there	there	PRON
cblr-2931	282	40	is	be	VERB
cblr-2931	282	41	a	a	DET
cblr-2931	282	42	moral	moral	ADJ
cblr-2931	282	43	premise	premise	NOUN
cblr-2931	282	44	for	for	ADP
cblr-2931	282	45	a	a	DET
cblr-2931	282	46	fiduciary	fiduciary	ADJ
cblr-2931	282	47	relationship.61	relationship.61	NOUN
cblr-2931	282	48	the	the	DET
cblr-2931	282	49	various	various	ADJ
cblr-2931	282	50	descriptions	description	NOUN
cblr-2931	282	51	of	of	ADP
cblr-2931	282	52	a	a	DET
cblr-2931	282	53	fiduciary	fiduciary	ADJ
cblr-2931	282	54	relationship	relationship	NOUN
cblr-2931	282	55	have	have	VERB
cblr-2931	282	56	one	one	NUM
cblr-2931	282	57	thing	thing	NOUN
cblr-2931	282	58	in	in	ADP
cblr-2931	282	59	common	common	ADJ
cblr-2931	282	60	-	-	PUNCT
cblr-2931	282	61	fiduciary	fiduciary	ADJ
cblr-2931	282	62	relationships	relationship	NOUN
cblr-2931	282	63	are	be	AUX
cblr-2931	282	64	more	more	ADV
cblr-2931	282	65	expansive	expansive	ADJ
cblr-2931	282	66	than	than	ADP
cblr-2931	282	67	those	those	PRON
cblr-2931	282	68	established	establish	VERB
cblr-2931	282	69	through	through	ADP
cblr-2931	282	70	a	a	DET
cblr-2931	282	71	contract.62	contract.62	NOUN
cblr-2931	282	72	for	for	ADP
cblr-2931	282	73	example	example	NOUN
cblr-2931	282	74	,	,	PUNCT
cblr-2931	282	75	as	as	SCONJ
cblr-2931	282	76	discussed	discuss	VERB
cblr-2931	282	77	more	more	ADV
cblr-2931	282	78	fully	fully	ADV
cblr-2931	282	79	below	below	ADV
cblr-2931	282	80	,	,	PUNCT
cblr-2931	282	81	fiduciary	fiduciary	ADJ
cblr-2931	282	82	obligations	obligation	NOUN
cblr-2931	282	83	not	not	PART
cblr-2931	282	84	present	present	ADJ
cblr-2931	282	85	in	in	ADP
cblr-2931	282	86	arm	arm	NOUN
cblr-2931	282	87	's	's	PART
cblr-2931	282	88	length	length	NOUN
cblr-2931	282	89	contract	contract	NOUN
cblr-2931	282	90	dealings	dealing	NOUN
cblr-2931	282	91	include	include	VERB
cblr-2931	282	92	heightened	heighten	VERB
cblr-2931	282	93	disclosure	disclosure	NOUN
cblr-2931	282	94	duties	duty	NOUN
cblr-2931	282	95	as	as	ADV
cblr-2931	282	96	well	well	ADV
cblr-2931	282	97	as	as	ADP
cblr-2931	282	98	duties	duty	NOUN
cblr-2931	282	99	of	of	ADP
cblr-2931	282	100	loyalty	loyalty	NOUN
cblr-2931	282	101	.	.	PUNCT
cblr-2931	283	1	the	the	DET
cblr-2931	283	2	foregoing	foregoing	NOUN
cblr-2931	283	3	shows	show	VERB
cblr-2931	283	4	that	that	SCONJ
cblr-2931	283	5	generalizations	generalization	NOUN
cblr-2931	283	6	can	can	AUX
cblr-2931	283	7	be	be	AUX
cblr-2931	283	8	made	make	VERB
cblr-2931	283	9	,	,	PUNCT
cblr-2931	283	10	but	but	CCONJ
cblr-2931	283	11	they	they	PRON
cblr-2931	283	12	are	be	AUX
cblr-2931	283	13	not	not	PART
cblr-2931	283	14	always	always	ADV
cblr-2931	283	15	very	very	ADV
cblr-2931	283	16	helpful	helpful	ADJ
cblr-2931	283	17	.	.	PUNCT
cblr-2931	284	1	the	the	DET
cblr-2931	284	2	same	same	ADJ
cblr-2931	284	3	can	can	AUX
cblr-2931	284	4	be	be	AUX
cblr-2931	284	5	said	say	VERB
cblr-2931	284	6	1	1	NUM
cblr-2931	284	7	see	see	VERB
cblr-2931	284	8	smith	smith	PROPN
cblr-2931	284	9	,	,	PUNCT
cblr-2931	284	10	supra	supra	PROPN
cblr-2931	284	11	note	note	PROPN
cblr-2931	284	12	42	42	NUM
cblr-2931	284	13	,	,	PUNCT
cblr-2931	284	14	at	at	ADP
cblr-2931	284	15	1415	1415	NUM
cblr-2931	284	16	;	;	PUNCT
cblr-2931	284	17	see	see	VERB
cblr-2931	284	18	also	also	ADV
cblr-2931	284	19	frankel	frankel	NOUN
cblr-2931	284	20	,	,	PUNCT
cblr-2931	284	21	supra	supra	PROPN
cblr-2931	284	22	note	note	PROPN
cblr-2931	284	23	44	44	NUM
cblr-2931	284	24	,	,	PUNCT
cblr-2931	284	25	at	at	ADP
cblr-2931	284	26	810	810	NUM
cblr-2931	284	27	.	.	PUNCT
cblr-2931	285	1	*	*	PUNCT
cblr-2931	285	2	see	see	VERB
cblr-2931	285	3	smith	smith	PROPN
cblr-2931	285	4	,	,	PUNCT
cblr-2931	285	5	supra	supra	PROPN
cblr-2931	285	6	note	note	PROPN
cblr-2931	285	7	42	42	NUM
cblr-2931	285	8	,	,	PUNCT
cblr-2931	285	9	at	at	ADP
cblr-2931	285	10	1415	1415	NUM
cblr-2931	285	11	.	.	PUNCT
cblr-2931	285	12	"	"	PUNCT
cblr-2931	286	1	see	see	VERB
cblr-2931	286	2	demott	demott	PROPN
cblr-2931	286	3	,	,	PUNCT
cblr-2931	286	4	supra	supra	PROPN
cblr-2931	286	5	note	note	VERB
cblr-2931	286	6	42	42	NUM
cblr-2931	286	7	,	,	PUNCT
cblr-2931	286	8	at	at	ADP
cblr-2931	286	9	915	915	NUM
cblr-2931	286	10	.	.	PUNCT
cblr-2931	287	1	*	*	PUNCT
cblr-2931	287	2	see	see	VERB
cblr-2931	287	3	frankel	frankel	NOUN
cblr-2931	287	4	,	,	PUNCT
cblr-2931	287	5	supra	supra	PROPN
cblr-2931	287	6	note	note	PROPN
cblr-2931	287	7	44	44	NUM
cblr-2931	287	8	,	,	PUNCT
cblr-2931	287	9	at	at	ADP
cblr-2931	287	10	807	807	NUM
cblr-2931	287	11	-	-	SYM
cblr-2931	287	12	08	08	NUM
cblr-2931	287	13	;	;	PUNCT
cblr-2931	287	14	see	see	VERB
cblr-2931	287	15	also	also	ADV
cblr-2931	287	16	alces	alce	NOUN
cblr-2931	287	17	,	,	PUNCT
cblr-2931	287	18	supra	supra	PROPN
cblr-2931	287	19	note	note	PROPN
cblr-2931	287	20	43	43	NUM
cblr-2931	287	21	,	,	PUNCT
cblr-2931	287	22	at	at	ADP
cblr-2931	287	23	259	259	NUM
cblr-2931	287	24	-	-	SYM
cblr-2931	287	25	60	60	NUM
cblr-2931	287	26	.	.	PUNCT
cblr-2931	287	27	'	'	PUNCT
cblr-2931	288	1	see	see	VERB
cblr-2931	288	2	frankel	frankel	NOUN
cblr-2931	288	3	,	,	PUNCT
cblr-2931	288	4	supra	supra	PROPN
cblr-2931	288	5	note	note	PROPN
cblr-2931	288	6	44	44	NUM
cblr-2931	288	7	,	,	PUNCT
cblr-2931	288	8	at	at	ADP
cblr-2931	288	9	810	810	NUM
cblr-2931	288	10	;	;	PUNCT
cblr-2931	288	11	see	see	VERB
cblr-2931	288	12	also	also	ADV
cblr-2931	288	13	smith	smith	PROPN
cblr-2931	288	14	,	,	PUNCT
cblr-2931	288	15	supra	supra	PROPN
cblr-2931	288	16	note	note	PROPN
cblr-2931	288	17	42	42	NUM
cblr-2931	288	18	,	,	PUNCT
cblr-2931	288	19	at	at	ADP
cblr-2931	288	20	259	259	NUM
cblr-2931	288	21	-	-	SYM
cblr-2931	288	22	60	60	NUM
cblr-2931	288	23	.	.	PUNCT
cblr-2931	289	1	*	*	PUNCT
cblr-2931	289	2	see	see	VERB
cblr-2931	289	3	frankel	frankel	NOUN
cblr-2931	289	4	,	,	PUNCT
cblr-2931	289	5	supra	supra	PROPN
cblr-2931	289	6	note	note	PROPN
cblr-2931	289	7	44	44	NUM
cblr-2931	289	8	,	,	PUNCT
cblr-2931	289	9	at	at	ADP
cblr-2931	289	10	808	808	NUM
cblr-2931	289	11	.	.	PUNCT
cblr-2931	290	1	a	a	DET
cblr-2931	290	2	alces	alce	NOUN
cblr-2931	290	3	,	,	PUNCT
cblr-2931	290	4	supra	supra	PROPN
cblr-2931	290	5	note	note	PROPN
cblr-2931	290	6	43	43	NUM
cblr-2931	290	7	,	,	PUNCT
cblr-2931	290	8	at	at	ADP
cblr-2931	290	9	259	259	NUM
cblr-2931	290	10	-	-	SYM
cblr-2931	290	11	60	60	NUM
cblr-2931	290	12	.	.	PUNCT
cblr-2931	291	1	62	62	NUM
cblr-2931	291	2	smith	smith	PROPN
cblr-2931	291	3	,	,	PUNCT
cblr-2931	291	4	supra	supra	PROPN
cblr-2931	291	5	note	note	PROPN
cblr-2931	291	6	42	42	NUM
cblr-2931	291	7	,	,	PUNCT
cblr-2931	291	8	at	at	ADP
cblr-2931	291	9	1488	1488	NUM
cblr-2931	291	10	.	.	PUNCT
cblr-2931	292	1	725	725	NUM
cblr-2931	292	2	of	of	ADP
cblr-2931	292	3	defining	define	VERB
cblr-2931	292	4	the	the	DET
cblr-2931	292	5	consequences	consequence	NOUN
cblr-2931	292	6	that	that	PRON
cblr-2931	292	7	follow	follow	VERB
cblr-2931	292	8	once	once	ADV
cblr-2931	292	9	a	a	DET
cblr-2931	292	10	fiduciary	fiduciary	ADJ
cblr-2931	292	11	duty	duty	NOUN
cblr-2931	292	12	is	be	AUX
cblr-2931	292	13	established	establish	VERB
cblr-2931	292	14	.	.	PUNCT
cblr-2931	293	1	identifying	identify	VERB
cblr-2931	293	2	a	a	DET
cblr-2931	293	3	fiduciary	fiduciary	ADJ
cblr-2931	293	4	relationship	relationship	NOUN
cblr-2931	293	5	is	be	AUX
cblr-2931	293	6	simply	simply	ADV
cblr-2931	293	7	the	the	DET
cblr-2931	293	8	first	first	ADJ
cblr-2931	293	9	step	step	NOUN
cblr-2931	293	10	in	in	ADP
cblr-2931	293	11	the	the	DET
cblr-2931	293	12	inquiry	inquiry	NOUN
cblr-2931	293	13	.	.	PUNCT
cblr-2931	294	1	it	it	PRON
cblr-2931	294	2	is	be	AUX
cblr-2931	294	3	then	then	ADV
cblr-2931	294	4	necessary	necessary	ADJ
cblr-2931	294	5	to	to	PART
cblr-2931	294	6	determine	determine	VERB
cblr-2931	294	7	the	the	DET
cblr-2931	294	8	obligations	obligation	NOUN
cblr-2931	294	9	that	that	PRON
cblr-2931	294	10	flow	flow	VERB
cblr-2931	294	11	from	from	ADP
cblr-2931	294	12	the	the	DET
cblr-2931	294	13	recognition	recognition	NOUN
cblr-2931	294	14	of	of	ADP
cblr-2931	294	15	a	a	DET
cblr-2931	294	16	relationship	relationship	NOUN
cblr-2931	294	17	as	as	ADP
cblr-2931	294	18	fiduciary	fiduciary	ADJ
cblr-2931	294	19	.	.	PUNCT
cblr-2931	295	1	fiduciary	fiduciary	ADJ
cblr-2931	295	2	law	law	NOUN
cblr-2931	295	3	states	state	VERB
cblr-2931	295	4	some	some	DET
cblr-2931	295	5	general	general	ADJ
cblr-2931	295	6	principles	principle	NOUN
cblr-2931	295	7	and	and	CCONJ
cblr-2931	295	8	,	,	PUNCT
cblr-2931	295	9	in	in	ADP
cblr-2931	295	10	some	some	DET
cblr-2931	295	11	instances	instance	NOUN
cblr-2931	295	12	,	,	PUNCT
cblr-2931	295	13	specific	specific	ADJ
cblr-2931	295	14	rules	rule	NOUN
cblr-2931	295	15	of	of	ADP
cblr-2931	295	16	conduct	conduct	NOUN
cblr-2931	295	17	.	.	PUNCT
cblr-2931	296	1	most	most	ADV
cblr-2931	296	2	often	often	ADV
cblr-2931	296	3	the	the	DET
cblr-2931	296	4	duty	duty	NOUN
cblr-2931	296	5	is	be	AUX
cblr-2931	296	6	expressed	express	VERB
cblr-2931	296	7	in	in	ADP
cblr-2931	296	8	terms	term	NOUN
cblr-2931	296	9	of	of	ADP
cblr-2931	296	10	principles	principle	NOUN
cblr-2931	296	11	rather	rather	ADV
cblr-2931	296	12	than	than	ADP
cblr-2931	296	13	rules	rule	NOUN
cblr-2931	296	14	.	.	PUNCT
cblr-2931	297	1	a	a	DET
cblr-2931	297	2	fiduciary	fiduciary	ADJ
cblr-2931	297	3	duty	duty	NOUN
cblr-2931	297	4	is	be	AUX
cblr-2931	297	5	something	something	PRON
cblr-2931	297	6	more	more	ADJ
cblr-2931	297	7	than	than	SCONJ
cblr-2931	297	8	would	would	AUX
cblr-2931	297	9	exist	exist	VERB
cblr-2931	297	10	simply	simply	ADV
cblr-2931	297	11	as	as	ADP
cblr-2931	297	12	a	a	DET
cblr-2931	297	13	result	result	NOUN
cblr-2931	297	14	of	of	ADP
cblr-2931	297	15	dealing	deal	VERB
cblr-2931	297	16	with	with	ADP
cblr-2931	297	17	a	a	DET
cblr-2931	297	18	party	party	NOUN
cblr-2931	297	19	at	at	ADP
cblr-2931	297	20	arm	arm	NOUN
cblr-2931	297	21	's	's	PART
cblr-2931	297	22	length	length	NOUN
cblr-2931	297	23	.	.	PUNCT
cblr-2931	298	1	this	this	DET
cblr-2931	298	2	duty	duty	NOUN
cblr-2931	298	3	extends	extend	VERB
cblr-2931	298	4	beyond	beyond	ADP
cblr-2931	298	5	just	just	ADV
cblr-2931	298	6	honesty	honesty	NOUN
cblr-2931	298	7	and	and	CCONJ
cblr-2931	298	8	fairness	fairness	NOUN
cblr-2931	298	9	.	.	PUNCT
cblr-2931	299	1	as	as	SCONJ
cblr-2931	299	2	stated	state	VERB
cblr-2931	299	3	in	in	ADP
cblr-2931	299	4	an	an	DET
cblr-2931	299	5	oft	oft	ADV
cblr-2931	299	6	-	-	PUNCT
cblr-2931	299	7	quoted	quote	VERB
cblr-2931	299	8	passage	passage	NOUN
cblr-2931	299	9	penned	pen	VERB
cblr-2931	299	10	by	by	ADP
cblr-2931	299	11	justice	justice	PROPN
cblr-2931	299	12	cardozo	cardozo	PROPN
cblr-2931	299	13	:	:	PUNCT
cblr-2931	299	14	"	"	PUNCT
cblr-2931	299	15	[	[	X
cblr-2931	299	16	a	a	X
cblr-2931	299	17	]	]	X
cblr-2931	299	18	trustee	trustee	NOUN
cblr-2931	299	19	is	be	AUX
cblr-2931	299	20	held	hold	VERB
cblr-2931	299	21	to	to	ADP
cblr-2931	299	22	something	something	PRON
cblr-2931	299	23	stricter	strict	ADJ
cblr-2931	299	24	than	than	ADP
cblr-2931	299	25	the	the	DET
cblr-2931	299	26	morals	moral	NOUN
cblr-2931	299	27	of	of	ADP
cblr-2931	299	28	the	the	DET
cblr-2931	299	29	market	market	NOUN
cblr-2931	299	30	place	place	NOUN
cblr-2931	299	31	.	.	PUNCT
cblr-2931	300	1	not	not	PART
cblr-2931	300	2	honesty	honesty	NOUN
cblr-2931	300	3	alone	alone	ADV
cblr-2931	300	4	,	,	PUNCT
cblr-2931	300	5	but	but	CCONJ
cblr-2931	300	6	the	the	DET
cblr-2931	300	7	punctilio	punctilio	NOUN
cblr-2931	300	8	of	of	ADP
cblr-2931	300	9	an	an	DET
cblr-2931	300	10	honor	honor	NOUN
cblr-2931	300	11	the	the	DET
cblr-2931	300	12	most	most	ADV
cblr-2931	300	13	sensitive	sensitive	ADJ
cblr-2931	300	14	,	,	PUNCT
cblr-2931	300	15	is	be	AUX
cblr-2931	300	16	then	then	ADV
cblr-2931	300	17	the	the	DET
cblr-2931	300	18	standard	standard	NOUN
cblr-2931	300	19	of	of	ADP
cblr-2931	300	20	behavior	behavior	NOUN
cblr-2931	300	21	.	.	PUNCT
cblr-2931	301	1	"*6	"*6	PUNCT
cblr-2931	302	1	the	the	DET
cblr-2931	302	2	fiduciary	fiduciary	ADJ
cblr-2931	302	3	possesses	possess	VERB
cblr-2931	302	4	the	the	DET
cblr-2931	302	5	obligation	obligation	NOUN
cblr-2931	302	6	to	to	PART
cblr-2931	302	7	act	act	VERB
cblr-2931	302	8	in	in	ADP
cblr-2931	302	9	a	a	DET
cblr-2931	302	10	way	way	NOUN
cblr-2931	302	11	that	that	PRON
cblr-2931	302	12	furthers	further	VERB
cblr-2931	302	13	the	the	DET
cblr-2931	302	14	beneficiary	beneficiary	NOUN
cblr-2931	302	15	's	's	PART
cblr-2931	302	16	interests	interest	NOUN
cblr-2931	302	17	.	.	PUNCT
cblr-2931	303	1	"4	"4	ADJ
cblr-2931	303	2	in	in	ADP
cblr-2931	303	3	a	a	DET
cblr-2931	303	4	fiduciary	fiduciary	ADJ
cblr-2931	303	5	relationship	relationship	NOUN
cblr-2931	303	6	,	,	PUNCT
cblr-2931	303	7	the	the	DET
cblr-2931	303	8	beneficiary	beneficiary	NOUN
cblr-2931	303	9	is	be	AUX
cblr-2931	303	10	vulnerable	vulnerable	ADJ
cblr-2931	303	11	to	to	ADP
cblr-2931	303	12	the	the	DET
cblr-2931	303	13	power	power	NOUN
cblr-2931	303	14	of	of	ADP
cblr-2931	303	15	the	the	DET
cblr-2931	303	16	fiduciary	fiduciary	NOUN
cblr-2931	303	17	.	.	PUNCT
cblr-2931	304	1	if	if	SCONJ
cblr-2931	304	2	the	the	DET
cblr-2931	304	3	fiduciary	fiduciary	ADJ
cblr-2931	304	4	were	be	AUX
cblr-2931	304	5	to	to	PART
cblr-2931	304	6	abuse	abuse	VERB
cblr-2931	304	7	his	his	PRON
cblr-2931	304	8	power	power	NOUN
cblr-2931	304	9	,	,	PUNCT
cblr-2931	304	10	the	the	DET
cblr-2931	304	11	beneficiary	beneficiary	NOUN
cblr-2931	304	12	's	's	PART
cblr-2931	304	13	interest	interest	NOUN
cblr-2931	304	14	is	be	AUX
cblr-2931	304	15	at	at	ADP
cblr-2931	304	16	stake.65	stake.65	PROPN
cblr-2931	304	17	for	for	ADP
cblr-2931	304	18	this	this	DET
cblr-2931	304	19	reason	reason	NOUN
cblr-2931	304	20	,	,	PUNCT
cblr-2931	304	21	the	the	DET
cblr-2931	304	22	needs	need	NOUN
cblr-2931	304	23	and	and	CCONJ
cblr-2931	304	24	interests	interest	NOUN
cblr-2931	304	25	of	of	ADP
cblr-2931	304	26	the	the	DET
cblr-2931	304	27	beneficiary	beneficiary	NOUN
cblr-2931	304	28	are	be	AUX
cblr-2931	304	29	the	the	DET
cblr-2931	304	30	utmost	utmost	ADJ
cblr-2931	304	31	priority	priority	NOUN
cblr-2931	304	32	.	.	PUNCT
cblr-2931	304	33	"	"	PUNCT
cblr-2931	305	1	thus	thus	ADV
cblr-2931	305	2	,	,	PUNCT
cblr-2931	305	3	the	the	DET
cblr-2931	305	4	most	most	ADV
cblr-2931	305	5	ideal	ideal	ADJ
cblr-2931	305	6	relationships	relationship	NOUN
cblr-2931	305	7	are	be	AUX
cblr-2931	305	8	those	those	PRON
cblr-2931	305	9	in	in	ADP
cblr-2931	305	10	which	which	PRON
cblr-2931	305	11	the	the	DET
cblr-2931	305	12	beneficiary	beneficiary	NOUN
cblr-2931	305	13	's	's	PART
cblr-2931	305	14	interests	interest	NOUN
cblr-2931	305	15	do	do	AUX
cblr-2931	305	16	not	not	PART
cblr-2931	305	17	conflict	conflict	VERB
cblr-2931	305	18	with	with	ADP
cblr-2931	305	19	those	those	PRON
cblr-2931	305	20	of	of	ADP
cblr-2931	305	21	the	the	DET
cblr-2931	305	22	fiduciary	fiduciary	NOUN
cblr-2931	305	23	.	.	PUNCT
cblr-2931	306	1	ultimately	ultimately	ADV
cblr-2931	306	2	,	,	PUNCT
cblr-2931	306	3	the	the	DET
cblr-2931	306	4	most	most	ADV
cblr-2931	306	5	basic	basic	ADJ
cblr-2931	306	6	definition	definition	NOUN
cblr-2931	306	7	of	of	ADP
cblr-2931	306	8	a	a	DET
cblr-2931	306	9	fiduciary	fiduciary	ADJ
cblr-2931	306	10	relationship	relationship	NOUN
cblr-2931	306	11	is	be	AUX
cblr-2931	306	12	a	a	DET
cblr-2931	306	13	relationship	relationship	NOUN
cblr-2931	306	14	in	in	ADP
cblr-2931	306	15	which	which	PRON
cblr-2931	306	16	the	the	DET
cblr-2931	306	17	fiduciary	fiduciary	ADJ
cblr-2931	306	18	is	be	AUX
cblr-2931	306	19	held	hold	VERB
cblr-2931	306	20	to	to	ADP
cblr-2931	306	21	a	a	DET
cblr-2931	306	22	"	"	PUNCT
cblr-2931	306	23	higher	high	ADJ
cblr-2931	306	24	standard	standard	NOUN
cblr-2931	306	25	of	of	ADP
cblr-2931	306	26	trust	trust	NOUN
cblr-2931	306	27	and	and	CCONJ
cblr-2931	306	28	an	an	DET
cblr-2931	306	29	obligation	obligation	NOUN
cblr-2931	306	30	to	to	PART
cblr-2931	306	31	work	work	VERB
cblr-2931	306	32	in	in	ADP
cblr-2931	306	33	a	a	DET
cblr-2931	306	34	trustworthy	trustworthy	ADJ
cblr-2931	306	35	manner	manner	NOUN
cblr-2931	306	36	for	for	ADP
cblr-2931	306	37	the	the	DET
cblr-2931	306	38	benefit	benefit	NOUN
cblr-2931	306	39	of	of	ADP
cblr-2931	306	40	another	another	PRON
cblr-2931	306	41	,	,	PUNCT
cblr-2931	306	42	with	with	ADP
cblr-2931	306	43	the	the	DET
cblr-2931	306	44	beneficiary	beneficiary	NOUN
cblr-2931	306	45	's	's	PART
cblr-2931	306	46	best	good	ADJ
cblr-2931	306	47	interests	interest	NOUN
cblr-2931	306	48	as	as	ADP
cblr-2931	306	49	its	its	PRON
cblr-2931	306	50	goal	goal	NOUN
cblr-2931	306	51	in	in	ADP
cblr-2931	306	52	the	the	DET
cblr-2931	306	53	performance	performance	NOUN
cblr-2931	306	54	of	of	ADP
cblr-2931	306	55	the	the	DET
cblr-2931	306	56	task	task	NOUN
cblr-2931	306	57	.	.	PUNCT
cblr-2931	307	1	"67	"67	PROPN
cblr-2931	307	2	as	as	SCONJ
cblr-2931	307	3	stated	state	VERB
cblr-2931	307	4	in	in	ADP
cblr-2931	307	5	a	a	DET
cblr-2931	307	6	famous	famous	ADJ
cblr-2931	307	7	passage	passage	NOUN
cblr-2931	307	8	by	by	ADP
cblr-2931	307	9	the	the	DET
cblr-2931	307	10	united	united	PROPN
cblr-2931	307	11	states	states	PROPN
cblr-2931	307	12	supreme	supreme	PROPN
cblr-2931	307	13	court	court	PROPN
cblr-2931	307	14	:	:	PUNCT
cblr-2931	308	1	[	[	X
cblr-2931	308	2	t]o	t]o	NOUN
cblr-2931	308	3	say	say	VERB
cblr-2931	308	4	that	that	SCONJ
cblr-2931	308	5	a	a	DET
cblr-2931	308	6	man	man	NOUN
cblr-2931	308	7	is	be	AUX
cblr-2931	308	8	a	a	DET
cblr-2931	308	9	fiduciary	fiduciary	ADJ
cblr-2931	308	10	only	only	ADV
cblr-2931	308	11	begins	begin	VERB
cblr-2931	308	12	analysis	analysis	NOUN
cblr-2931	308	13	;	;	PUNCT
cblr-2931	308	14	it	it	PRON
cblr-2931	308	15	gives	give	VERB
cblr-2931	308	16	direction	direction	NOUN
cblr-2931	308	17	to	to	ADP
cblr-2931	308	18	further	further	ADJ
cblr-2931	308	19	inquiry	inquiry	NOUN
cblr-2931	308	20	.	.	PUNCT
cblr-2931	309	1	to	to	ADP
cblr-2931	309	2	"	"	PUNCT
cblr-2931	309	3	meinhard	meinhard	VERB
cblr-2931	309	4	v.	v.	ADP
cblr-2931	309	5	salmon	salmon	NOUN
cblr-2931	309	6	,	,	PUNCT
cblr-2931	309	7	164	164	NUM
cblr-2931	309	8	n.e	n.e	PROPN
cblr-2931	309	9	.	.	PROPN
cblr-2931	309	10	545	545	NUM
cblr-2931	309	11	,	,	PUNCT
cblr-2931	309	12	546	546	NUM
cblr-2931	309	13	(	(	PUNCT
cblr-2931	309	14	n.y	n.y	PROPN
cblr-2931	309	15	.	.	PROPN
cblr-2931	309	16	1928	1928	NUM
cblr-2931	309	17	)	)	PUNCT
cblr-2931	309	18	.	.	PUNCT
cblr-2931	309	19	"	"	PUNCT
cblr-2931	310	1	see	see	VERB
cblr-2931	310	2	demott	demott	PROPN
cblr-2931	310	3	,	,	PUNCT
cblr-2931	310	4	supra	supra	PROPN
cblr-2931	310	5	note	note	VERB
cblr-2931	310	6	42	42	NUM
cblr-2931	310	7	,	,	PUNCT
cblr-2931	310	8	at	at	ADP
cblr-2931	310	9	882	882	NUM
cblr-2931	310	10	;	;	PUNCT
cblr-2931	310	11	see	see	VERB
cblr-2931	310	12	also	also	ADV
cblr-2931	310	13	,	,	PUNCT
cblr-2931	310	14	e.g.	e.g.	ADV
cblr-2931	310	15	,	,	PUNCT
cblr-2931	310	16	frankel	frankel	NOUN
cblr-2931	310	17	,	,	PUNCT
cblr-2931	310	18	supra	supra	PROPN
cblr-2931	310	19	note	note	PROPN
cblr-2931	310	20	44	44	NUM
cblr-2931	310	21	,	,	PUNCT
cblr-2931	310	22	at	at	ADP
cblr-2931	310	23	801	801	NUM
cblr-2931	310	24	.	.	PUNCT
cblr-2931	311	1	65	65	NUM
cblr-2931	311	2	see	see	VERB
cblr-2931	311	3	demott	demott	PROPN
cblr-2931	311	4	,	,	PUNCT
cblr-2931	311	5	supra	supra	PROPN
cblr-2931	311	6	note	note	VERB
cblr-2931	311	7	42	42	NUM
cblr-2931	311	8	,	,	PUNCT
cblr-2931	311	9	at	at	ADP
cblr-2931	311	10	902	902	NUM
cblr-2931	311	11	.	.	PUNCT
cblr-2931	311	12	"	"	PUNCT
cblr-2931	312	1	see	see	VERB
cblr-2931	312	2	frankel	frankel	NOUN
cblr-2931	312	3	,	,	PUNCT
cblr-2931	312	4	supra	supra	PROPN
cblr-2931	312	5	note	note	PROPN
cblr-2931	312	6	44	44	NUM
cblr-2931	312	7	,	,	PUNCT
cblr-2931	312	8	at	at	ADP
cblr-2931	312	9	801	801	NUM
cblr-2931	312	10	.	.	PUNCT
cblr-2931	313	1	*	*	PUNCT
cblr-2931	313	2	see	see	VERB
cblr-2931	313	3	alces	alce	NOUN
cblr-2931	313	4	,	,	PUNCT
cblr-2931	313	5	supra	supra	PROPN
cblr-2931	313	6	note	note	PROPN
cblr-2931	313	7	43	43	NUM
cblr-2931	313	8	,	,	PUNCT
cblr-2931	313	9	at	at	ADP
cblr-2931	313	10	244	244	NUM
cblr-2931	313	11	.	.	PUNCT
cblr-2931	314	1	726	726	NUM
cblr-2931	314	2	col	col	PROPN
cblr-2931	314	3	umbia	umbia	PROPN
cblr-2931	314	4	b	b	PROPN
cblr-2931	314	5	usiness	usiness	PROPN
cblr-2931	314	6	la	la	PROPN
cblr-2931	314	7	w	w	PROPN
cblr-2931	314	8	re	re	PROPN
cblr-2931	314	9	vie	vie	PROPN
cblr-2931	314	10	w	w	PROPN
cblr-2931	314	11	[	[	PUNCT
cblr-2931	314	12	vol	vol	NOUN
cblr-2931	314	13	.	.	PUNCT
cblr-2931	314	14	2010	2010	NUM
cblr-2931	314	15	no	no	NOUN
cblr-2931	314	16	.	.	PUNCT
cblr-2931	315	1	3:710	3:710	NUM
cblr-2931	315	2	]	]	PUNCT
cblr-2931	315	3	are	be	AUX
cblr-2931	315	4	existing	exist	VERB
cblr-2931	315	5	stock	stock	NOUN
cblr-2931	315	6	broker	broker	NOUN
cblr-2931	315	7	standards	standard	NOUN
cblr-2931	315	8	sufficient	sufficient	ADJ
cblr-2931	315	9	?	?	PUNCT
cblr-2931	316	1	whom	whom	PRON
cblr-2931	316	2	is	be	AUX
cblr-2931	316	3	he	he	PRON
cblr-2931	316	4	a	a	DET
cblr-2931	316	5	fiduciary	fiduciary	NOUN
cblr-2931	316	6	?	?	PUNCT
cblr-2931	317	1	what	what	PRON
cblr-2931	317	2	obligations	obligation	NOUN
cblr-2931	317	3	does	do	AUX
cblr-2931	317	4	he	he	PRON
cblr-2931	317	5	owe	owe	VERB
cblr-2931	317	6	as	as	ADP
cblr-2931	317	7	a	a	DET
cblr-2931	317	8	fiduciary	fiduciary	NOUN
cblr-2931	317	9	?	?	PUNCT
cblr-2931	318	1	in	in	ADP
cblr-2931	318	2	what	what	DET
cblr-2931	318	3	respect	respect	NOUN
cblr-2931	318	4	has	have	AUX
cblr-2931	318	5	he	he	PRON
cblr-2931	318	6	failed	fail	VERB
cblr-2931	318	7	to	to	PART
cblr-2931	318	8	discharge	discharge	VERB
cblr-2931	318	9	these	these	DET
cblr-2931	318	10	obligations	obligation	NOUN
cblr-2931	318	11	?	?	PUNCT
cblr-2931	319	1	and	and	CCONJ
cblr-2931	319	2	what	what	PRON
cblr-2931	319	3	are	be	AUX
cblr-2931	319	4	the	the	DET
cblr-2931	319	5	consequences	consequence	NOUN
cblr-2931	319	6	of	of	ADP
cblr-2931	319	7	his	his	PRON
cblr-2931	319	8	deviation	deviation	NOUN
cblr-2931	319	9	from	from	ADP
cblr-2931	319	10	duty?68	duty?68	PROPN
cblr-2931	319	11	it	it	PRON
cblr-2931	319	12	has	have	AUX
cblr-2931	319	13	been	be	AUX
cblr-2931	319	14	said	say	VERB
cblr-2931	319	15	that	that	SCONJ
cblr-2931	319	16	fiduciary	fiduciary	ADJ
cblr-2931	319	17	relationships	relationship	NOUN
cblr-2931	319	18	are	be	AUX
cblr-2931	319	19	relationships	relationship	NOUN
cblr-2931	319	20	which	which	PRON
cblr-2931	319	21	are	be	AUX
cblr-2931	319	22	entered	enter	VERB
cblr-2931	319	23	into	into	ADP
cblr-2931	319	24	voluntarily	voluntarily	ADV
cblr-2931	319	25	in	in	ADP
cblr-2931	319	26	which	which	PRON
cblr-2931	319	27	the	the	DET
cblr-2931	319	28	fiduciary	fiduciary	ADJ
cblr-2931	319	29	possesses	possess	VERB
cblr-2931	319	30	a	a	DET
cblr-2931	319	31	zealous	zealous	ADJ
cblr-2931	319	32	duty	duty	NOUN
cblr-2931	319	33	of	of	ADP
cblr-2931	319	34	good	good	ADJ
cblr-2931	319	35	faith.69	faith.69	PROPN
cblr-2931	319	36	fiduciary	fiduciary	ADJ
cblr-2931	319	37	relationships	relationship	NOUN
cblr-2931	319	38	established	establish	VERB
cblr-2931	319	39	by	by	ADP
cblr-2931	319	40	law	law	NOUN
cblr-2931	319	41	often	often	ADV
cblr-2931	319	42	are	be	AUX
cblr-2931	319	43	mirrored	mirror	VERB
cblr-2931	319	44	by	by	ADP
cblr-2931	319	45	relationships	relationship	NOUN
cblr-2931	319	46	established	establish	VERB
cblr-2931	319	47	by	by	ADP
cblr-2931	319	48	custom	custom	NOUN
cblr-2931	319	49	reflecting	reflect	VERB
cblr-2931	319	50	positive	positive	ADJ
cblr-2931	319	51	social	social	ADJ
cblr-2931	319	52	attributes	attribute	NOUN
cblr-2931	319	53	including	include	VERB
cblr-2931	319	54	"	"	PUNCT
cblr-2931	319	55	loyalty	loyalty	NOUN
cblr-2931	319	56	,	,	PUNCT
cblr-2931	319	57	civility	civility	NOUN
cblr-2931	319	58	,	,	PUNCT
cblr-2931	319	59	self	self	NOUN
cblr-2931	319	60	-	-	PUNCT
cblr-2931	319	61	sacrifice	sacrifice	NOUN
cblr-2931	319	62	,	,	PUNCT
cblr-2931	319	63	vocational	vocational	ADJ
cblr-2931	319	64	excellence	excellence	NOUN
cblr-2931	319	65	,	,	PUNCT
cblr-2931	319	66	and	and	CCONJ
cblr-2931	319	67	high	high	ADJ
cblr-2931	319	68	standards	standard	NOUN
cblr-2931	319	69	of	of	ADP
cblr-2931	319	70	honesty	honesty	NOUN
cblr-2931	319	71	.	.	PUNCT
cblr-2931	320	1	""0	""0	NOUN
cblr-2931	320	2	the	the	DET
cblr-2931	320	3	law	law	NOUN
cblr-2931	320	4	thus	thus	ADV
cblr-2931	320	5	recognizes	recognize	VERB
cblr-2931	320	6	that	that	SCONJ
cblr-2931	320	7	a	a	DET
cblr-2931	320	8	fiduciary	fiduciary	ADJ
cblr-2931	320	9	relationship	relationship	NOUN
cblr-2931	320	10	entails	entail	VERB
cblr-2931	320	11	a	a	DET
cblr-2931	320	12	strong	strong	ADJ
cblr-2931	320	13	duty	duty	NOUN
cblr-2931	320	14	of	of	ADP
cblr-2931	320	15	the	the	DET
cblr-2931	320	16	utmost	utmost	ADJ
cblr-2931	320	17	loyalty	loyalty	NOUN
cblr-2931	320	18	.	.	PUNCT
cblr-2931	321	1	this	this	DET
cblr-2931	321	2	loyalty	loyalty	NOUN
cblr-2931	321	3	means	mean	VERB
cblr-2931	321	4	that	that	SCONJ
cblr-2931	321	5	the	the	DET
cblr-2931	321	6	fiduciary	fiduciary	NOUN
cblr-2931	321	7	must	must	AUX
cblr-2931	321	8	act	act	VERB
cblr-2931	321	9	solely	solely	ADV
cblr-2931	321	10	in	in	ADP
cblr-2931	321	11	the	the	DET
cblr-2931	321	12	beneficiary	beneficiary	NOUN
cblr-2931	321	13	's	's	PART
cblr-2931	321	14	best	good	ADJ
cblr-2931	321	15	interests	interest	NOUN
cblr-2931	321	16	rather	rather	ADV
cblr-2931	321	17	than	than	ADP
cblr-2931	321	18	acting	act	VERB
cblr-2931	321	19	in	in	ADP
cblr-2931	321	20	the	the	DET
cblr-2931	321	21	fiduciary	fiduciary	ADJ
cblr-2931	321	22	's	's	PART
cblr-2931	321	23	own	own	ADJ
cblr-2931	321	24	interests	interest	NOUN
cblr-2931	321	25	.	.	PUNCT
cblr-2931	321	26	"	"	PUNCT
cblr-2931	322	1	although	although	SCONJ
cblr-2931	322	2	they	they	PRON
cblr-2931	322	3	can	can	AUX
cblr-2931	322	4	not	not	PART
cblr-2931	322	5	be	be	AUX
cblr-2931	322	6	defined	define	VERB
cblr-2931	322	7	in	in	ADP
cblr-2931	322	8	bright	bright	ADJ
cblr-2931	322	9	-	-	PUNCT
cblr-2931	322	10	line	line	NOUN
cblr-2931	322	11	terms	term	NOUN
cblr-2931	322	12	,	,	PUNCT
cblr-2931	322	13	the	the	DET
cblr-2931	322	14	various	various	ADJ
cblr-2931	322	15	descriptions	description	NOUN
cblr-2931	322	16	of	of	ADP
cblr-2931	322	17	fiduciary	fiduciary	ADJ
cblr-2931	322	18	relationships	relationship	NOUN
cblr-2931	322	19	share	share	VERB
cblr-2931	322	20	a	a	DET
cblr-2931	322	21	common	common	ADJ
cblr-2931	322	22	thread	thread	NOUN
cblr-2931	322	23	-	-	PUNCT
cblr-2931	322	24	the	the	DET
cblr-2931	322	25	existence	existence	NOUN
cblr-2931	322	26	of	of	ADP
cblr-2931	322	27	heightened	heighten	VERB
cblr-2931	322	28	obligations	obligation	NOUN
cblr-2931	322	29	to	to	PART
cblr-2931	322	30	be	be	AUX
cblr-2931	322	31	contrasted	contrast	VERB
cblr-2931	322	32	to	to	ADP
cblr-2931	322	33	contractual	contractual	ADJ
cblr-2931	322	34	obligations	obligation	NOUN
cblr-2931	322	35	resulting	result	VERB
cblr-2931	322	36	in	in	ADP
cblr-2931	322	37	nonfiduciary	nonfiduciary	ADJ
cblr-2931	322	38	arm	arm	NOUN
cblr-2931	322	39	's	's	PART
cblr-2931	322	40	length	length	NOUN
cblr-2931	322	41	transactions	transaction	NOUN
cblr-2931	322	42	.	.	PUNCT
cblr-2931	323	1	before	before	ADP
cblr-2931	323	2	discussing	discuss	VERB
cblr-2931	323	3	the	the	DET
cblr-2931	323	4	extent	extent	NOUN
cblr-2931	323	5	to	to	PART
cblr-2931	323	6	which	which	PRON
cblr-2931	323	7	fiduciary	fiduciary	ADJ
cblr-2931	323	8	principles	principle	NOUN
cblr-2931	323	9	apply	apply	VERB
cblr-2931	323	10	to	to	ADP
cblr-2931	323	11	broker	broker	NOUN
cblr-2931	323	12	-	-	PUNCT
cblr-2931	323	13	dealer	dealer	NOUN
cblr-2931	323	14	obligations	obligation	NOUN
cblr-2931	323	15	,	,	PUNCT
cblr-2931	323	16	the	the	DET
cblr-2931	323	17	next	next	ADJ
cblr-2931	323	18	section	section	NOUN
cblr-2931	323	19	explores	explore	VERB
cblr-2931	323	20	the	the	DET
cblr-2931	323	21	background	background	NOUN
cblr-2931	323	22	and	and	CCONJ
cblr-2931	323	23	scope	scope	NOUN
cblr-2931	323	24	of	of	ADP
cblr-2931	323	25	broker	broker	NOUN
cblr-2931	323	26	-	-	PUNCT
cblr-2931	323	27	dealer	dealer	NOUN
cblr-2931	323	28	regulation	regulation	NOUN
cblr-2931	323	29	under	under	ADP
cblr-2931	323	30	the	the	DET
cblr-2931	323	31	federal	federal	ADJ
cblr-2931	323	32	securities	security	NOUN
cblr-2931	323	33	laws	law	NOUN
cblr-2931	323	34	.	.	PUNCT
cblr-2931	324	1	v.	v.	ADP
cblr-2931	324	2	broker	broker	NOUN
cblr-2931	324	3	-	-	PUNCT
cblr-2931	324	4	dealer	dealer	NOUN
cblr-2931	324	5	regulation	regulation	NOUN
cblr-2931	324	6	under	under	ADP
cblr-2931	324	7	the	the	DET
cblr-2931	324	8	current	current	ADJ
cblr-2931	324	9	regime	regime	NOUN
cblr-2931	324	10	federal	federal	ADJ
cblr-2931	324	11	securities	security	NOUN
cblr-2931	324	12	regulation	regulation	NOUN
cblr-2931	324	13	is	be	AUX
cblr-2931	324	14	based	base	VERB
cblr-2931	324	15	on	on	ADP
cblr-2931	324	16	disclosure	disclosure	NOUN
cblr-2931	324	17	rather	rather	ADV
cblr-2931	324	18	than	than	ADP
cblr-2931	324	19	merits	merit	VERB
cblr-2931	324	20	scrutiny	scrutiny	NOUN
cblr-2931	324	21	of	of	ADP
cblr-2931	324	22	transactions	transaction	NOUN
cblr-2931	324	23	.	.	PUNCT
cblr-2931	325	1	this	this	PRON
cblr-2931	325	2	means	mean	VERB
cblr-2931	325	3	that	that	SCONJ
cblr-2931	325	4	rather	rather	ADV
cblr-2931	325	5	than	than	SCONJ
cblr-2931	325	6	focus	focus	VERB
cblr-2931	325	7	on	on	ADP
cblr-2931	325	8	the	the	DET
cblr-2931	325	9	merits	merit	NOUN
cblr-2931	325	10	of	of	ADP
cblr-2931	325	11	particular	particular	ADJ
cblr-2931	325	12	investments	investment	NOUN
cblr-2931	325	13	,	,	PUNCT
cblr-2931	325	14	the	the	DET
cblr-2931	325	15	basic	basic	ADJ
cblr-2931	325	16	thrust	thrust	NOUN
cblr-2931	325	17	of	of	ADP
cblr-2931	325	18	the	the	DET
cblr-2931	325	19	law	law	NOUN
cblr-2931	325	20	is	be	AUX
cblr-2931	325	21	"	"	PUNCT
cblr-2931	325	22	truth	truth	NOUN
cblr-2931	325	23	in	in	ADP
cblr-2931	325	24	securities	security	NOUN
cblr-2931	325	25	"	"	PUNCT
cblr-2931	325	26	so	so	SCONJ
cblr-2931	325	27	that	that	SCONJ
cblr-2931	325	28	after	after	ADP
cblr-2931	325	29	full	full	ADJ
cblr-2931	325	30	disclosure	disclosure	NOUN
cblr-2931	325	31	of	of	ADP
cblr-2931	325	32	material	material	NOUN
cblr-2931	325	33	facts	fact	NOUN
cblr-2931	325	34	investors	investor	NOUN
cblr-2931	325	35	can	can	AUX
cblr-2931	325	36	make	make	VERB
cblr-2931	325	37	their	their	PRON
cblr-2931	325	38	own	own	ADJ
cblr-2931	325	39	"	"	PUNCT
cblr-2931	325	40	sec	sec	PROPN
cblr-2931	325	41	v.	v.	PROPN
cblr-2931	325	42	chenery	chenery	PROPN
cblr-2931	325	43	co.	co.	PROPN
cblr-2931	325	44	,	,	PUNCT
cblr-2931	325	45	318	318	NUM
cblr-2931	325	46	u.s	u.s	PROPN
cblr-2931	325	47	.	.	PROPN
cblr-2931	325	48	80	80	NUM
cblr-2931	325	49	,	,	PUNCT
cblr-2931	325	50	85	85	NUM
cblr-2931	325	51	-	-	SYM
cblr-2931	325	52	86	86	NUM
cblr-2931	325	53	(	(	PUNCT
cblr-2931	325	54	1943	1943	NUM
cblr-2931	325	55	)	)	PUNCT
cblr-2931	325	56	.	.	PUNCT
cblr-2931	326	1	69	69	NUM
cblr-2931	326	2	fitzgibbon	fitzgibbon	NOUN
cblr-2931	326	3	,	,	PUNCT
cblr-2931	326	4	supra	supra	PROPN
cblr-2931	326	5	note	note	PROPN
cblr-2931	326	6	49	49	NUM
cblr-2931	326	7	,	,	PUNCT
cblr-2931	326	8	at	at	ADP
cblr-2931	326	9	304	304	NUM
cblr-2931	326	10	,	,	PUNCT
cblr-2931	326	11	308	308	NUM
cblr-2931	326	12	-	-	SYM
cblr-2931	326	13	09	09	NUM
cblr-2931	326	14	;	;	PUNCT
cblr-2931	326	15	see	see	VERB
cblr-2931	326	16	also	also	ADV
cblr-2931	326	17	demott	demott	PROPN
cblr-2931	326	18	,	,	PUNCT
cblr-2931	326	19	supra	supra	PROPN
cblr-2931	326	20	note	note	VERB
cblr-2931	326	21	42	42	NUM
cblr-2931	326	22	,	,	PUNCT
cblr-2931	326	23	at	at	ADP
cblr-2931	326	24	902	902	NUM
cblr-2931	326	25	.	.	PUNCT
cblr-2931	327	1	70	70	NUM
cblr-2931	327	2	fitzgibbon	fitzgibbon	NOUN
cblr-2931	327	3	,	,	PUNCT
cblr-2931	327	4	supra	supra	PROPN
cblr-2931	327	5	note	note	NOUN
cblr-2931	327	6	49	49	NUM
cblr-2931	327	7	,	,	PUNCT
cblr-2931	327	8	at	at	ADP
cblr-2931	327	9	340	340	NUM
cblr-2931	327	10	.	.	PUNCT
cblr-2931	327	11	71	71	NUM
cblr-2931	327	12	see	see	VERB
cblr-2931	327	13	smith	smith	PROPN
cblr-2931	327	14	,	,	PUNCT
cblr-2931	327	15	supra	supra	PROPN
cblr-2931	327	16	note	note	PROPN
cblr-2931	327	17	42	42	NUM
cblr-2931	327	18	,	,	PUNCT
cblr-2931	327	19	at	at	ADP
cblr-2931	327	20	1488	1488	NUM
cblr-2931	327	21	.	.	PUNCT
cblr-2931	328	1	727	727	NUM
cblr-2931	328	2	decisions.7	decisions.7	VERB
cblr-2931	328	3	2	2	NUM
cblr-2931	328	4	a	a	DET
cblr-2931	328	5	notable	notable	ADJ
cblr-2931	328	6	exception	exception	NOUN
cblr-2931	328	7	to	to	ADP
cblr-2931	328	8	this	this	DET
cblr-2931	328	9	disclosure	disclosure	NOUN
cblr-2931	328	10	approach	approach	NOUN
cblr-2931	328	11	,	,	PUNCT
cblr-2931	328	12	even	even	ADV
cblr-2931	328	13	before	before	SCONJ
cblr-2931	328	14	the	the	DET
cblr-2931	328	15	enactment	enactment	NOUN
cblr-2931	328	16	of	of	ADP
cblr-2931	328	17	the	the	DET
cblr-2931	328	18	first	first	ADJ
cblr-2931	328	19	federal	federal	ADJ
cblr-2931	328	20	securities	security	NOUN
cblr-2931	328	21	law	law	NOUN
cblr-2931	328	22	in	in	ADP
cblr-2931	328	23	1933,"3	1933,"3	NUM
cblr-2931	328	24	was	be	AUX
cblr-2931	328	25	broker	broker	NOUN
cblr-2931	328	26	-	-	PUNCT
cblr-2931	328	27	dealer	dealer	NOUN
cblr-2931	328	28	regulation	regulation	NOUN
cblr-2931	328	29	which	which	PRON
cblr-2931	328	30	dates	date	VERB
cblr-2931	328	31	back	back	ADV
cblr-2931	328	32	to	to	ADP
cblr-2931	328	33	the	the	DET
cblr-2931	328	34	thirteenth	thirteenth	ADJ
cblr-2931	328	35	century	century	NOUN
cblr-2931	328	36	.	.	PUNCT
cblr-2931	329	1	1	1	NUM
cblr-2931	329	2	this	this	DET
cblr-2931	329	3	early	early	ADJ
cblr-2931	329	4	regulation	regulation	NOUN
cblr-2931	329	5	authorized	authorize	VERB
cblr-2931	329	6	licensing	license	VERB
cblr-2931	329	7	securities	security	NOUN
cblr-2931	329	8	brokers	broker	NOUN
cblr-2931	329	9	in	in	ADP
cblr-2931	329	10	london	london	PROPN
cblr-2931	329	11	.	.	PUNCT
cblr-2931	330	1	"5	"5	NOUN
cblr-2931	330	2	stock	stock	NOUN
cblr-2931	330	3	exchange	exchange	NOUN
cblr-2931	330	4	dealings	dealing	NOUN
cblr-2931	330	5	,	,	PUNCT
cblr-2931	330	6	with	with	ADP
cblr-2931	330	7	speculation	speculation	NOUN
cblr-2931	330	8	subject	subject	ADJ
cblr-2931	330	9	to	to	ADP
cblr-2931	330	10	alternate	alternate	ADJ
cblr-2931	330	11	booms	boom	NOUN
cblr-2931	330	12	and	and	CCONJ
cblr-2931	330	13	panics	panic	NOUN
cblr-2931	330	14	,	,	PUNCT
cblr-2931	330	15	became	become	VERB
cblr-2931	330	16	a	a	DET
cblr-2931	330	17	part	part	NOUN
cblr-2931	330	18	of	of	ADP
cblr-2931	330	19	the	the	DET
cblr-2931	330	20	english	english	ADJ
cblr-2931	330	21	markets	market	NOUN
cblr-2931	330	22	in	in	ADP
cblr-2931	330	23	the	the	DET
cblr-2931	330	24	latter	latter	ADJ
cblr-2931	330	25	part	part	NOUN
cblr-2931	330	26	of	of	ADP
cblr-2931	330	27	the	the	DET
cblr-2931	330	28	seventeenth	seventeenth	ADJ
cblr-2931	330	29	century	century	NOUN
cblr-2931	330	30	.	.	PUNCT
cblr-2931	331	1	trading	trading	NOUN
cblr-2931	331	2	in	in	ADP
cblr-2931	331	3	shares	share	NOUN
cblr-2931	331	4	of	of	ADP
cblr-2931	331	5	stock	stock	NOUN
cblr-2931	331	6	led	lead	VERB
cblr-2931	331	7	to	to	ADP
cblr-2931	331	8	periods	period	NOUN
cblr-2931	331	9	of	of	ADP
cblr-2931	331	10	speculation	speculation	NOUN
cblr-2931	331	11	and	and	CCONJ
cblr-2931	331	12	wild	wild	ADJ
cblr-2931	331	13	fluctuations	fluctuation	NOUN
cblr-2931	331	14	in	in	ADP
cblr-2931	331	15	the	the	DET
cblr-2931	331	16	market.7	market.7	NOUN
cblr-2931	331	17	6	6	NUM
cblr-2931	331	18	this	this	PRON
cblr-2931	331	19	was	be	AUX
cblr-2931	331	20	followed	follow	VERB
cblr-2931	331	21	by	by	ADP
cblr-2931	331	22	english	english	ADJ
cblr-2931	331	23	legislation	legislation	NOUN
cblr-2931	331	24	by	by	ADP
cblr-2931	331	25	the	the	DET
cblr-2931	331	26	end	end	NOUN
cblr-2931	331	27	of	of	ADP
cblr-2931	331	28	the	the	DET
cblr-2931	331	29	seventeenth	seventeenth	ADJ
cblr-2931	331	30	century	century	NOUN
cblr-2931	331	31	,	,	PUNCT
cblr-2931	331	32	which	which	PRON
cblr-2931	331	33	was	be	AUX
cblr-2931	331	34	enacted	enact	VERB
cblr-2931	331	35	to	to	PART
cblr-2931	331	36	protect	protect	VERB
cblr-2931	331	37	investors	investor	NOUN
cblr-2931	331	38	against	against	ADP
cblr-2931	331	39	unscrupulous	unscrupulous	ADJ
cblr-2931	331	40	manipulation	manipulation	NOUN
cblr-2931	331	41	by	by	ADP
cblr-2931	331	42	stock	stock	NOUN
cblr-2931	331	43	jobbers7	jobbers7	PROPN
cblr-2931	331	44	and	and	CCONJ
cblr-2931	331	45	stock	stock	NOUN
cblr-2931	331	46	brokers.78	brokers.78	VERB
cblr-2931	331	47	investment	investment	NOUN
cblr-2931	331	48	schemes	scheme	NOUN
cblr-2931	331	49	72	72	NUM
cblr-2931	331	50	as	as	SCONJ
cblr-2931	331	51	i	i	PRON
cblr-2931	331	52	have	have	AUX
cblr-2931	331	53	explained	explain	VERB
cblr-2931	331	54	elsewhere	elsewhere	ADV
cblr-2931	331	55	,	,	PUNCT
cblr-2931	331	56	"	"	PUNCT
cblr-2931	331	57	[	[	X
cblr-2931	331	58	t]he	t]he	ADV
cblr-2931	331	59	reasoning	reasoning	NOUN
cblr-2931	331	60	is	be	AUX
cblr-2931	331	61	that	that	SCONJ
cblr-2931	331	62	full	full	ADJ
cblr-2931	331	63	disclosure	disclosure	NOUN
cblr-2931	331	64	provides	provide	VERB
cblr-2931	331	65	investors	investor	NOUN
cblr-2931	331	66	with	with	ADP
cblr-2931	331	67	sufficient	sufficient	ADJ
cblr-2931	331	68	opportunity	opportunity	NOUN
cblr-2931	331	69	to	to	PART
cblr-2931	331	70	evaluate	evaluate	VERB
cblr-2931	331	71	the	the	DET
cblr-2931	331	72	merits	merit	NOUN
cblr-2931	331	73	of	of	ADP
cblr-2931	331	74	an	an	DET
cblr-2931	331	75	investment	investment	NOUN
cblr-2931	331	76	and	and	CCONJ
cblr-2931	331	77	fend	fend	VERB
cblr-2931	331	78	for	for	ADP
cblr-2931	331	79	themselves	themselves	PRON
cblr-2931	331	80	.	.	PUNCT
cblr-2931	331	81	"	"	PUNCT
cblr-2931	332	1	1	1	NUM
cblr-2931	332	2	thomas	thomas	PROPN
cblr-2931	332	3	lee	lee	PROPN
cblr-2931	332	4	hazen	hazen	PROPN
cblr-2931	332	5	,	,	PUNCT
cblr-2931	332	6	treatise	treatise	NOUN
cblr-2931	332	7	on	on	ADP
cblr-2931	332	8	the	the	DET
cblr-2931	332	9	law	law	NOUN
cblr-2931	332	10	of	of	ADP
cblr-2931	332	11	securities	security	NOUN
cblr-2931	332	12	regulation	regulation	NOUN
cblr-2931	332	13	§	§	PROPN
cblr-2931	332	14	1.2[3	1.2[3	NUM
cblr-2931	332	15	]	]	X
cblr-2931	333	1	[	[	X
cblr-2931	333	2	a	a	X
cblr-2931	333	3	]	]	X
cblr-2931	333	4	(	(	PUNCT
cblr-2931	333	5	7th	7th	ADJ
cblr-2931	333	6	ed	ed	NOUN
cblr-2931	333	7	.	.	PUNCT
cblr-2931	333	8	2009	2009	NUM
cblr-2931	333	9	)	)	PUNCT
cblr-2931	333	10	.	.	PUNCT
cblr-2931	334	1	7	7	NUM
cblr-2931	335	1	the	the	DET
cblr-2931	335	2	securities	security	NOUN
cblr-2931	335	3	act	act	NOUN
cblr-2931	335	4	of	of	ADP
cblr-2931	335	5	1933	1933	NUM
cblr-2931	335	6	was	be	AUX
cblr-2931	335	7	the	the	DET
cblr-2931	335	8	first	first	ADJ
cblr-2931	335	9	comprehensive	comprehensive	ADJ
cblr-2931	335	10	federal	federal	ADJ
cblr-2931	335	11	securities	security	NOUN
cblr-2931	335	12	law	law	NOUN
cblr-2931	335	13	.	.	PUNCT
cblr-2931	336	1	act	act	NOUN
cblr-2931	336	2	of	of	ADP
cblr-2931	336	3	may	may	PROPN
cblr-2931	336	4	27	27	NUM
cblr-2931	336	5	,	,	PUNCT
cblr-2931	336	6	1933	1933	NUM
cblr-2931	336	7	,	,	PUNCT
cblr-2931	336	8	c.	c.	PROPN
cblr-2931	336	9	38	38	NUM
cblr-2931	336	10	,	,	PUNCT
cblr-2931	336	11	title	title	NOUN
cblr-2931	336	12	i	i	PRON
cblr-2931	336	13	,	,	PUNCT
cblr-2931	336	14	§	§	PROPN
cblr-2931	336	15	1	1	NUM
cblr-2931	336	16	,	,	PUNCT
cblr-2931	336	17	48	48	NUM
cblr-2931	336	18	stat	stat	NOUN
cblr-2931	336	19	.	.	PUNCT
cblr-2931	337	1	74	74	NUM
cblr-2931	337	2	,	,	PUNCT
cblr-2931	337	3	codified	codify	VERB
cblr-2931	337	4	in	in	ADP
cblr-2931	337	5	15	15	NUM
cblr-2931	337	6	u.s.c	u.s.c	NOUN
cblr-2931	337	7	.	.	PUNCT
cblr-2931	338	1	§	§	PROPN
cblr-2931	338	2	§	§	PROPN
cblr-2931	338	3	77a	77a	NUM
cblr-2931	338	4	et	et	NOUN
cblr-2931	338	5	seq	seq	PROPN
cblr-2931	338	6	.	.	PUNCT
cblr-2931	339	1	(	(	PUNCT
cblr-2931	339	2	2010	2010	NUM
cblr-2931	339	3	)	)	PUNCT
cblr-2931	339	4	.	.	PUNCT
cblr-2931	340	1	the	the	DET
cblr-2931	340	2	1933	1933	NUM
cblr-2931	340	3	act	act	NOUN
cblr-2931	340	4	focuses	focus	VERB
cblr-2931	340	5	on	on	ADP
cblr-2931	340	6	public	public	ADJ
cblr-2931	340	7	offerings	offering	NOUN
cblr-2931	340	8	of	of	ADP
cblr-2931	340	9	securities	security	NOUN
cblr-2931	340	10	.	.	PUNCT
cblr-2931	341	1	"	"	PUNCT
cblr-2931	341	2	statute	statute	PROPN
cblr-2931	341	3	of	of	ADP
cblr-2931	341	4	edward	edward	PROPN
cblr-2931	341	5	i	i	PROPN
cblr-2931	341	6	,	,	PUNCT
cblr-2931	341	7	in	in	ADP
cblr-2931	341	8	1285	1285	NUM
cblr-2931	341	9	.	.	PUNCT
cblr-2931	342	1	see	see	VERB
cblr-2931	342	2	1	1	NUM
cblr-2931	342	3	louis	louis	NOUN
cblr-2931	342	4	loss	loss	NOUN
cblr-2931	342	5	&	&	CCONJ
cblr-2931	342	6	joel	joel	PROPN
cblr-2931	342	7	seligman	seligman	PROPN
cblr-2931	342	8	,	,	PUNCT
cblr-2931	342	9	securities	security	NOUN
cblr-2931	342	10	regulation	regulation	NOUN
cblr-2931	342	11	§	§	PROPN
cblr-2931	342	12	1	1	NUM
cblr-2931	342	13	-	-	SYM
cblr-2931	342	14	a	a	DET
cblr-2931	342	15	(	(	PUNCT
cblr-2931	342	16	3d	3d	NUM
cblr-2931	342	17	ed	ed	NOUN
cblr-2931	342	18	.	.	PROPN
cblr-2931	342	19	1989	1989	NUM
cblr-2931	342	20	)	)	PUNCT
cblr-2931	342	21	.	.	PUNCT
cblr-2931	343	1	7	7	NUM
cblr-2931	344	1	i	i	PRON
cblr-2931	344	2	d.	d.	PROPN
cblr-2931	344	3	76	76	NUM
cblr-2931	344	4	promoters	promoter	NOUN
cblr-2931	344	5	of	of	ADP
cblr-2931	344	6	both	both	PRON
cblr-2931	344	7	incorporated	incorporate	VERB
cblr-2931	344	8	and	and	CCONJ
cblr-2931	344	9	unincorporated	unincorporated	ADJ
cblr-2931	344	10	companies	company	NOUN
cblr-2931	344	11	foisted	foist	VERB
cblr-2931	344	12	doubtful	doubtful	ADJ
cblr-2931	344	13	schemes	scheme	NOUN
cblr-2931	344	14	on	on	ADP
cblr-2931	344	15	the	the	DET
cblr-2931	344	16	investing	investing	NOUN
cblr-2931	344	17	public	public	NOUN
cblr-2931	344	18	.	.	PUNCT
cblr-2931	345	1	see	see	VERB
cblr-2931	345	2	1	1	NUM
cblr-2931	345	3	james	james	PROPN
cblr-2931	345	4	d.	d.	PROPN
cblr-2931	345	5	cox	cox	PROPN
cblr-2931	345	6	&	&	CCONJ
cblr-2931	345	7	thomas	thomas	PROPN
cblr-2931	345	8	lee	lee	PROPN
cblr-2931	345	9	hazen	hazen	PROPN
cblr-2931	345	10	,	,	PUNCT
cblr-2931	345	11	cox	cox	PROPN
cblr-2931	345	12	&	&	CCONJ
cblr-2931	345	13	hazen	hazen	PROPN
cblr-2931	345	14	on	on	ADP
cblr-2931	345	15	corporations	corporation	NOUN
cblr-2931	345	16	§	§	PROPN
cblr-2931	345	17	2.2	2.2	NUM
cblr-2931	345	18	(	(	PUNCT
cblr-2931	345	19	3d	3d	NUM
cblr-2931	345	20	ed	ed	NOUN
cblr-2931	345	21	.	.	PROPN
cblr-2931	345	22	2010	2010	NUM
cblr-2931	345	23	)	)	PUNCT
cblr-2931	345	24	.	.	PUNCT
cblr-2931	346	1	"	"	PUNCT
cblr-2931	346	2	as	as	SCONJ
cblr-2931	346	3	explained	explain	VERB
cblr-2931	346	4	by	by	ADP
cblr-2931	346	5	a	a	DET
cblr-2931	346	6	report	report	NOUN
cblr-2931	346	7	that	that	PRON
cblr-2931	346	8	led	lead	VERB
cblr-2931	346	9	up	up	ADP
cblr-2931	346	10	to	to	ADP
cblr-2931	346	11	the	the	DET
cblr-2931	346	12	legislation	legislation	NOUN
cblr-2931	346	13	:	:	PUNCT
cblr-2931	346	14	the	the	DET
cblr-2931	346	15	pernicious	pernicious	ADJ
cblr-2931	346	16	art	art	NOUN
cblr-2931	346	17	of	of	ADP
cblr-2931	346	18	stock	stock	NOUN
cblr-2931	346	19	-	-	PUNCT
cblr-2931	346	20	jobbing	job	VERB
cblr-2931	346	21	hath	hath	NOUN
cblr-2931	346	22	,	,	PUNCT
cblr-2931	346	23	of	of	ADP
cblr-2931	346	24	late	late	ADJ
cblr-2931	346	25	,	,	PUNCT
cblr-2931	346	26	so	so	ADV
cblr-2931	346	27	wholly	wholly	ADV
cblr-2931	346	28	perverted	pervert	VERB
cblr-2931	346	29	the	the	DET
cblr-2931	346	30	end	end	NOUN
cblr-2931	346	31	and	and	CCONJ
cblr-2931	346	32	design	design	NOUN
cblr-2931	346	33	of	of	ADP
cblr-2931	346	34	companies	company	NOUN
cblr-2931	346	35	and	and	CCONJ
cblr-2931	346	36	corporations	corporation	NOUN
cblr-2931	346	37	,	,	PUNCT
cblr-2931	346	38	erected	erect	VERB
cblr-2931	346	39	for	for	ADP
cblr-2931	346	40	the	the	DET
cblr-2931	346	41	introducing	introducing	NOUN
cblr-2931	346	42	,	,	PUNCT
cblr-2931	346	43	or	or	CCONJ
cblr-2931	346	44	carrying	carry	VERB
cblr-2931	346	45	on	on	ADP
cblr-2931	346	46	,	,	PUNCT
cblr-2931	346	47	of	of	ADP
cblr-2931	346	48	manufactures	manufacture	NOUN
cblr-2931	346	49	,	,	PUNCT
cblr-2931	346	50	to	to	ADP
cblr-2931	346	51	the	the	DET
cblr-2931	346	52	private	private	ADJ
cblr-2931	346	53	profit	profit	NOUN
cblr-2931	346	54	of	of	ADP
cblr-2931	346	55	the	the	DET
cblr-2931	346	56	first	first	ADJ
cblr-2931	346	57	projectors	projector	NOUN
cblr-2931	346	58	,	,	PUNCT
cblr-2931	346	59	that	that	SCONJ
cblr-2931	346	60	the	the	DET
cblr-2931	346	61	privileges	privilege	NOUN
cblr-2931	346	62	granted	grant	VERB
cblr-2931	346	63	to	to	ADP
cblr-2931	346	64	them	they	PRON
cblr-2931	346	65	have	have	AUX
cblr-2931	346	66	,	,	PUNCT
cblr-2931	346	67	commonly	commonly	ADV
cblr-2931	346	68	,	,	PUNCT
cblr-2931	346	69	been	be	AUX
cblr-2931	346	70	made	make	VERB
cblr-2931	346	71	no	no	DET
cblr-2931	346	72	other	other	ADJ
cblr-2931	346	73	use	use	NOUN
cblr-2931	346	74	of	of	ADP
cblr-2931	346	75	,	,	PUNCT
cblr-2931	346	76	by	by	ADP
cblr-2931	346	77	the	the	DET
cblr-2931	346	78	first	first	ADJ
cblr-2931	346	79	procurers	procurer	NOUN
cblr-2931	346	80	and	and	CCONJ
cblr-2931	346	81	subscribers	subscriber	NOUN
cblr-2931	346	82	,	,	PUNCT
cblr-2931	346	83	but	but	CCONJ
cblr-2931	346	84	to	to	PART
cblr-2931	346	85	sell	sell	VERB
cblr-2931	346	86	again	again	ADV
cblr-2931	346	87	,	,	PUNCT
cblr-2931	346	88	with	with	ADP
cblr-2931	346	89	advantage	advantage	NOUN
cblr-2931	346	90	,	,	PUNCT
cblr-2931	346	91	to	to	ADP
cblr-2931	346	92	ignorant	ignorant	ADJ
cblr-2931	346	93	men	man	NOUN
cblr-2931	346	94	,	,	PUNCT
cblr-2931	346	95	drawn	draw	VERB
cblr-2931	346	96	in	in	ADP
cblr-2931	346	97	by	by	ADP
cblr-2931	346	98	the	the	DET
cblr-2931	346	99	reputation	reputation	NOUN
cblr-2931	346	100	,	,	PUNCT
cblr-2931	346	101	falsely	falsely	ADV
cblr-2931	346	102	raised	raise	VERB
cblr-2931	346	103	,	,	PUNCT
cblr-2931	346	104	and	and	CCONJ
cblr-2931	346	105	artfully	artfully	ADV
cblr-2931	346	106	spread	spread	VERB
cblr-2931	346	107	concerning	concern	VERB
cblr-2931	346	108	the	the	DET
cblr-2931	346	109	thriving	thrive	VERB
cblr-2931	346	110	state	state	NOUN
cblr-2931	346	111	of	of	ADP
cblr-2931	346	112	their	their	PRON
cblr-2931	346	113	stock	stock	NOUN
cblr-2931	346	114	.	.	PUNCT
cblr-2931	347	1	11	11	NUM
cblr-2931	347	2	h.c.j	h.c.j	NOUN
cblr-2931	347	3	.	.	PROPN
cblr-2931	347	4	595	595	NUM
cblr-2931	347	5	(	(	PUNCT
cblr-2931	347	6	1696	1696	NUM
cblr-2931	347	7	)	)	PUNCT
cblr-2931	347	8	,	,	PUNCT
cblr-2931	347	9	reprinted	reprint	VERB
cblr-2931	347	10	in	in	ADP
cblr-2931	347	11	1	1	NUM
cblr-2931	347	12	louis	louis	NOUN
cblr-2931	347	13	loss	loss	NOUN
cblr-2931	347	14	&	&	CCONJ
cblr-2931	347	15	joel	joel	PROPN
cblr-2931	347	16	seligman	seligman	PROPN
cblr-2931	347	17	,	,	PUNCT
cblr-2931	347	18	securities	security	NOUN
cblr-2931	347	19	regulation	regulation	NOUN
cblr-2931	347	20	3	3	NUM
cblr-2931	347	21	-	-	SYM
cblr-2931	347	22	4	4	NUM
cblr-2931	347	23	(	(	PUNCT
cblr-2931	347	24	3d	3d	NUM
cblr-2931	347	25	ed	ed	NOUN
cblr-2931	347	26	.	.	PROPN
cblr-2931	347	27	1989	1989	NUM
cblr-2931	347	28	)	)	PUNCT
cblr-2931	347	29	.	.	PUNCT
cblr-2931	348	1	728	728	NUM
cblr-2931	348	2	col	col	PROPN
cblr-2931	348	3	umbia	umbia	PROPN
cblr-2931	348	4	b	b	PROPN
cblr-2931	348	5	usiness	usiness	PROPN
cblr-2931	348	6	la	la	PROPN
cblr-2931	348	7	w	w	PROPN
cblr-2931	348	8	re	re	PROPN
cblr-2931	348	9	vie	vie	PROPN
cblr-2931	348	10	w	w	PROPN
cblr-2931	349	1	[	[	X
cblr-2931	349	2	vol	vol	NOUN
cblr-2931	349	3	.	.	PUNCT
cblr-2931	349	4	2010	2010	NUM
cblr-2931	349	5	no	no	INTJ
cblr-2931	349	6	.	.	PUNCT
cblr-2931	350	1	3:7101	3:7101	NUM
cblr-2931	350	2	are	be	AUX
cblr-2931	350	3	existing	exist	VERB
cblr-2931	350	4	stock	stock	NOUN
cblr-2931	350	5	broker	broker	NOUN
cblr-2931	350	6	standards	standard	NOUN
cblr-2931	350	7	sufficient	sufficient	ADJ
cblr-2931	350	8	?	?	PUNCT
cblr-2931	351	1	throughout	throughout	SCONJ
cblr-2931	351	2	europe	europe	PROPN
cblr-2931	351	3	led	lead	VERB
cblr-2931	351	4	to	to	ADP
cblr-2931	351	5	many	many	ADJ
cblr-2931	351	6	frauds	fraud	NOUN
cblr-2931	351	7	,	,	PUNCT
cblr-2931	351	8	including	include	VERB
cblr-2931	351	9	the	the	DET
cblr-2931	351	10	infamous	infamous	ADJ
cblr-2931	351	11	south	south	PROPN
cblr-2931	351	12	sea	sea	NOUN
cblr-2931	351	13	bubble	bubble	NOUN
cblr-2931	351	14	.	.	PUNCT
cblr-2931	351	15	"	"	PUNCT
cblr-2931	352	1	thus	thus	ADV
cblr-2931	352	2	there	there	PRON
cblr-2931	352	3	thus	thus	ADV
cblr-2931	352	4	is	be	AUX
cblr-2931	352	5	a	a	DET
cblr-2931	352	6	long	long	ADJ
cblr-2931	352	7	history	history	NOUN
cblr-2931	352	8	of	of	ADP
cblr-2931	352	9	viewing	view	VERB
cblr-2931	352	10	the	the	DET
cblr-2931	352	11	stock	stock	NOUN
cblr-2931	352	12	broker	broker	NOUN
cblr-2931	352	13	industry	industry	NOUN
cblr-2931	352	14	as	as	ADP
cblr-2931	352	15	one	one	NUM
cblr-2931	352	16	in	in	ADP
cblr-2931	352	17	need	need	NOUN
cblr-2931	352	18	of	of	ADP
cblr-2931	352	19	special	special	ADJ
cblr-2931	352	20	regulation	regulation	NOUN
cblr-2931	352	21	.	.	PUNCT
cblr-2931	353	1	no	no	PRON
cblr-2931	353	2	doubt	doubt	ADV
cblr-2931	353	3	this	this	PRON
cblr-2931	353	4	was	be	AUX
cblr-2931	353	5	at	at	ADP
cblr-2931	353	6	least	least	ADJ
cblr-2931	353	7	partly	partly	ADV
cblr-2931	353	8	due	due	ADJ
cblr-2931	353	9	to	to	ADP
cblr-2931	353	10	the	the	DET
cblr-2931	353	11	recognition	recognition	NOUN
cblr-2931	353	12	that	that	SCONJ
cblr-2931	353	13	stock	stock	NOUN
cblr-2931	353	14	brokers	broker	NOUN
cblr-2931	353	15	often	often	ADV
cblr-2931	353	16	nourish	nourish	VERB
cblr-2931	353	17	their	their	PRON
cblr-2931	353	18	customers	customer	NOUN
cblr-2931	353	19	'	'	PART
cblr-2931	353	20	trust	trust	NOUN
cblr-2931	353	21	and	and	CCONJ
cblr-2931	353	22	that	that	SCONJ
cblr-2931	353	23	such	such	DET
cblr-2931	353	24	a	a	DET
cblr-2931	353	25	position	position	NOUN
cblr-2931	353	26	of	of	ADP
cblr-2931	353	27	trust	trust	NOUN
cblr-2931	353	28	should	should	AUX
cblr-2931	353	29	be	be	AUX
cblr-2931	353	30	governed	govern	VERB
cblr-2931	353	31	by	by	ADP
cblr-2931	353	32	heightened	heighten	VERB
cblr-2931	353	33	conduct	conduct	NOUN
cblr-2931	353	34	rules	rule	NOUN
cblr-2931	353	35	.	.	PUNCT
cblr-2931	354	1	as	as	SCONJ
cblr-2931	354	2	shown	show	VERB
cblr-2931	354	3	in	in	ADP
cblr-2931	354	4	the	the	DET
cblr-2931	354	5	discussion	discussion	NOUN
cblr-2931	354	6	below	below	ADP
cblr-2931	354	7	,	,	PUNCT
cblr-2931	354	8	broker	broker	NOUN
cblr-2931	354	9	-	-	PUNCT
cblr-2931	354	10	dealer	dealer	NOUN
cblr-2931	354	11	regulation	regulation	NOUN
cblr-2931	354	12	as	as	SCONJ
cblr-2931	354	13	it	it	PRON
cblr-2931	354	14	developed	develop	VERB
cblr-2931	354	15	in	in	ADP
cblr-2931	354	16	the	the	DET
cblr-2931	354	17	united	united	PROPN
cblr-2931	354	18	states	states	PROPN
cblr-2931	354	19	embraced	embrace	VERB
cblr-2931	354	20	heightened	heightened	ADJ
cblr-2931	354	21	standards	standard	NOUN
cblr-2931	354	22	of	of	ADP
cblr-2931	354	23	conduct	conduct	NOUN
cblr-2931	354	24	for	for	ADP
cblr-2931	354	25	participants	participant	NOUN
cblr-2931	354	26	in	in	ADP
cblr-2931	354	27	this	this	DET
cblr-2931	354	28	regulated	regulated	ADJ
cblr-2931	354	29	industry	industry	NOUN
cblr-2931	354	30	.	.	PUNCT
cblr-2931	355	1	a.	a.	NOUN
cblr-2931	355	2	overview	overview	NOUN
cblr-2931	355	3	of	of	ADP
cblr-2931	355	4	broker	broker	NOUN
cblr-2931	355	5	-	-	PUNCT
cblr-2931	355	6	dealer	dealer	NOUN
cblr-2931	355	7	regulation	regulation	NOUN
cblr-2931	355	8	in	in	ADP
cblr-2931	355	9	the	the	DET
cblr-2931	355	10	united	united	PROPN
cblr-2931	355	11	states	states	PROPN
cblr-2931	355	12	section	section	PROPN
cblr-2931	355	13	15(b)(1	15(b)(1	NUM
cblr-2931	355	14	)	)	PUNCT
cblr-2931	355	15	of	of	ADP
cblr-2931	355	16	the	the	DET
cblr-2931	355	17	securities	securities	PROPN
cblr-2931	355	18	exchange	exchange	PROPN
cblr-2931	355	19	act	act	PROPN
cblr-2931	355	20	of	of	ADP
cblr-2931	355	21	1934	1934	NUM
cblr-2931	355	22	requires	require	VERB
cblr-2931	355	23	that	that	SCONJ
cblr-2931	355	24	broker	broker	NOUN
cblr-2931	355	25	-	-	PUNCT
cblr-2931	355	26	dealers	dealer	NOUN
cblr-2931	355	27	register	register	VERB
cblr-2931	355	28	with	with	ADP
cblr-2931	355	29	the	the	DET
cblr-2931	355	30	sec	sec	PROPN
cblr-2931	355	31	.	.	PROPN
cblr-2931	355	32	"o	"o	PROPN
cblr-2931	355	33	in	in	ADP
cblr-2931	355	34	addition	addition	NOUN
cblr-2931	355	35	,	,	PUNCT
cblr-2931	355	36	section	section	NOUN
cblr-2931	355	37	15(b)(8	15(b)(8	NUM
cblr-2931	355	38	)	)	PUNCT
cblr-2931	355	39	requires	require	VERB
cblr-2931	355	40	that	that	SCONJ
cblr-2931	355	41	all	all	DET
cblr-2931	355	42	broker	broker	NOUN
cblr-2931	355	43	-	-	PUNCT
cblr-2931	355	44	dealers	dealer	NOUN
cblr-2931	355	45	be	be	AUX
cblr-2931	355	46	members	member	NOUN
cblr-2931	355	47	of	of	ADP
cblr-2931	355	48	a	a	DET
cblr-2931	355	49	qualifying	qualify	VERB
cblr-2931	355	50	self	self	NOUN
cblr-2931	355	51	-	-	PUNCT
cblr-2931	355	52	regulatory	regulatory	ADJ
cblr-2931	355	53	organization	organization	NOUN
cblr-2931	355	54	(	(	PUNCT
cblr-2931	355	55	either	either	CCONJ
cblr-2931	355	56	a	a	DET
cblr-2931	355	57	national	national	ADJ
cblr-2931	355	58	exchange	exchange	NOUN
cblr-2931	355	59	or	or	CCONJ
cblr-2931	355	60	registered	register	VERB
cblr-2931	355	61	securities	security	NOUN
cblr-2931	355	62	association	association	NOUN
cblr-2931	355	63	)	)	PUNCT
cblr-2931	355	64	.	.	PUNCT
cblr-2931	356	1	"	"	PUNCT
cblr-2931	356	2	'	'	PUNCT
cblr-2931	356	3	"	"	PUNCT
cblr-2931	356	4	loss	loss	NOUN
cblr-2931	356	5	&	&	CCONJ
cblr-2931	356	6	seligman	seligman	NOUN
cblr-2931	356	7	,	,	PUNCT
cblr-2931	356	8	supra	supra	PROPN
cblr-2931	356	9	note	note	NOUN
cblr-2931	356	10	74	74	NUM
cblr-2931	356	11	(	(	PUNCT
cblr-2931	356	12	"	"	PUNCT
cblr-2931	356	13	an	an	DET
cblr-2931	356	14	act	act	NOUN
cblr-2931	356	15	to	to	PART
cblr-2931	356	16	restrain	restrain	VERB
cblr-2931	356	17	the	the	DET
cblr-2931	356	18	number	number	NOUN
cblr-2931	356	19	and	and	CCONJ
cblr-2931	356	20	ill	ill	ADJ
cblr-2931	356	21	practice	practice	NOUN
cblr-2931	356	22	of	of	ADP
cblr-2931	356	23	brokers	broker	NOUN
cblr-2931	356	24	and	and	CCONJ
cblr-2931	356	25	stock	stock	NOUN
cblr-2931	356	26	jobbers	jobber	NOUN
cblr-2931	356	27	.	.	PUNCT
cblr-2931	356	28	"	"	PUNCT
cblr-2931	356	29	)	)	PUNCT
cblr-2931	356	30	;	;	PUNCT
cblr-2931	356	31	see	see	VERB
cblr-2931	356	32	also	also	ADV
cblr-2931	356	33	lane	lane	PROPN
cblr-2931	356	34	,	,	PUNCT
cblr-2931	356	35	the	the	DET
cblr-2931	356	36	years	year	NOUN
cblr-2931	356	37	before	before	ADP
cblr-2931	356	38	the	the	DET
cblr-2931	356	39	stock	stock	NOUN
cblr-2931	356	40	exchange	exchange	NOUN
cblr-2931	356	41	,	,	PUNCT
cblr-2931	356	42	7	7	NUM
cblr-2931	356	43	hist	hist	NOUN
cblr-2931	356	44	.	.	PUNCT
cblr-2931	357	1	today	today	NOUN
cblr-2931	357	2	760	760	NUM
cblr-2931	357	3	,	,	PUNCT
cblr-2931	357	4	761	761	NUM
cblr-2931	357	5	(	(	PUNCT
cblr-2931	357	6	1957	1957	NUM
cblr-2931	357	7	)	)	PUNCT
cblr-2931	357	8	.	.	PUNCT
cblr-2931	358	1	71	71	NUM
cblr-2931	358	2	see	see	VERB
cblr-2931	358	3	generally	generally	ADV
cblr-2931	358	4	loss	loss	NOUN
cblr-2931	358	5	&	&	CCONJ
cblr-2931	358	6	seligman	seligman	NOUN
cblr-2931	358	7	,	,	PUNCT
cblr-2931	358	8	supra	supra	PROPN
cblr-2931	358	9	note	note	NOUN
cblr-2931	358	10	74	74	NUM
cblr-2931	358	11	.	.	PUNCT
cblr-2931	358	12	80	80	NUM
cblr-2931	358	13	15	15	NUM
cblr-2931	358	14	u.s.c	u.s.c	NOUN
cblr-2931	358	15	.	.	PUNCT
cblr-2931	359	1	§	§	PROPN
cblr-2931	359	2	78o(b)(1	78o(b)(1	NUM
cblr-2931	359	3	)	)	PUNCT
cblr-2931	359	4	(	(	PUNCT
cblr-2931	359	5	2010	2010	NUM
cblr-2931	359	6	)	)	PUNCT
cblr-2931	359	7	.	.	PUNCT
cblr-2931	360	1	81	81	NUM
cblr-2931	360	2	1	1	NUM
cblr-2931	360	3	u.s.c	u.s.c	NOUN
cblr-2931	360	4	.	.	PUNCT
cblr-2931	361	1	§	§	NOUN
cblr-2931	361	2	15(b)(8	15(b)(8	NUM
cblr-2931	361	3	)	)	PUNCT
cblr-2931	361	4	(	(	PUNCT
cblr-2931	361	5	1934	1934	NUM
cblr-2931	361	6	)	)	PUNCT
cblr-2931	361	7	(	(	PUNCT
cblr-2931	361	8	current	current	ADJ
cblr-2931	361	9	version	version	NOUN
cblr-2931	361	10	at	at	ADP
cblr-2931	361	11	15	15	NUM
cblr-2931	361	12	u.s.c	u.s.c	ADJ
cblr-2931	361	13	.	.	PUNCT
cblr-2931	362	1	§	§	PROPN
cblr-2931	362	2	78o(b)(8	78o(b)(8	PROPN
cblr-2931	362	3	)	)	PUNCT
cblr-2931	362	4	(	(	PUNCT
cblr-2931	362	5	2010	2010	NUM
cblr-2931	362	6	)	)	PUNCT
cblr-2931	362	7	)	)	PUNCT
cblr-2931	362	8	.	.	PUNCT
cblr-2931	363	1	up	up	ADV
cblr-2931	363	2	until	until	ADP
cblr-2931	363	3	1983	1983	NUM
cblr-2931	363	4	,	,	PUNCT
cblr-2931	363	5	broker	broker	NOUN
cblr-2931	363	6	-	-	PUNCT
cblr-2931	363	7	dealers	dealer	NOUN
cblr-2931	363	8	could	could	AUX
cblr-2931	363	9	submit	submit	VERB
cblr-2931	363	10	themselves	themselves	PRON
cblr-2931	363	11	to	to	PART
cblr-2931	363	12	direct	direct	VERB
cblr-2931	363	13	sec	sec	PROPN
cblr-2931	363	14	control	control	NOUN
cblr-2931	363	15	,	,	PUNCT
cblr-2931	363	16	but	but	CCONJ
cblr-2931	363	17	the	the	DET
cblr-2931	363	18	act	act	NOUN
cblr-2931	363	19	was	be	AUX
cblr-2931	363	20	amended	amend	VERB
cblr-2931	363	21	to	to	PART
cblr-2931	363	22	abolish	abolish	VERB
cblr-2931	363	23	seco	seco	NOUN
cblr-2931	363	24	(	(	PUNCT
cblr-2931	363	25	"	"	PUNCT
cblr-2931	363	26	sec	sec	PROPN
cblr-2931	363	27	only	only	ADV
cblr-2931	363	28	"	"	PUNCT
cblr-2931	363	29	)	)	PUNCT
cblr-2931	363	30	regulation	regulation	NOUN
cblr-2931	363	31	.	.	PUNCT
cblr-2931	364	1	over	over	ADP
cblr-2931	364	2	the	the	DET
cblr-2931	364	3	years	year	NOUN
cblr-2931	364	4	,	,	PUNCT
cblr-2931	364	5	there	there	PRON
cblr-2931	364	6	has	have	AUX
cblr-2931	364	7	been	be	AUX
cblr-2931	364	8	considerable	considerable	ADJ
cblr-2931	364	9	discussion	discussion	NOUN
cblr-2931	364	10	elsewhere	elsewhere	ADV
cblr-2931	364	11	concerning	concern	VERB
cblr-2931	364	12	self	self	NOUN
cblr-2931	364	13	-	-	PUNCT
cblr-2931	364	14	regulation	regulation	NOUN
cblr-2931	364	15	under	under	ADP
cblr-2931	364	16	sec	sec	PROPN
cblr-2931	364	17	oversight	oversight	NOUN
cblr-2931	364	18	.	.	PUNCT
cblr-2931	365	1	see	see	VERB
cblr-2931	365	2	generally	generally	ADV
cblr-2931	365	3	,	,	PUNCT
cblr-2931	365	4	william	william	PROPN
cblr-2931	365	5	l.	l.	PROPN
cblr-2931	365	6	cary	cary	PROPN
cblr-2931	365	7	,	,	PUNCT
cblr-2931	365	8	self	self	NOUN
cblr-2931	365	9	regulation	regulation	NOUN
cblr-2931	365	10	in	in	ADP
cblr-2931	365	11	the	the	DET
cblr-2931	365	12	securities	security	NOUN
cblr-2931	365	13	industry	industry	NOUN
cblr-2931	365	14	,	,	PUNCT
cblr-2931	365	15	49	49	NUM
cblr-2931	365	16	a.b.a	a.b.a	NOUN
cblr-2931	365	17	.	.	PUNCT
cblr-2931	366	1	j.	j.	PROPN
cblr-2931	366	2	244	244	NUM
cblr-2931	366	3	(	(	PUNCT
cblr-2931	366	4	1963	1963	NUM
cblr-2931	366	5	)	)	PUNCT
cblr-2931	366	6	;	;	PUNCT
cblr-2931	366	7	hugh	hugh	PROPN
cblr-2931	366	8	i.	i.	PROPN
cblr-2931	366	9	crossland	crossland	PROPN
cblr-2931	366	10	&	&	CCONJ
cblr-2931	366	11	robert	robert	PROPN
cblr-2931	366	12	j.	j.	PROPN
cblr-2931	366	13	sehr	sehr	PROPN
cblr-2931	366	14	,	,	PUNCT
cblr-2931	366	15	jr	jr	PROPN
cblr-2931	366	16	.	.	PROPN
cblr-2931	366	17	,	,	PUNCT
cblr-2931	366	18	the	the	DET
cblr-2931	366	19	gods	god	NOUN
cblr-2931	366	20	of	of	ADP
cblr-2931	366	21	the	the	DET
cblr-2931	366	22	marketplace	marketplace	NOUN
cblr-2931	366	23	:	:	PUNCT
cblr-2931	366	24	an	an	DET
cblr-2931	366	25	examination	examination	NOUN
cblr-2931	366	26	of	of	ADP
cblr-2931	366	27	the	the	DET
cblr-2931	366	28	regulation	regulation	NOUN
cblr-2931	366	29	of	of	ADP
cblr-2931	366	30	the	the	DET
cblr-2931	366	31	securities	security	NOUN
cblr-2931	366	32	business	business	NOUN
cblr-2931	366	33	,	,	PUNCT
cblr-2931	366	34	48	48	NUM
cblr-2931	366	35	b.u	b.u	PROPN
cblr-2931	366	36	.	.	PROPN
cblr-2931	366	37	l.	l.	PROPN
cblr-2931	366	38	rev	rev	PROPN
cblr-2931	366	39	.	.	PROPN
cblr-2931	367	1	515	515	NUM
cblr-2931	367	2	(	(	PUNCT
cblr-2931	367	3	1968	1968	NUM
cblr-2931	367	4	)	)	PUNCT
cblr-2931	367	5	;	;	PUNCT
cblr-2931	367	6	alexander	alexander	PROPN
cblr-2931	367	7	h.	h.	PROPN
cblr-2931	367	8	frey	frey	PROPN
cblr-2931	367	9	,	,	PUNCT
cblr-2931	367	10	federal	federal	ADJ
cblr-2931	367	11	regulation	regulation	NOUN
cblr-2931	367	12	of	of	ADP
cblr-2931	367	13	the	the	DET
cblr-2931	367	14	over	over	ADP
cblr-2931	367	15	-	-	PUNCT
cblr-2931	367	16	the	the	DET
cblr-2931	367	17	-	-	PUNCT
cblr-2931	367	18	counter	counter	NOUN
cblr-2931	367	19	securities	security	NOUN
cblr-2931	367	20	markets	market	NOUN
cblr-2931	367	21	,	,	PUNCT
cblr-2931	367	22	106	106	NUM
cblr-2931	367	23	u.	u.	PROPN
cblr-2931	367	24	pa	pa	PROPN
cblr-2931	367	25	.	.	PUNCT
cblr-2931	367	26	l.	l.	PROPN
cblr-2931	367	27	rev	rev	PROPN
cblr-2931	367	28	.	.	PROPN
cblr-2931	367	29	1	1	NUM
cblr-2931	367	30	(	(	PUNCT
cblr-2931	367	31	1957	1957	NUM
cblr-2931	367	32	)	)	PUNCT
cblr-2931	367	33	;	;	PUNCT
cblr-2931	367	34	richard	richard	PROPN
cblr-2931	367	35	w.	w.	PROPN
cblr-2931	367	36	jennings	jennings	PROPN
cblr-2931	367	37	,	,	PUNCT
cblr-2931	367	38	self	self	NOUN
cblr-2931	367	39	-	-	PUNCT
cblr-2931	367	40	regulation	regulation	NOUN
cblr-2931	367	41	in	in	ADP
cblr-2931	367	42	the	the	DET
cblr-2931	367	43	securities	security	NOUN
cblr-2931	367	44	industry	industry	NOUN
cblr-2931	367	45	:	:	PUNCT
cblr-2931	367	46	the	the	DET
cblr-2931	367	47	role	role	NOUN
cblr-2931	367	48	of	of	ADP
cblr-2931	367	49	the	the	DET
cblr-2931	367	50	securities	securities	PROPN
cblr-2931	367	51	and	and	CCONJ
cblr-2931	367	52	exchange	exchange	PROPN
cblr-2931	367	53	commission	commission	PROPN
cblr-2931	367	54	,	,	PUNCT
cblr-2931	367	55	29	29	NUM
cblr-2931	367	56	law	law	NOUN
cblr-2931	367	57	&	&	CCONJ
cblr-2931	367	58	contemp	contemp	NOUN
cblr-2931	367	59	.	.	PUNCT
cblr-2931	368	1	probs	prob	NOUN
cblr-2931	368	2	.	.	PUNCT
cblr-2931	369	1	663	663	NUM
cblr-2931	369	2	(	(	PUNCT
cblr-2931	369	3	1964	1964	NUM
cblr-2931	369	4	)	)	PUNCT
cblr-2931	370	1	;	;	PUNCT
cblr-2931	370	2	sam	sam	PROPN
cblr-2931	370	3	s.	s.	PROPN
cblr-2931	370	4	miller	miller	PROPN
cblr-2931	370	5	,	,	PUNCT
cblr-2931	370	6	self	self	NOUN
cblr-2931	370	7	-	-	PUNCT
cblr-2931	370	8	regulatory	regulatory	ADJ
cblr-2931	370	9	organizations	organization	NOUN
cblr-2931	370	10	and	and	CCONJ
cblr-2931	370	11	the	the	DET
cblr-2931	370	12	securities	security	NOUN
cblr-2931	370	13	industry	industry	NOUN
cblr-2931	370	14	:	:	PUNCT
cblr-2931	370	15	does	do	AUX
cblr-2931	370	16	membership	membership	NOUN
cblr-2931	370	17	have	have	VERB
cblr-2931	370	18	its	its	PRON
cblr-2931	370	19	privileges	privilege	NOUN
cblr-2931	370	20	?	?	PUNCT
cblr-2931	370	21	,	,	PUNCT
cblr-2931	370	22	19	19	NUM
cblr-2931	370	23	sec	sec	PROPN
cblr-2931	370	24	.	.	PUNCT
cblr-2931	371	1	reg	reg	PROPN
cblr-2931	371	2	.	.	PUNCT
cblr-2931	372	1	l.j	l.j	PROPN
cblr-2931	372	2	.	.	PROPN
cblr-2931	372	3	3	3	NUM
cblr-2931	372	4	(	(	PUNCT
cblr-2931	372	5	1991	1991	NUM
cblr-2931	372	6	)	)	PUNCT
cblr-2931	372	7	;	;	PUNCT
cblr-2931	372	8	john	john	PROPN
cblr-2931	372	9	e.	e.	PROPN
cblr-2931	372	10	pinto	pinto	PROPN
cblr-2931	372	11	,	,	PUNCT
cblr-2931	372	12	jr	jr	PROPN
cblr-2931	372	13	.	.	PROPN
cblr-2931	372	14	,	,	PUNCT
cblr-2931	372	15	the	the	DET
cblr-2931	372	16	nasd	nasd	NOUN
cblr-2931	372	17	's	's	PART
cblr-2931	372	18	enforcement	enforcement	NOUN
cblr-2931	372	19	agenda	agenda	NOUN
cblr-2931	372	20	,	,	PUNCT
cblr-2931	372	21	85	85	NUM
cblr-2931	372	22	nw	nw	NOUN
cblr-2931	372	23	.	.	PUNCT
cblr-2931	372	24	u.	u.	PROPN
cblr-2931	372	25	l.	l.	PROPN
cblr-2931	372	26	rev	rev	PROPN
cblr-2931	372	27	.	.	PROPN
cblr-2931	373	1	739	739	NUM
cblr-2931	373	2	(	(	PUNCT
cblr-2931	373	3	1991	1991	NUM
cblr-2931	373	4	)	)	PUNCT
cblr-2931	373	5	;	;	PUNCT
cblr-2931	374	1	howard	howard	PROPN
cblr-2931	374	2	c.	c.	PROPN
cblr-2931	374	3	westwood	westwood	PROPN
cblr-2931	374	4	&	&	CCONJ
cblr-2931	374	5	edward	edward	PROPN
cblr-2931	374	6	g.	g.	PROPN
cblr-2931	374	7	howard	howard	PROPN
cblr-2931	374	8	,	,	PUNCT
cblr-2931	374	9	self	self	NOUN
cblr-2931	374	10	-government	-government	NOUN
cblr-2931	374	11	in	in	ADP
cblr-2931	374	12	the	the	DET
cblr-2931	374	13	securities	security	NOUN
cblr-2931	374	14	business	business	NOUN
cblr-2931	374	15	,	,	PUNCT
cblr-2931	374	16	17	17	NUM
cblr-2931	374	17	law	law	NOUN
cblr-2931	374	18	&	&	CCONJ
cblr-2931	374	19	contemp	contemp	NOUN
cblr-2931	374	20	.	.	PUNCT
cblr-2931	375	1	probs	prob	NOUN
cblr-2931	375	2	.	.	PUNCT
cblr-2931	376	1	518	518	NUM
cblr-2931	376	2	(	(	PUNCT
cblr-2931	376	3	1952	1952	NUM
cblr-2931	376	4	)	)	PUNCT
cblr-2931	376	5	;	;	PUNCT
cblr-2931	376	6	marc	marc	PROPN
cblr-2931	376	7	a.	a.	PROPN
cblr-2931	376	8	729	729	NUM
cblr-2931	376	9	the	the	DET
cblr-2931	376	10	broker	broker	NOUN
cblr-2931	376	11	-	-	PUNCT
cblr-2931	376	12	dealer	dealer	NOUN
cblr-2931	376	13	registration	registration	NOUN
cblr-2931	376	14	requirements	requirement	NOUN
cblr-2931	376	15	apply	apply	VERB
cblr-2931	376	16	only	only	ADV
cblr-2931	376	17	to	to	ADP
cblr-2931	376	18	persons	person	NOUN
cblr-2931	376	19	who	who	PRON
cblr-2931	376	20	,	,	PUNCT
cblr-2931	376	21	as	as	ADP
cblr-2931	376	22	a	a	DET
cblr-2931	376	23	firm	firm	NOUN
cblr-2931	376	24	or	or	CCONJ
cblr-2931	376	25	as	as	ADP
cblr-2931	376	26	individuals	individual	NOUN
cblr-2931	376	27	,	,	PUNCT
cblr-2931	376	28	engage	engage	VERB
cblr-2931	376	29	in	in	ADP
cblr-2931	376	30	brokerdealer	brokerdealer	NOUN
cblr-2931	376	31	activities.8	activities.8	PROPN
cblr-2931	376	32	2	2	NUM
cblr-2931	376	33	associated	associate	VERB
cblr-2931	376	34	persons	person	NOUN
cblr-2931	376	35	who	who	PRON
cblr-2931	376	36	work	work	VERB
cblr-2931	376	37	for	for	ADP
cblr-2931	376	38	the	the	DET
cblr-2931	376	39	registered	register	VERB
cblr-2931	376	40	broker	broker	NOUN
cblr-2931	376	41	-	-	PUNCT
cblr-2931	376	42	dealer	dealer	NOUN
cblr-2931	376	43	firm	firm	NOUN
cblr-2931	376	44	are	be	AUX
cblr-2931	376	45	subject	subject	ADJ
cblr-2931	376	46	to	to	ADP
cblr-2931	376	47	sec	sec	PROPN
cblr-2931	376	48	regulation	regulation	NOUN
cblr-2931	376	49	but	but	CCONJ
cblr-2931	376	50	do	do	AUX
cblr-2931	376	51	not	not	PART
cblr-2931	376	52	have	have	VERB
cblr-2931	376	53	to	to	PART
cblr-2931	376	54	register	register	VERB
cblr-2931	376	55	as	as	ADP
cblr-2931	376	56	a	a	DET
cblr-2931	376	57	broker	broker	NOUN
cblr-2931	376	58	-	-	PUNCT
cblr-2931	376	59	dealer	dealer	NOUN
cblr-2931	376	60	.	.	PUNCT
cblr-2931	377	1	the	the	DET
cblr-2931	377	2	exemption	exemption	NOUN
cblr-2931	377	3	from	from	ADP
cblr-2931	377	4	the	the	DET
cblr-2931	377	5	broker	broker	NOUN
cblr-2931	377	6	-	-	PUNCT
cblr-2931	377	7	dealer	dealer	NOUN
cblr-2931	377	8	registration	registration	NOUN
cblr-2931	377	9	requirements	requirement	NOUN
cblr-2931	377	10	does	do	AUX
cblr-2931	377	11	not	not	PART
cblr-2931	377	12	insulate	insulate	VERB
cblr-2931	377	13	registered	registered	ADJ
cblr-2931	377	14	representatives	representative	NOUN
cblr-2931	377	15	and	and	CCONJ
cblr-2931	377	16	other	other	ADJ
cblr-2931	377	17	associated	associated	ADJ
cblr-2931	377	18	persons	person	NOUN
cblr-2931	377	19	from	from	ADP
cblr-2931	377	20	sec	sec	PROPN
cblr-2931	377	21	regulation	regulation	NOUN
cblr-2931	377	22	.	.	PUNCT
cblr-2931	378	1	thus	thus	ADV
cblr-2931	378	2	,	,	PUNCT
cblr-2931	378	3	for	for	ADP
cblr-2931	378	4	example	example	NOUN
cblr-2931	378	5	,	,	PUNCT
cblr-2931	378	6	employees	employee	NOUN
cblr-2931	378	7	of	of	ADP
cblr-2931	378	8	brokerage	brokerage	NOUN
cblr-2931	378	9	firms	firm	NOUN
cblr-2931	378	10	who	who	PRON
cblr-2931	378	11	have	have	VERB
cblr-2931	378	12	regular	regular	ADJ
cblr-2931	378	13	contact	contact	NOUN
cblr-2931	378	14	with	with	ADP
cblr-2931	378	15	the	the	DET
cblr-2931	378	16	public	public	NOUN
cblr-2931	378	17	as	as	SCONJ
cblr-2931	378	18	order	order	NOUN
cblr-2931	378	19	takers	taker	NOUN
cblr-2931	378	20	have	have	VERB
cblr-2931	378	21	to	to	PART
cblr-2931	378	22	qualify	qualify	VERB
cblr-2931	378	23	as	as	ADP
cblr-2931	378	24	registered	register	VERB
cblr-2931	378	25	representatives	representative	NOUN
cblr-2931	378	26	.	.	PUNCT
cblr-2931	378	27	"	"	PUNCT
cblr-2931	379	1	furthermore	furthermore	ADV
cblr-2931	379	2	,	,	PUNCT
cblr-2931	379	3	associated	associated	ADJ
cblr-2931	379	4	persons	person	NOUN
cblr-2931	379	5	who	who	PRON
cblr-2931	379	6	do	do	AUX
cblr-2931	379	7	not	not	PART
cblr-2931	379	8	have	have	VERB
cblr-2931	379	9	to	to	PART
cblr-2931	379	10	register	register	VERB
cblr-2931	379	11	in	in	ADP
cblr-2931	379	12	any	any	DET
cblr-2931	379	13	capacity	capacity	NOUN
cblr-2931	379	14	are	be	AUX
cblr-2931	379	15	subject	subject	ADJ
cblr-2931	379	16	nevertheless	nevertheless	ADV
cblr-2931	379	17	to	to	ADP
cblr-2931	379	18	sec	sec	PROPN
cblr-2931	379	19	and	and	CCONJ
cblr-2931	379	20	finra	finra	PROPN
cblr-2931	379	21	(	(	PUNCT
cblr-2931	379	22	formerly	formerly	ADV
cblr-2931	379	23	nasd	nasd	NOUN
cblr-2931	379	24	)	)	PUNCT
cblr-2931	379	25	disciplinary	disciplinary	ADJ
cblr-2931	379	26	authority	authority	NOUN
cblr-2931	379	27	.	.	PUNCT
cblr-2931	379	28	"	"	PUNCT
cblr-2931	380	1	the	the	DET
cblr-2931	380	2	three	three	NUM
cblr-2931	380	3	principal	principal	ADJ
cblr-2931	380	4	capacities	capacity	NOUN
cblr-2931	380	5	in	in	ADP
cblr-2931	380	6	which	which	PRON
cblr-2931	380	7	firms	firm	NOUN
cblr-2931	380	8	act	act	VERB
cblr-2931	380	9	in	in	ADP
cblr-2931	380	10	the	the	DET
cblr-2931	380	11	securities	security	NOUN
cblr-2931	380	12	business	business	NOUN
cblr-2931	380	13	are	be	AUX
cblr-2931	380	14	as	as	ADP
cblr-2931	380	15	broker	broker	NOUN
cblr-2931	380	16	,	,	PUNCT
cblr-2931	380	17	dealer	dealer	NOUN
cblr-2931	380	18	,	,	PUNCT
cblr-2931	380	19	and	and	CCONJ
cblr-2931	380	20	investment	investment	NOUN
cblr-2931	380	21	adviser	adviser	NOUN
cblr-2931	380	22	.	.	PUNCT
cblr-2931	381	1	the	the	DET
cblr-2931	381	2	1934	1934	NUM
cblr-2931	381	3	act	act	NOUN
cblr-2931	381	4	defines	define	VERB
cblr-2931	381	5	a	a	DET
cblr-2931	381	6	"	"	PUNCT
cblr-2931	381	7	broker	broker	NOUN
cblr-2931	381	8	"	"	PUNCT
cblr-2931	381	9	as	as	ADP
cblr-2931	381	10	a	a	DET
cblr-2931	381	11	"	"	PUNCT
cblr-2931	381	12	person	person	NOUN
cblr-2931	381	13	engaged	engage	VERB
cblr-2931	381	14	in	in	ADP
cblr-2931	381	15	the	the	DET
cblr-2931	381	16	business	business	NOUN
cblr-2931	381	17	of	of	ADP
cblr-2931	381	18	effecting	effect	VERB
cblr-2931	381	19	transactions	transaction	NOUN
cblr-2931	381	20	in	in	ADP
cblr-2931	381	21	securities	security	NOUN
cblr-2931	381	22	for	for	ADP
cblr-2931	381	23	the	the	DET
cblr-2931	381	24	account	account	NOUN
cblr-2931	381	25	of	of	ADP
cblr-2931	381	26	others	other	NOUN
cblr-2931	381	27	,	,	PUNCT
cblr-2931	381	28	"	"	PUNCT
cblr-2931	381	29	"	"	PUNCT
cblr-2931	381	30	while	while	SCONJ
cblr-2931	381	31	a	a	DET
cblr-2931	381	32	"	"	PUNCT
cblr-2931	381	33	dealer	dealer	NOUN
cblr-2931	381	34	"	"	PUNCT
cblr-2931	381	35	is	be	AUX
cblr-2931	381	36	a	a	DET
cblr-2931	381	37	"	"	PUNCT
cblr-2931	381	38	person	person	NOUN
cblr-2931	381	39	engaged	engage	VERB
cblr-2931	381	40	in	in	ADP
cblr-2931	381	41	the	the	DET
cblr-2931	381	42	business	business	NOUN
cblr-2931	381	43	of	of	ADP
cblr-2931	381	44	buying	buy	VERB
cblr-2931	381	45	and	and	CCONJ
cblr-2931	381	46	selling	sell	VERB
cblr-2931	381	47	securities	security	NOUN
cblr-2931	381	48	for	for	ADP
cblr-2931	381	49	such	such	ADJ
cblr-2931	381	50	person	person	NOUN
cblr-2931	381	51	's	's	PART
cblr-2931	381	52	own	own	ADJ
cblr-2931	381	53	account	account	NOUN
cblr-2931	381	54	.	.	PUNCT
cblr-2931	382	1	"	"	PUNCT
cblr-2931	382	2	"	"	PUNCT
cblr-2931	382	3	'	'	PUNCT
cblr-2931	382	4	an	an	DET
cblr-2931	382	5	"	"	PUNCT
cblr-2931	382	6	investment	investment	NOUN
cblr-2931	382	7	adviser	adviser	NOUN
cblr-2931	382	8	"	"	PUNCT
cblr-2931	382	9	is	be	AUX
cblr-2931	382	10	defined	define	VERB
cblr-2931	382	11	in	in	ADP
cblr-2931	382	12	section	section	NOUN
cblr-2931	382	13	202(a)(11	202(a)(11	NUM
cblr-2931	382	14	)	)	PUNCT
cblr-2931	382	15	of	of	ADP
cblr-2931	382	16	the	the	DET
cblr-2931	382	17	investment	investment	NOUN
cblr-2931	382	18	advisers	adviser	NOUN
cblr-2931	382	19	act	act	VERB
cblr-2931	382	20	of	of	ADP
cblr-2931	382	21	1940	1940	NUM
cblr-2931	382	22	as	as	ADP
cblr-2931	382	23	a	a	DET
cblr-2931	382	24	"	"	PUNCT
cblr-2931	382	25	person	person	NOUN
cblr-2931	382	26	who	who	PRON
cblr-2931	382	27	,	,	PUNCT
cblr-2931	382	28	for	for	ADP
cblr-2931	382	29	compensation	compensation	NOUN
cblr-2931	382	30	,	,	PUNCT
cblr-2931	382	31	engages	engage	VERB
cblr-2931	382	32	in	in	ADP
cblr-2931	382	33	the	the	DET
cblr-2931	382	34	business	business	NOUN
cblr-2931	382	35	of	of	ADP
cblr-2931	382	36	advising	advise	VERB
cblr-2931	382	37	others	other	NOUN
cblr-2931	382	38	..	..	PUNCT
cblr-2931	382	39	.	.	PUNCT
cblr-2931	383	1	as	as	ADP
cblr-2931	383	2	to	to	ADP
cblr-2931	383	3	the	the	DET
cblr-2931	383	4	advisability	advisability	NOUN
cblr-2931	383	5	of	of	ADP
cblr-2931	383	6	white	white	ADJ
cblr-2931	383	7	,	,	PUNCT
cblr-2931	383	8	national	national	ADJ
cblr-2931	383	9	association	association	PROPN
cblr-2931	383	10	of	of	ADP
cblr-2931	383	11	securities	securities	PROPN
cblr-2931	383	12	dealers	dealers	PROPN
cblr-2931	383	13	,	,	PUNCT
cblr-2931	383	14	inc	inc	PROPN
cblr-2931	383	15	.	.	PROPN
cblr-2931	383	16	,	,	PUNCT
cblr-2931	383	17	28	28	NUM
cblr-2931	383	18	geo	geo	PROPN
cblr-2931	383	19	.	.	PROPN
cblr-2931	383	20	wash	wash	PROPN
cblr-2931	383	21	.	.	PUNCT
cblr-2931	384	1	l.	l.	PROPN
cblr-2931	384	2	rev	rev	PROPN
cblr-2931	384	3	.	.	PROPN
cblr-2931	385	1	250	250	NUM
cblr-2931	385	2	(	(	PUNCT
cblr-2931	385	3	1959	1959	NUM
cblr-2931	385	4	)	)	PUNCT
cblr-2931	385	5	.	.	PUNCT
cblr-2931	386	1	8	8	NUM
cblr-2931	386	2	see	see	VERB
cblr-2931	386	3	,	,	PUNCT
cblr-2931	386	4	e.g.	e.g.	ADV
cblr-2931	386	5	,	,	PUNCT
cblr-2931	386	6	roth	roth	PROPN
cblr-2931	386	7	v.	v.	ADP
cblr-2931	386	8	sec	sec	PROPN
cblr-2931	386	9	,	,	PUNCT
cblr-2931	386	10	22	22	NUM
cblr-2931	386	11	f.3d	f.3d	NUM
cblr-2931	386	12	1108	1108	NUM
cblr-2931	386	13	,	,	PUNCT
cblr-2931	386	14	1109	1109	NUM
cblr-2931	386	15	(	(	PUNCT
cblr-2931	386	16	d.c	d.c	PROPN
cblr-2931	386	17	.	.	PROPN
cblr-2931	386	18	cir	cir	PROPN
cblr-2931	386	19	.	.	PROPN
cblr-2931	386	20	1994	1994	NUM
cblr-2931	386	21	)	)	PUNCT
cblr-2931	386	22	(	(	PUNCT
cblr-2931	386	23	holding	hold	VERB
cblr-2931	386	24	that	that	SCONJ
cblr-2931	386	25	an	an	DET
cblr-2931	386	26	associated	associated	ADJ
cblr-2931	386	27	person	person	NOUN
cblr-2931	386	28	had	have	VERB
cblr-2931	386	29	to	to	PART
cblr-2931	386	30	register	register	VERB
cblr-2931	386	31	as	as	ADP
cblr-2931	386	32	a	a	DET
cblr-2931	386	33	broker	broker	NOUN
cblr-2931	386	34	-	-	PUNCT
cblr-2931	386	35	dealer	dealer	NOUN
cblr-2931	386	36	where	where	SCONJ
cblr-2931	386	37	she	she	PRON
cblr-2931	386	38	was	be	AUX
cblr-2931	386	39	engaged	engage	VERB
cblr-2931	386	40	in	in	ADP
cblr-2931	386	41	the	the	DET
cblr-2931	386	42	securities	security	NOUN
cblr-2931	386	43	business	business	NOUN
cblr-2931	386	44	on	on	ADP
cblr-2931	386	45	her	her	PRON
cblr-2931	386	46	own	own	ADJ
cblr-2931	386	47	and	and	CCONJ
cblr-2931	386	48	not	not	PART
cblr-2931	386	49	through	through	ADP
cblr-2931	386	50	a	a	DET
cblr-2931	386	51	registered	register	VERB
cblr-2931	386	52	broker	broker	NOUN
cblr-2931	386	53	-	-	PUNCT
cblr-2931	386	54	dealer	dealer	NOUN
cblr-2931	386	55	)	)	PUNCT
cblr-2931	386	56	.	.	PUNCT
cblr-2931	386	57	'	'	PUNCT
cblr-2931	387	1	i	i	PRON
cblr-2931	387	2	d.	d.	PROPN
cblr-2931	387	3	(	(	PUNCT
cblr-2931	387	4	holding	hold	VERB
cblr-2931	387	5	that	that	SCONJ
cblr-2931	387	6	the	the	DET
cblr-2931	387	7	exemption	exemption	NOUN
cblr-2931	387	8	from	from	ADP
cblr-2931	387	9	broker	broker	NOUN
cblr-2931	387	10	-	-	PUNCT
cblr-2931	387	11	dealer	dealer	NOUN
cblr-2931	387	12	registration	registration	NOUN
cblr-2931	387	13	extends	extend	VERB
cblr-2931	387	14	only	only	ADV
cblr-2931	387	15	to	to	ADP
cblr-2931	387	16	those	those	DET
cblr-2931	387	17	individuals	individual	NOUN
cblr-2931	387	18	subject	subject	ADJ
cblr-2931	387	19	to	to	ADP
cblr-2931	387	20	the	the	DET
cblr-2931	387	21	supervisory	supervisory	ADJ
cblr-2931	387	22	relationship	relationship	NOUN
cblr-2931	387	23	which	which	PRON
cblr-2931	387	24	normally	normally	ADV
cblr-2931	387	25	accompanies	accompany	VERB
cblr-2931	387	26	association	association	NOUN
cblr-2931	387	27	with	with	ADP
cblr-2931	387	28	a	a	DET
cblr-2931	387	29	member	member	NOUN
cblr-2931	387	30	firm	firm	NOUN
cblr-2931	387	31	)	)	PUNCT
cblr-2931	387	32	.	.	PUNCT
cblr-2931	387	33	'	'	PUNCT
cblr-2931	388	1	see	see	VERB
cblr-2931	388	2	,	,	PUNCT
cblr-2931	388	3	e.g.	e.g.	ADV
cblr-2931	388	4	,	,	PUNCT
cblr-2931	388	5	exch	exch	PROPN
cblr-2931	388	6	.	.	PUNCT
cblr-2931	389	1	servs	servs	PROPN
cblr-2931	389	2	.	.	PROPN
cblr-2931	389	3	,	,	PUNCT
cblr-2931	389	4	inc	inc	PROPN
cblr-2931	389	5	.	.	PROPN
cblr-2931	390	1	v.	v.	PROPN
cblr-2931	390	2	sec	sec	PROPN
cblr-2931	390	3	,	,	PUNCT
cblr-2931	390	4	797	797	NUM
cblr-2931	390	5	f.2d	f.2d	NOUN
cblr-2931	390	6	188	188	NUM
cblr-2931	390	7	,	,	PUNCT
cblr-2931	390	8	191	191	NUM
cblr-2931	390	9	(	(	PUNCT
cblr-2931	390	10	4th	4th	ADJ
cblr-2931	390	11	cir	cir	NOUN
cblr-2931	390	12	.	.	PROPN
cblr-2931	390	13	1986	1986	NUM
cblr-2931	390	14	)	)	PUNCT
cblr-2931	391	1	(	(	PUNCT
cblr-2931	391	2	holding	hold	VERB
cblr-2931	391	3	that	that	DET
cblr-2931	391	4	order	order	NOUN
cblr-2931	391	5	takers	taker	NOUN
cblr-2931	391	6	for	for	ADP
cblr-2931	391	7	discount	discount	NOUN
cblr-2931	391	8	brokers	broker	NOUN
cblr-2931	391	9	must	must	AUX
cblr-2931	391	10	register	register	VERB
cblr-2931	391	11	as	as	ADP
cblr-2931	391	12	general	general	ADJ
cblr-2931	391	13	securities	security	NOUN
cblr-2931	391	14	representatives	representative	NOUN
cblr-2931	391	15	)	)	PUNCT
cblr-2931	391	16	.	.	PUNCT
cblr-2931	391	17	'	'	PUNCT
cblr-2931	392	1	haberman	haberman	PROPN
cblr-2931	392	2	v.	v.	ADP
cblr-2931	392	3	sec	sec	PROPN
cblr-2931	392	4	,	,	PUNCT
cblr-2931	392	5	no	no	INTJ
cblr-2931	392	6	.	.	NOUN
cblr-2931	392	7	99	99	NUM
cblr-2931	392	8	-	-	SYM
cblr-2931	392	9	1014	1014	NUM
cblr-2931	392	10	,	,	PUNCT
cblr-2931	392	11	2000	2000	NUM
cblr-2931	392	12	wl	wl	NOUN
cblr-2931	392	13	84494	84494	NUM
cblr-2931	392	14	,	,	PUNCT
cblr-2931	392	15	at	at	ADP
cblr-2931	392	16	*	*	NOUN
cblr-2931	392	17	1	1	NUM
cblr-2931	392	18	(	(	PUNCT
cblr-2931	392	19	8th	8th	ADJ
cblr-2931	392	20	cir	cir	NOUN
cblr-2931	392	21	.	.	PROPN
cblr-2931	392	22	2000	2000	NUM
cblr-2931	392	23	)	)	PUNCT
cblr-2931	393	1	(	(	PUNCT
cblr-2931	393	2	upholding	uphold	VERB
cblr-2931	393	3	disqualification	disqualification	NOUN
cblr-2931	393	4	of	of	ADP
cblr-2931	393	5	associated	associated	ADJ
cblr-2931	393	6	person	person	NOUN
cblr-2931	393	7	)	)	PUNCT
cblr-2931	393	8	.	.	PUNCT
cblr-2931	394	1	15	15	NUM
cblr-2931	394	2	u.s.c	u.s.c	ADJ
cblr-2931	394	3	.	.	PUNCT
cblr-2931	395	1	§	§	PROPN
cblr-2931	395	2	78c(a)(4)(a	78c(a)(4)(a	NUM
cblr-2931	395	3	)	)	PUNCT
cblr-2931	395	4	(	(	PUNCT
cblr-2931	395	5	2010	2010	NUM
cblr-2931	395	6	)	)	PUNCT
cblr-2931	395	7	.	.	PUNCT
cblr-2931	396	1	8	8	NUM
cblr-2931	397	1	i	i	PRON
cblr-2931	397	2	d.	d.	PROPN
cblr-2931	397	3	§	§	PROPN
cblr-2931	397	4	78c(a)(5	78c(a)(5	PROPN
cblr-2931	397	5	)	)	PUNCT
cblr-2931	397	6	.	.	PUNCT
cblr-2931	398	1	col	col	PROPN
cblr-2931	398	2	uamb	uamb	ADJ
cblr-2931	398	3	business	business	PROPN
cblr-2931	398	4	la	la	PROPN
cblr-2931	398	5	w	w	PROPN
cblr-2931	398	6	re	re	X
cblr-2931	398	7	vie	vie	NOUN
cblr-2931	398	8	w730	w730	PROPN
cblr-2931	399	1	[	[	X
cblr-2931	399	2	vol	vol	NOUN
cblr-2931	399	3	.	.	NOUN
cblr-2931	399	4	20	20	NUM
cblr-2931	399	5	10	10	NUM
cblr-2931	399	6	no.3:710	no.3:710	PROPN
cblr-2931	399	7	]	]	PUNCT
cblr-2931	399	8	are	be	AUX
cblr-2931	399	9	existing	exist	VERB
cblr-2931	399	10	stock	stock	NOUN
cblr-2931	399	11	broker	broker	NOUN
cblr-2931	399	12	standards	standard	NOUN
cblr-2931	399	13	sufficient	sufficient	ADJ
cblr-2931	399	14	?	?	PUNCT
cblr-2931	400	1	investing	invest	VERB
cblr-2931	400	2	in	in	ADP
cblr-2931	400	3	,	,	PUNCT
cblr-2931	400	4	purchasing	purchase	VERB
cblr-2931	400	5	or	or	CCONJ
cblr-2931	400	6	selling	sell	VERB
cblr-2931	400	7	securities	security	NOUN
cblr-2931	400	8	,	,	PUNCT
cblr-2931	400	9	"	"	PUNCT
cblr-2931	400	10	"	"	PUNCT
cblr-2931	400	11	but	but	CCONJ
cblr-2931	400	12	brokerdealers	brokerdealer	NOUN
cblr-2931	400	13	who	who	PRON
cblr-2931	400	14	render	render	VERB
cblr-2931	400	15	such	such	ADJ
cblr-2931	400	16	advice	advice	NOUN
cblr-2931	400	17	as	as	ADP
cblr-2931	400	18	part	part	NOUN
cblr-2931	400	19	of	of	ADP
cblr-2931	400	20	their	their	PRON
cblr-2931	400	21	brokerage	brokerage	NOUN
cblr-2931	400	22	activities	activity	NOUN
cblr-2931	400	23	are	be	AUX
cblr-2931	400	24	exempt	exempt	ADJ
cblr-2931	400	25	from	from	ADP
cblr-2931	400	26	the	the	DET
cblr-2931	400	27	1940	1940	NUM
cblr-2931	400	28	act	act	NOUN
cblr-2931	400	29	definition	definition	NOUN
cblr-2931	400	30	because	because	SCONJ
cblr-2931	400	31	of	of	ADP
cblr-2931	400	32	the	the	DET
cblr-2931	400	33	assumption	assumption	NOUN
cblr-2931	400	34	that	that	SCONJ
cblr-2931	400	35	broker	broker	NOUN
cblr-2931	400	36	-	-	PUNCT
cblr-2931	400	37	dealer	dealer	NOUN
cblr-2931	400	38	regulation	regulation	NOUN
cblr-2931	400	39	is	be	AUX
cblr-2931	400	40	sufficient	sufficient	ADJ
cblr-2931	400	41	to	to	PART
cblr-2931	400	42	adequately	adequately	ADV
cblr-2931	400	43	protect	protect	VERB
cblr-2931	400	44	investors	investor	NOUN
cblr-2931	400	45	'	'	PART
cblr-2931	400	46	interests	interest	NOUN
cblr-2931	400	47	.	.	PUNCT
cblr-2931	400	48	"	"	PUNCT
cblr-2931	401	1	as	as	SCONJ
cblr-2931	401	2	noted	note	VERB
cblr-2931	401	3	above	above	ADV
cblr-2931	401	4	,	,	PUNCT
cblr-2931	401	5	under	under	ADP
cblr-2931	401	6	section	section	NOUN
cblr-2931	401	7	15(a	15(a	NUM
cblr-2931	401	8	)	)	PUNCT
cblr-2931	401	9	of	of	ADP
cblr-2931	401	10	the	the	DET
cblr-2931	401	11	1934	1934	NUM
cblr-2931	401	12	act	act	NOUN
cblr-2931	401	13	,	,	PUNCT
cblr-2931	401	14	"	"	PUNCT
cblr-2931	401	15	no	no	DET
cblr-2931	401	16	person	person	NOUN
cblr-2931	401	17	may	may	AUX
cblr-2931	401	18	engage	engage	VERB
cblr-2931	401	19	in	in	ADP
cblr-2931	401	20	business	business	NOUN
cblr-2931	401	21	as	as	ADP
cblr-2931	401	22	a	a	DET
cblr-2931	401	23	broker	broker	NOUN
cblr-2931	401	24	or	or	CCONJ
cblr-2931	401	25	dealer	dealer	NOUN
cblr-2931	401	26	in	in	ADP
cblr-2931	401	27	securities	security	NOUN
cblr-2931	401	28	unless	unless	SCONJ
cblr-2931	401	29	he	he	PRON
cblr-2931	401	30	or	or	CCONJ
cblr-2931	401	31	she	she	PRON
cblr-2931	401	32	conducts	conduct	VERB
cblr-2931	401	33	exclusively	exclusively	ADV
cblr-2931	401	34	intrastate	intrastate	ADJ
cblr-2931	401	35	business	business	NOUN
cblr-2931	401	36	,	,	PUNCT
cblr-2931	401	37	deals	deal	NOUN
cblr-2931	401	38	only	only	ADV
cblr-2931	401	39	in	in	ADP
cblr-2931	401	40	exempted	exempt	VERB
cblr-2931	401	41	securities	security	NOUN
cblr-2931	401	42	,	,	PUNCT
cblr-2931	401	43	or	or	CCONJ
cblr-2931	401	44	is	be	AUX
cblr-2931	401	45	registered	register	VERB
cblr-2931	401	46	with	with	ADP
cblr-2931	401	47	the	the	DET
cblr-2931	401	48	commission	commission	NOUN
cblr-2931	401	49	.	.	PUNCT
cblr-2931	402	1	under	under	ADP
cblr-2931	402	2	section	section	NOUN
cblr-2931	402	3	15(b	15(b	NUM
cblr-2931	402	4	)	)	PUNCT
cblr-2931	402	5	,	,	PUNCT
cblr-2931	402	6	1	1	NUM
cblr-2931	402	7	the	the	DET
cblr-2931	402	8	sec	sec	PROPN
cblr-2931	402	9	may	may	AUX
cblr-2931	402	10	revoke	revoke	VERB
cblr-2931	402	11	or	or	CCONJ
cblr-2931	402	12	suspend	suspend	VERB
cblr-2931	402	13	a	a	DET
cblr-2931	402	14	broker	broker	NOUN
cblr-2931	402	15	-	-	PUNCT
cblr-2931	402	16	dealer	dealer	NOUN
cblr-2931	402	17	's	's	PART
cblr-2931	402	18	registration	registration	NOUN
cblr-2931	402	19	,	,	PUNCT
cblr-2931	402	20	or	or	CCONJ
cblr-2931	402	21	impose	impose	VERB
cblr-2931	402	22	a	a	DET
cblr-2931	402	23	censure	censure	NOUN
cblr-2931	402	24	,	,	PUNCT
cblr-2931	402	25	if	if	SCONJ
cblr-2931	402	26	the	the	DET
cblr-2931	402	27	broker	broker	NOUN
cblr-2931	402	28	-	-	PUNCT
cblr-2931	402	29	dealer	dealer	NOUN
cblr-2931	402	30	is	be	AUX
cblr-2931	402	31	found	find	VERB
cblr-2931	402	32	to	to	PART
cblr-2931	402	33	have	have	AUX
cblr-2931	402	34	violated	violate	VERB
cblr-2931	402	35	any	any	PRON
cblr-2931	402	36	of	of	ADP
cblr-2931	402	37	the	the	DET
cblr-2931	402	38	federal	federal	ADJ
cblr-2931	402	39	securities	security	NOUN
cblr-2931	402	40	laws	law	NOUN
cblr-2931	402	41	or	or	CCONJ
cblr-2931	402	42	committed	commit	VERB
cblr-2931	402	43	other	other	ADJ
cblr-2931	402	44	specified	specify	VERB
cblr-2931	402	45	misdeeds.9	misdeeds.9	PROPN
cblr-2931	402	46	2	2	NUM
cblr-2931	402	47	in	in	ADP
cblr-2931	402	48	spelling	spell	VERB
cblr-2931	402	49	out	out	ADP
cblr-2931	402	50	the	the	DET
cblr-2931	402	51	substantive	substantive	ADJ
cblr-2931	402	52	obligations	obligation	NOUN
cblr-2931	402	53	of	of	ADP
cblr-2931	402	54	these	these	DET
cblr-2931	402	55	securities	security	NOUN
cblr-2931	402	56	"	"	PUNCT
cblr-2931	402	57	professionals	professional	NOUN
cblr-2931	402	58	"	"	PUNCT
cblr-2931	402	59	in	in	ADP
cblr-2931	402	60	dealing	deal	VERB
cblr-2931	402	61	with	with	ADP
cblr-2931	402	62	public	public	ADJ
cblr-2931	402	63	investors	investor	NOUN
cblr-2931	402	64	,	,	PUNCT
cblr-2931	402	65	the	the	DET
cblr-2931	402	66	sec	sec	PROPN
cblr-2931	402	67	proceeded	proceed	VERB
cblr-2931	402	68	with	with	ADP
cblr-2931	402	69	rulemaking	rulemake	VERB
cblr-2931	402	70	largely	largely	ADV
cblr-2931	402	71	under	under	ADP
cblr-2931	402	72	the	the	DET
cblr-2931	402	73	general	general	ADJ
cblr-2931	402	74	anti	anti	ADJ
cblr-2931	402	75	-	-	ADJ
cblr-2931	402	76	fraud	fraud	ADJ
cblr-2931	402	77	provisions	provision	NOUN
cblr-2931	402	78	of	of	ADP
cblr-2931	402	79	sections	section	NOUN
cblr-2931	402	80	10(b)13	10(b)13	NUM
cblr-2931	403	1	and	and	CCONJ
cblr-2931	403	2	15(c)94	15(c)94	NUM
cblr-2931	403	3	of	of	ADP
cblr-2931	403	4	the	the	DET
cblr-2931	403	5	1934	1934	NUM
cblr-2931	403	6	act	act	NOUN
cblr-2931	403	7	,	,	PUNCT
cblr-2931	403	8	section	section	NOUN
cblr-2931	403	9	17(a	17(a	NUM
cblr-2931	403	10	)	)	PUNCT
cblr-2931	403	11	of	of	ADP
cblr-2931	403	12	the	the	DET
cblr-2931	403	13	securities	security	NOUN
cblr-2931	403	14	act	act	NOUN
cblr-2931	403	15	of	of	ADP
cblr-2931	403	16	1933,"6	1933,"6	NUM
cblr-2931	403	17	and	and	CCONJ
cblr-2931	403	18	section	section	NOUN
cblr-2931	403	19	206	206	NUM
cblr-2931	403	20	of	of	ADP
cblr-2931	403	21	the	the	DET
cblr-2931	403	22	investment	investment	NOUN
cblr-2931	403	23	advisers	adviser	NOUN
cblr-2931	403	24	act	act	VERB
cblr-2931	403	25	.	.	PUNCT
cblr-2931	404	1	96	96	NUM
cblr-2931	405	1	the	the	DET
cblr-2931	405	2	sec	sec	PROPN
cblr-2931	405	3	's	's	PART
cblr-2931	405	4	attention	attention	NOUN
cblr-2931	405	5	has	have	AUX
cblr-2931	405	6	been	be	AUX
cblr-2931	405	7	focused	focus	VERB
cblr-2931	405	8	on	on	ADP
cblr-2931	405	9	two	two	NUM
cblr-2931	405	10	broad	broad	ADJ
cblr-2931	405	11	areas	area	NOUN
cblr-2931	405	12	:	:	PUNCT
cblr-2931	405	13	(	(	PUNCT
cblr-2931	405	14	a	a	X
cblr-2931	405	15	)	)	PUNCT
cblr-2931	405	16	conflicts	conflict	NOUN
cblr-2931	405	17	between	between	ADP
cblr-2931	405	18	the	the	DET
cblr-2931	405	19	firm	firm	NOUN
cblr-2931	405	20	's	's	PART
cblr-2931	405	21	obligations	obligation	NOUN
cblr-2931	405	22	to	to	ADP
cblr-2931	405	23	its	its	PRON
cblr-2931	405	24	customers	customer	NOUN
cblr-2931	405	25	and	and	CCONJ
cblr-2931	405	26	its	its	PRON
cblr-2931	405	27	own	own	ADJ
cblr-2931	405	28	m	m	VERB
cblr-2931	406	1	i	i	PROPN
cblr-2931	406	2	d.	d.	PROPN
cblr-2931	406	3	§	§	PROPN
cblr-2931	406	4	80b-2(a)(11	80b-2(a)(11	NUM
cblr-2931	406	5	)	)	PUNCT
cblr-2931	406	6	.	.	PUNCT
cblr-2931	407	1	8	8	NUM
cblr-2931	408	1	i	i	PRON
cblr-2931	408	2	d.	d.	PROPN
cblr-2931	408	3	§	§	PROPN
cblr-2931	408	4	80b-2(a)(11)(c	80b-2(a)(11)(c	NUM
cblr-2931	408	5	)	)	PUNCT
cblr-2931	408	6	.	.	PUNCT
cblr-2931	409	1	accord	accord	NOUN
cblr-2931	409	2	applicability	applicability	NOUN
cblr-2931	409	3	of	of	ADP
cblr-2931	409	4	the	the	DET
cblr-2931	409	5	investment	investment	NOUN
cblr-2931	409	6	advisers	adviser	NOUN
cblr-2931	409	7	act	act	VERB
cblr-2931	409	8	to	to	ADP
cblr-2931	409	9	certain	certain	ADJ
cblr-2931	409	10	brokers	broker	NOUN
cblr-2931	409	11	and	and	CCONJ
cblr-2931	409	12	dealers	dealer	NOUN
cblr-2931	409	13	,	,	PUNCT
cblr-2931	409	14	exchange	exchange	NOUN
cblr-2931	409	15	act	act	NOUN
cblr-2931	409	16	release	release	VERB
cblr-2931	409	17	no	no	NOUN
cblr-2931	409	18	.	.	NOUN
cblr-2931	409	19	15215	15215	NUM
cblr-2931	409	20	,	,	PUNCT
cblr-2931	409	21	1978	1978	NUM
cblr-2931	409	22	wl	wl	PROPN
cblr-2931	409	23	14788	14788	NUM
cblr-2931	409	24	(	(	PUNCT
cblr-2931	409	25	1978	1978	NUM
cblr-2931	409	26	)	)	PUNCT
cblr-2931	409	27	(	(	PUNCT
cblr-2931	409	28	extending	extend	VERB
cblr-2931	409	29	temporary	temporary	ADJ
cblr-2931	409	30	exemption	exemption	NOUN
cblr-2931	409	31	from	from	ADP
cblr-2931	409	32	investment	investment	NOUN
cblr-2931	409	33	advisers	adviser	NOUN
cblr-2931	409	34	act	act	VERB
cblr-2931	409	35	for	for	ADP
cblr-2931	409	36	broker	broker	NOUN
cblr-2931	409	37	-	-	PUNCT
cblr-2931	409	38	dealers	dealer	NOUN
cblr-2931	409	39	exercising	exercise	VERB
cblr-2931	409	40	discretionary	discretionary	ADJ
cblr-2931	409	41	authority	authority	NOUN
cblr-2931	409	42	over	over	ADP
cblr-2931	409	43	accounts	account	NOUN
cblr-2931	409	44	)	)	PUNCT
cblr-2931	409	45	.	.	PUNCT
cblr-2931	410	1	so	so	ADV
cblr-2931	410	2	i	i	PRON
cblr-2931	410	3	d.	d.	PROPN
cblr-2931	410	4	§	§	PROPN
cblr-2931	410	5	78o(a)(1	78o(a)(1	PROPN
cblr-2931	410	6	)	)	PUNCT
cblr-2931	410	7	.	.	PUNCT
cblr-2931	411	1	ex	ex	X
cblr-2931	412	1	i	i	PRON
cblr-2931	412	2	d.	d.	PROPN
cblr-2931	412	3	§	§	PROPN
cblr-2931	412	4	78o(b)(4	78o(b)(4	PROPN
cblr-2931	412	5	)	)	PUNCT
cblr-2931	412	6	;	;	PUNCT
cblr-2931	412	7	see	see	VERB
cblr-2931	412	8	also	also	ADV
cblr-2931	412	9	investment	investment	NOUN
cblr-2931	412	10	advisers	adviser	NOUN
cblr-2931	412	11	act	act	VERB
cblr-2931	412	12	of	of	ADP
cblr-2931	412	13	1940	1940	NUM
cblr-2931	412	14	§	§	PROPN
cblr-2931	412	15	203	203	NUM
cblr-2931	412	16	,	,	PUNCT
cblr-2931	412	17	15	15	NUM
cblr-2931	412	18	u.s.c	u.s.c	NOUN
cblr-2931	412	19	.	.	PUNCT
cblr-2931	413	1	§	§	PROPN
cblr-2931	413	2	80b-3(e	80b-3(e	NUM
cblr-2931	413	3	)	)	PUNCT
cblr-2931	413	4	(	(	PUNCT
cblr-2931	413	5	2010	2010	NUM
cblr-2931	413	6	)	)	PUNCT
cblr-2931	413	7	(	(	PUNCT
cblr-2931	413	8	containing	contain	VERB
cblr-2931	413	9	comparable	comparable	ADJ
cblr-2931	413	10	provisions	provision	NOUN
cblr-2931	413	11	with	with	ADP
cblr-2931	413	12	respect	respect	NOUN
cblr-2931	413	13	to	to	ADP
cblr-2931	413	14	investment	investment	NOUN
cblr-2931	413	15	advisers	adviser	NOUN
cblr-2931	413	16	)	)	PUNCT
cblr-2931	413	17	.	.	PUNCT
cblr-2931	414	1	9	9	NUM
cblr-2931	414	2	see	see	VERB
cblr-2931	414	3	,	,	PUNCT
cblr-2931	414	4	e.g.	e.g.	ADV
cblr-2931	414	5	,	,	PUNCT
cblr-2931	414	6	studer	studer	NOUN
cblr-2931	414	7	v.	v.	ADP
cblr-2931	414	8	sec	sec	PROPN
cblr-2931	414	9	,	,	PUNCT
cblr-2931	414	10	148	148	NUM
cblr-2931	414	11	fed	fed	PROPN
cblr-2931	414	12	.	.	PUNCT
cblr-2931	415	1	appx	appx	PROPN
cblr-2931	415	2	.	.	PROPN
cblr-2931	416	1	58	58	NUM
cblr-2931	416	2	,	,	PUNCT
cblr-2931	416	3	59	59	NUM
cblr-2931	416	4	(	(	PUNCT
cblr-2931	416	5	2d	2d	NUM
cblr-2931	416	6	cir	cir	NOUN
cblr-2931	416	7	.	.	PROPN
cblr-2931	416	8	2005	2005	NUM
cblr-2931	416	9	)	)	PUNCT
cblr-2931	416	10	(	(	PUNCT
cblr-2931	416	11	upholding	uphold	VERB
cblr-2931	416	12	revocation	revocation	NOUN
cblr-2931	416	13	of	of	ADP
cblr-2931	416	14	broker	broker	NOUN
cblr-2931	416	15	-	-	PUNCT
cblr-2931	416	16	dealer	dealer	NOUN
cblr-2931	416	17	registration	registration	NOUN
cblr-2931	416	18	)	)	PUNCT
cblr-2931	416	19	.	.	PUNCT
cblr-2931	417	1	93	93	NUM
cblr-2931	417	2	15	15	NUM
cblr-2931	417	3	u.s.c	u.s.c	NOUN
cblr-2931	417	4	.	.	PUNCT
cblr-2931	418	1	§	§	PROPN
cblr-2931	418	2	78j(b	78j(b	NUM
cblr-2931	418	3	)	)	PUNCT
cblr-2931	419	1	;	;	PUNCT
cblr-2931	419	2	see	see	VERB
cblr-2931	419	3	also	also	ADV
cblr-2931	419	4	5	5	NUM
cblr-2931	419	5	thomas	thomas	PROPN
cblr-2931	419	6	lee	lee	PROPN
cblr-2931	419	7	hazen	hazen	PROPN
cblr-2931	419	8	,	,	PUNCT
cblr-2931	419	9	treatise	treatise	NOUN
cblr-2931	419	10	on	on	ADP
cblr-2931	419	11	the	the	DET
cblr-2931	419	12	law	law	NOUN
cblr-2931	419	13	of	of	ADP
cblr-2931	419	14	securities	security	NOUN
cblr-2931	419	15	regulation	regulation	NOUN
cblr-2931	419	16	§	§	PROPN
cblr-2931	419	17	12.1	12.1	NUM
cblr-2931	419	18	(	(	PUNCT
cblr-2931	419	19	6th	6th	ADJ
cblr-2931	419	20	ed	ed	NOUN
cblr-2931	419	21	.	.	PROPN
cblr-2931	419	22	2009	2009	NUM
cblr-2931	419	23	)	)	PUNCT
cblr-2931	419	24	.	.	PUNCT
cblr-2931	420	1	9	9	NUM
cblr-2931	420	2	15	15	NUM
cblr-2931	420	3	u.s.c	u.s.c	NOUN
cblr-2931	420	4	.	.	PUNCT
cblr-2931	421	1	§	§	PROPN
cblr-2931	421	2	78o(c	78o(c	NUM
cblr-2931	421	3	)	)	PUNCT
cblr-2931	421	4	.	.	PUNCT
cblr-2931	422	1	"	"	PUNCT
cblr-2931	423	1	i	i	PRON
cblr-2931	423	2	d.	d.	PROPN
cblr-2931	423	3	at	at	ADP
cblr-2931	423	4	§	§	PROPN
cblr-2931	423	5	77q(a	77q(a	PROPN
cblr-2931	423	6	)	)	PUNCT
cblr-2931	423	7	.	.	PUNCT
cblr-2931	424	1	96	96	NUM
cblr-2931	425	1	i	i	PRON
cblr-2931	425	2	d.	d.	PROPN
cblr-2931	425	3	at	at	ADP
cblr-2931	425	4	§	§	PROPN
cblr-2931	425	5	80b-6	80b-6	NUM
cblr-2931	425	6	.	.	PUNCT
cblr-2931	426	1	731	731	NUM
cblr-2931	426	2	financial	financial	ADJ
cblr-2931	426	3	interests	interest	NOUN
cblr-2931	426	4	,	,	PUNCT
cblr-2931	426	5	"	"	PUNCT
cblr-2931	426	6	and	and	CCONJ
cblr-2931	426	7	(	(	PUNCT
cblr-2931	426	8	b	b	NOUN
cblr-2931	426	9	)	)	PUNCT
cblr-2931	426	10	trading	trading	NOUN
cblr-2931	426	11	in	in	ADP
cblr-2931	426	12	or	or	CCONJ
cblr-2931	426	13	recommending	recommend	VERB
cblr-2931	426	14	securities	security	NOUN
cblr-2931	426	15	in	in	ADP
cblr-2931	426	16	the	the	DET
cblr-2931	426	17	absence	absence	NOUN
cblr-2931	426	18	of	of	ADP
cblr-2931	426	19	adequate	adequate	ADJ
cblr-2931	426	20	information	information	NOUN
cblr-2931	426	21	about	about	ADP
cblr-2931	426	22	the	the	DET
cblr-2931	426	23	issuer	issuer	NOUN
cblr-2931	426	24	.	.	PUNCT
cblr-2931	426	25	"	"	PUNCT
cblr-2931	427	1	violation	violation	NOUN
cblr-2931	427	2	of	of	ADP
cblr-2931	427	3	the	the	DET
cblr-2931	427	4	anti	anti	ADJ
cblr-2931	427	5	-	-	ADJ
cblr-2931	427	6	fraud	fraud	ADJ
cblr-2931	427	7	provisions	provision	NOUN
cblr-2931	427	8	in	in	ADP
cblr-2931	427	9	these	these	DET
cblr-2931	427	10	two	two	NUM
cblr-2931	427	11	areas	area	NOUN
cblr-2931	427	12	has	have	AUX
cblr-2931	427	13	given	give	VERB
cblr-2931	427	14	rise	rise	NOUN
cblr-2931	427	15	to	to	ADP
cblr-2931	427	16	lawsuits	lawsuit	NOUN
cblr-2931	427	17	by	by	ADP
cblr-2931	427	18	aggrieved	aggrieved	ADJ
cblr-2931	427	19	customers99	customers99	NOUN
cblr-2931	427	20	as	as	ADV
cblr-2931	427	21	well	well	ADV
cblr-2931	427	22	as	as	ADP
cblr-2931	427	23	disciplinary	disciplinary	ADJ
cblr-2931	427	24	actions	action	NOUN
cblr-2931	427	25	by	by	ADP
cblr-2931	427	26	the	the	DET
cblr-2931	427	27	sec.100	sec.100	NOUN
cblr-2931	427	28	there	there	PRON
cblr-2931	427	29	is	be	VERB
cblr-2931	427	30	a	a	DET
cblr-2931	427	31	wide	wide	ADJ
cblr-2931	427	32	range	range	NOUN
cblr-2931	427	33	of	of	ADP
cblr-2931	427	34	approaches	approach	NOUN
cblr-2931	427	35	taken	take	VERB
cblr-2931	427	36	by	by	ADP
cblr-2931	427	37	the	the	DET
cblr-2931	427	38	sec	sec	PROPN
cblr-2931	427	39	,	,	PUNCT
cblr-2931	427	40	finra	finra	NOUN
cblr-2931	427	41	,	,	PUNCT
cblr-2931	427	42	and	and	CCONJ
cblr-2931	427	43	the	the	DET
cblr-2931	427	44	courts	court	NOUN
cblr-2931	427	45	in	in	ADP
cblr-2931	427	46	regulating	regulate	VERB
cblr-2931	427	47	broker	broker	NOUN
cblr-2931	427	48	-	-	PUNCT
cblr-2931	427	49	dealers	dealer	NOUN
cblr-2931	427	50	,	,	PUNCT
cblr-2931	427	51	including	include	VERB
cblr-2931	427	52	(	(	PUNCT
cblr-2931	427	53	1	1	NUM
cblr-2931	427	54	)	)	PUNCT
cblr-2931	427	55	excessive	excessive	ADJ
cblr-2931	427	56	prices	price	NOUN
cblr-2931	427	57	for	for	ADP
cblr-2931	427	58	nasdaq	nasdaq	PROPN
cblr-2931	427	59	and	and	CCONJ
cblr-2931	427	60	over	over	ADP
cblr-2931	427	61	-	-	PUNCT
cblr-2931	427	62	thecounter	thecounter	NOUN
cblr-2931	427	63	securities,101	securities,101	PROPN
cblr-2931	427	64	(	(	PUNCT
cblr-2931	427	65	2	2	NUM
cblr-2931	427	66	)	)	PUNCT
cblr-2931	427	67	activities	activity	NOUN
cblr-2931	427	68	of	of	ADP
cblr-2931	427	69	market	market	NOUN
cblr-2931	427	70	-	-	PUNCT
cblr-2931	427	71	makers	maker	NOUN
cblr-2931	427	72	who	who	PRON
cblr-2931	427	73	deal	deal	VERB
cblr-2931	427	74	directly	directly	ADV
cblr-2931	427	75	with	with	ADP
cblr-2931	427	76	individual	individual	ADJ
cblr-2931	427	77	customers	customer	NOUN
cblr-2931	427	78	in	in	ADP
cblr-2931	427	79	a	a	DET
cblr-2931	427	80	retail	retail	ADJ
cblr-2931	427	81	capacity	capacity	NOUN
cblr-2931	427	82	,	,	PUNCT
cblr-2931	427	83	102	102	NUM
cblr-2931	427	84	(	(	PUNCT
cblr-2931	427	85	3	3	NUM
cblr-2931	427	86	)	)	PUNCT
cblr-2931	427	87	excessive	excessive	ADJ
cblr-2931	427	88	trading	trading	NOUN
cblr-2931	427	89	in	in	ADP
cblr-2931	427	90	customers	customer	NOUN
cblr-2931	427	91	'	'	PART
cblr-2931	427	92	accounts	account	NOUN
cblr-2931	427	93	designed	design	VERB
cblr-2931	427	94	to	to	PART
cblr-2931	427	95	generate	generate	VERB
cblr-2931	427	96	brokerage	brokerage	NOUN
cblr-2931	427	97	commissions	commission	NOUN
cblr-2931	427	98	,	,	PUNCT
cblr-2931	427	99	o'0	o'0	NOUN
cblr-2931	427	100	and	and	CCONJ
cblr-2931	427	101	(	(	PUNCT
cblr-2931	427	102	4	4	X
cblr-2931	427	103	)	)	PUNCT
cblr-2931	427	104	undisclosed	undisclosed	ADJ
cblr-2931	427	105	interests	interest	NOUN
cblr-2931	427	106	of	of	ADP
cblr-2931	427	107	brokers	broker	NOUN
cblr-2931	427	108	and	and	CCONJ
cblr-2931	427	109	investment	investment	NOUN
cblr-2931	427	110	advisers	adviser	NOUN
cblr-2931	427	111	in	in	ADP
cblr-2931	427	112	the	the	DET
cblr-2931	427	113	stocks	stock	NOUN
cblr-2931	427	114	they	they	PRON
cblr-2931	427	115	recommend.104	recommend.104	VERB
cblr-2931	427	116	"	"	PUNCT
cblr-2931	427	117	see	see	VERB
cblr-2931	427	118	5	5	NUM
cblr-2931	427	119	hazen	hazen	NOUN
cblr-2931	427	120	,	,	PUNCT
cblr-2931	427	121	supra	supra	PROPN
cblr-2931	427	122	note	note	NOUN
cblr-2931	427	123	93	93	NUM
cblr-2931	427	124	,	,	PUNCT
cblr-2931	427	125	§	§	PROPN
cblr-2931	427	126	§	§	PROPN
cblr-2931	427	127	14.3	14.3	NUM
cblr-2931	427	128	,	,	PUNCT
cblr-2931	427	129	14.10	14.10	NUM
cblr-2931	427	130	(	(	PUNCT
cblr-2931	427	131	discussing	discuss	VERB
cblr-2931	427	132	applicable	applicable	ADJ
cblr-2931	427	133	regulations	regulation	NOUN
cblr-2931	427	134	)	)	PUNCT
cblr-2931	427	135	.	.	PUNCT
cblr-2931	428	1	98	98	NUM
cblr-2931	428	2	see	see	VERB
cblr-2931	428	3	generally	generally	ADV
cblr-2931	428	4	i	i	PRON
cblr-2931	428	5	d.	d.	PROPN
cblr-2931	428	6	§	§	PROPN
cblr-2931	428	7	§	§	PROPN
cblr-2931	428	8	14.15	14.15	NUM
cblr-2931	428	9	-	-	SYM
cblr-2931	428	10	14.18	14.18	NUM
cblr-2931	428	11	.	.	PUNCT
cblr-2931	429	1	*	*	PUNCT
cblr-2931	429	2	see	see	VERB
cblr-2931	429	3	i	i	PRON
cblr-2931	429	4	d.	d.	PROPN
cblr-2931	429	5	§	§	PROPN
cblr-2931	429	6	14.26(3)-(5	14.26(3)-(5	NUM
cblr-2931	429	7	)	)	PUNCT
cblr-2931	429	8	;	;	PUNCT
cblr-2931	429	9	see	see	VERB
cblr-2931	429	10	also	also	ADV
cblr-2931	429	11	generally	generally	ADV
cblr-2931	429	12	i	i	PROPN
cblr-2931	429	13	d.	d.	PROPN
cblr-2931	429	14	ch.15	ch.15	PROPN
cblr-2931	429	15	.	.	PUNCT
cblr-2931	430	1	10	10	NUM
cblr-2931	430	2	see	see	VERB
cblr-2931	430	3	i	i	PRON
cblr-2931	430	4	d.	d.	PROPN
cblr-2931	430	5	§	§	PROPN
cblr-2931	430	6	14.3(3)-(4	14.3(3)-(4	NUM
cblr-2931	430	7	)	)	PUNCT
cblr-2931	430	8	and	and	CCONJ
cblr-2931	430	9	ch.16	ch.16	PROPN
cblr-2931	430	10	(	(	PUNCT
cblr-2931	430	11	discussing	discuss	VERB
cblr-2931	430	12	the	the	DET
cblr-2931	430	13	sec	sec	PROPN
cblr-2931	430	14	's	's	PART
cblr-2931	430	15	enforcement	enforcement	NOUN
cblr-2931	430	16	authority	authority	NOUN
cblr-2931	430	17	generally	generally	ADV
cblr-2931	430	18	)	)	PUNCT
cblr-2931	430	19	.	.	PUNCT
cblr-2931	431	1	101	101	NUM
cblr-2931	431	2	see	see	VERB
cblr-2931	431	3	,	,	PUNCT
cblr-2931	431	4	e.g.	e.g.	ADV
cblr-2931	431	5	,	,	PUNCT
cblr-2931	431	6	lehl	lehl	PROPN
cblr-2931	431	7	v.	v.	PROPN
cblr-2931	431	8	sec	sec	PROPN
cblr-2931	431	9	,	,	PUNCT
cblr-2931	431	10	90	90	NUM
cblr-2931	431	11	f.3d	f.3d	NUM
cblr-2931	431	12	1483	1483	NUM
cblr-2931	431	13	,	,	PUNCT
cblr-2931	431	14	1488	1488	NUM
cblr-2931	431	15	n.4	n.4	SYM
cblr-2931	431	16	(	(	PUNCT
cblr-2931	431	17	10th	10th	ADJ
cblr-2931	431	18	cir	cir	NOUN
cblr-2931	431	19	.	.	PUNCT
cblr-2931	431	20	1996	1996	NUM
cblr-2931	431	21	)	)	PUNCT
cblr-2931	431	22	(	(	PUNCT
cblr-2931	431	23	"	"	PUNCT
cblr-2931	431	24	to	to	PART
cblr-2931	431	25	guide	guide	VERB
cblr-2931	431	26	its	its	PRON
cblr-2931	431	27	members	member	NOUN
cblr-2931	431	28	in	in	ADP
cblr-2931	431	29	determining	determine	VERB
cblr-2931	431	30	when	when	SCONJ
cblr-2931	431	31	a	a	DET
cblr-2931	431	32	price	price	NOUN
cblr-2931	431	33	is	be	AUX
cblr-2931	431	34	'	'	PUNCT
cblr-2931	431	35	reasonably	reasonably	ADV
cblr-2931	431	36	related	related	ADJ
cblr-2931	431	37	to	to	ADP
cblr-2931	431	38	the	the	DET
cblr-2931	431	39	current	current	ADJ
cblr-2931	431	40	market	market	NOUN
cblr-2931	431	41	price	price	NOUN
cblr-2931	431	42	,	,	PUNCT
cblr-2931	431	43	'	'	PUNCT
cblr-2931	431	44	the	the	DET
cblr-2931	431	45	nasd	nasd	NOUN
cblr-2931	431	46	surveyed	survey	VERB
cblr-2931	431	47	industry	industry	NOUN
cblr-2931	431	48	pricing	pricing	NOUN
cblr-2931	431	49	practices	practice	NOUN
cblr-2931	431	50	,	,	PUNCT
cblr-2931	431	51	concluding	conclude	VERB
cblr-2931	431	52	that	that	SCONJ
cblr-2931	431	53	the	the	DET
cblr-2931	431	54	vast	vast	ADJ
cblr-2931	431	55	majority	majority	NOUN
cblr-2931	431	56	of	of	ADP
cblr-2931	431	57	transactions	transaction	NOUN
cblr-2931	431	58	occurred	occur	VERB
cblr-2931	431	59	at	at	ADP
cblr-2931	431	60	markups	markup	NOUN
cblr-2931	431	61	of	of	ADP
cblr-2931	431	62	5	5	NUM
cblr-2931	431	63	%	%	NOUN
cblr-2931	431	64	or	or	CCONJ
cblr-2931	431	65	less	less	ADJ
cblr-2931	431	66	.	.	PUNCT
cblr-2931	432	1	it	it	PRON
cblr-2931	432	2	then	then	ADV
cblr-2931	432	3	issued	issue	VERB
cblr-2931	432	4	guidelines	guideline	NOUN
cblr-2931	432	5	setting	set	VERB
cblr-2931	432	6	5	5	NUM
cblr-2931	432	7	%	%	NOUN
cblr-2931	432	8	as	as	ADP
cblr-2931	432	9	a	a	DET
cblr-2931	432	10	benchmark	benchmark	NOUN
cblr-2931	432	11	of	of	ADP
cblr-2931	432	12	reasonableness	reasonableness	NOUN
cblr-2931	432	13	,	,	PUNCT
cblr-2931	432	14	to	to	PART
cblr-2931	432	15	be	be	AUX
cblr-2931	432	16	considered	consider	VERB
cblr-2931	432	17	with	with	ADP
cblr-2931	432	18	other	other	ADJ
cblr-2931	432	19	relevant	relevant	ADJ
cblr-2931	432	20	factors	factor	NOUN
cblr-2931	432	21	.	.	PUNCT
cblr-2931	433	1	the	the	DET
cblr-2931	433	2	nasd	nasd	NOUN
cblr-2931	433	3	cautioned	caution	VERB
cblr-2931	433	4	,	,	PUNCT
cblr-2931	433	5	however	however	ADV
cblr-2931	433	6	,	,	PUNCT
cblr-2931	433	7	that	that	SCONJ
cblr-2931	433	8	the	the	DET
cblr-2931	433	9	5	5	NUM
cblr-2931	433	10	%	%	NOUN
cblr-2931	433	11	policy	policy	NOUN
cblr-2931	433	12	'	'	PUNCT
cblr-2931	433	13	is	be	AUX
cblr-2931	433	14	a	a	DET
cblr-2931	433	15	guide	guide	NOUN
cblr-2931	433	16	-	-	PUNCT
cblr-2931	433	17	not	not	PART
cblr-2931	433	18	a	a	DET
cblr-2931	433	19	rule	rule	NOUN
cblr-2931	433	20	'	'	PUNCT
cblr-2931	433	21	;	;	PUNCT
cblr-2931	433	22	that	that	SCONJ
cblr-2931	433	23	a	a	DET
cblr-2931	433	24	'	'	PUNCT
cblr-2931	433	25	mark	mark	NOUN
cblr-2931	433	26	-	-	PUNCT
cblr-2931	433	27	up	up	ADP
cblr-2931	433	28	pattern	pattern	NOUN
cblr-2931	433	29	of	of	ADP
cblr-2931	433	30	5	5	NUM
cblr-2931	433	31	%	%	NOUN
cblr-2931	433	32	or	or	CCONJ
cblr-2931	433	33	even	even	ADV
cblr-2931	433	34	less	less	ADJ
cblr-2931	433	35	may	may	AUX
cblr-2931	433	36	be	be	AUX
cblr-2931	433	37	considered	consider	VERB
cblr-2931	433	38	unfair	unfair	ADJ
cblr-2931	433	39	or	or	CCONJ
cblr-2931	433	40	unreasonable	unreasonable	ADJ
cblr-2931	433	41	'	'	PUNCT
cblr-2931	433	42	;	;	PUNCT
cblr-2931	433	43	and	and	CCONJ
cblr-2931	433	44	that	that	SCONJ
cblr-2931	433	45	'	'	PUNCT
cblr-2931	433	46	[	[	X
cblr-2931	433	47	in	in	ADP
cblr-2931	433	48	the	the	DET
cblr-2931	433	49	case	case	NOUN
cblr-2931	433	50	of	of	ADP
cblr-2931	433	51	certain	certain	ADJ
cblr-2931	433	52	low	low	ADV
cblr-2931	433	53	-	-	PUNCT
cblr-2931	433	54	priced	price	VERB
cblr-2931	433	55	securities	security	NOUN
cblr-2931	433	56	,	,	PUNCT
cblr-2931	433	57	such	such	ADJ
cblr-2931	433	58	as	as	ADP
cblr-2931	433	59	those	those	PRON
cblr-2931	433	60	selling	sell	VERB
cblr-2931	433	61	below	below	ADP
cblr-2931	433	62	$	$	SYM
cblr-2931	433	63	10.00	10.00	NUM
cblr-2931	433	64	,	,	PUNCT
cblr-2931	433	65	a	a	DET
cblr-2931	433	66	somewhat	somewhat	ADV
cblr-2931	433	67	higher	high	ADJ
cblr-2931	433	68	percentage	percentage	NOUN
cblr-2931	433	69	may	may	AUX
cblr-2931	433	70	sometimes	sometimes	ADV
cblr-2931	433	71	be	be	AUX
cblr-2931	433	72	justified	justify	VERB
cblr-2931	433	73	.	.	PUNCT
cblr-2931	433	74	'	'	PUNCT
cblr-2931	433	75	"	"	PUNCT
cblr-2931	433	76	)	)	PUNCT
cblr-2931	433	77	;	;	PUNCT
cblr-2931	433	78	5	5	NUM
cblr-2931	433	79	hazen	hazen	NOUN
cblr-2931	433	80	,	,	PUNCT
cblr-2931	433	81	supra	supra	PROPN
cblr-2931	433	82	note	note	PROPN
cblr-2931	433	83	93	93	NUM
cblr-2931	433	84	,	,	PUNCT
cblr-2931	433	85	§	§	NOUN
cblr-2931	433	86	14.14(3	14.14(3	NUM
cblr-2931	433	87	)	)	PUNCT
cblr-2931	433	88	.	.	PUNCT
cblr-2931	434	1	102	102	NUM
cblr-2931	434	2	see	see	VERB
cblr-2931	434	3	,	,	PUNCT
cblr-2931	434	4	e.g.	e.g.	ADV
cblr-2931	434	5	,	,	PUNCT
cblr-2931	434	6	eichler	eichler	NOUN
cblr-2931	434	7	v.	v.	ADP
cblr-2931	434	8	sec	sec	PROPN
cblr-2931	434	9	,	,	PUNCT
cblr-2931	434	10	757	757	NUM
cblr-2931	434	11	f.2d	f.2d	NOUN
cblr-2931	434	12	1066	1066	NUM
cblr-2931	434	13	(	(	PUNCT
cblr-2931	434	14	9th	9th	ADJ
cblr-2931	434	15	cir	cir	NOUN
cblr-2931	434	16	.	.	PROPN
cblr-2931	434	17	1985	1985	NUM
cblr-2931	434	18	)	)	PUNCT
cblr-2931	434	19	(	(	PUNCT
cblr-2931	434	20	market	market	NOUN
cblr-2931	434	21	maker	maker	NOUN
cblr-2931	434	22	's	's	PART
cblr-2931	434	23	duty	duty	NOUN
cblr-2931	434	24	to	to	PART
cblr-2931	434	25	execute	execute	VERB
cblr-2931	434	26	customer	customer	NOUN
cblr-2931	434	27	orders	order	NOUN
cblr-2931	434	28	meant	mean	VERB
cblr-2931	434	29	that	that	SCONJ
cblr-2931	434	30	it	it	PRON
cblr-2931	434	31	could	could	AUX
cblr-2931	434	32	not	not	PART
cblr-2931	434	33	base	base	VERB
cblr-2931	434	34	pricing	pricing	NOUN
cblr-2931	434	35	and	and	CCONJ
cblr-2931	434	36	order	order	NOUN
cblr-2931	434	37	execution	execution	NOUN
cblr-2931	434	38	on	on	ADP
cblr-2931	434	39	an	an	DET
cblr-2931	434	40	orderly	orderly	ADJ
cblr-2931	434	41	market	market	NOUN
cblr-2931	434	42	without	without	ADP
cblr-2931	434	43	making	make	VERB
cblr-2931	434	44	full	full	ADJ
cblr-2931	434	45	disclosure	disclosure	NOUN
cblr-2931	434	46	to	to	ADP
cblr-2931	434	47	its	its	PRON
cblr-2931	434	48	customers	customer	NOUN
cblr-2931	434	49	)	)	PUNCT
cblr-2931	434	50	;	;	PUNCT
cblr-2931	434	51	5	5	NUM
cblr-2931	434	52	hazen	hazen	NOUN
cblr-2931	434	53	,	,	PUNCT
cblr-2931	434	54	supra	supra	PROPN
cblr-2931	434	55	note	note	PROPN
cblr-2931	434	56	93	93	NUM
cblr-2931	434	57	,	,	PUNCT
cblr-2931	434	58	§	§	NOUN
cblr-2931	434	59	14.10(5	14.10(5	NUM
cblr-2931	434	60	)	)	PUNCT
cblr-2931	434	61	.	.	PUNCT
cblr-2931	435	1	market	market	NOUN
cblr-2931	435	2	makers	maker	NOUN
cblr-2931	435	3	operate	operate	VERB
cblr-2931	435	4	in	in	ADP
cblr-2931	435	5	the	the	PRON
cblr-2931	435	6	over	over	ADP
cblr-2931	435	7	the	the	DET
cblr-2931	435	8	counter	counter	NOUN
cblr-2931	435	9	and	and	CCONJ
cblr-2931	435	10	nasdaq	nasdaq	NOUN
cblr-2931	435	11	markets	market	NOUN
cblr-2931	435	12	and	and	CCONJ
cblr-2931	435	13	in	in	ADP
cblr-2931	435	14	essence	essence	NOUN
cblr-2931	435	15	operate	operate	NOUN
cblr-2931	435	16	as	as	ADP
cblr-2931	435	17	wholesalers	wholesaler	NOUN
cblr-2931	435	18	of	of	ADP
cblr-2931	435	19	securities	security	NOUN
cblr-2931	435	20	.	.	PUNCT
cblr-2931	436	1	"	"	PUNCT
cblr-2931	437	1	this	this	PRON
cblr-2931	437	2	is	be	AUX
cblr-2931	437	3	often	often	ADV
cblr-2931	437	4	referred	refer	VERB
cblr-2931	437	5	to	to	ADP
cblr-2931	437	6	as	as	ADP
cblr-2931	437	7	churning	churn	VERB
cblr-2931	437	8	.	.	PUNCT
cblr-2931	438	1	see	see	VERB
cblr-2931	438	2	5	5	NUM
cblr-2931	438	3	hazen	hazen	PROPN
cblr-2931	438	4	,	,	PUNCT
cblr-2931	438	5	supra	supra	PROPN
cblr-2931	438	6	note	note	PROPN
cblr-2931	438	7	93	93	NUM
cblr-2931	438	8	,	,	PUNCT
cblr-2931	438	9	§	§	PROPN
cblr-2931	438	10	14.20	14.20	NUM
cblr-2931	438	11	.	.	PUNCT
cblr-2931	439	1	'	'	NUM
cblr-2931	439	2	0	0	NUM
cblr-2931	440	1	this	this	PRON
cblr-2931	440	2	is	be	AUX
cblr-2931	440	3	sometimes	sometimes	ADV
cblr-2931	440	4	referred	refer	VERB
cblr-2931	440	5	to	to	ADP
cblr-2931	440	6	as	as	ADP
cblr-2931	440	7	scalping	scalping	NOUN
cblr-2931	440	8	.	.	PUNCT
cblr-2931	441	1	scalping	scalping	NOUN
cblr-2931	441	2	consists	consist	VERB
cblr-2931	441	3	of	of	ADP
cblr-2931	441	4	material	material	ADJ
cblr-2931	441	5	omissions	omission	NOUN
cblr-2931	441	6	from	from	ADP
cblr-2931	441	7	the	the	DET
cblr-2931	441	8	recommendation	recommendation	NOUN
cblr-2931	441	9	-	-	PUNCT
cblr-2931	441	10	namely	namely	ADV
cblr-2931	441	11	that	that	SCONJ
cblr-2931	441	12	the	the	DET
cblr-2931	441	13	person	person	NOUN
cblr-2931	441	14	making	make	VERB
cblr-2931	441	15	the	the	DET
cblr-2931	441	16	recommendation	recommendation	NOUN
cblr-2931	441	17	has	have	VERB
cblr-2931	441	18	a	a	DET
cblr-2931	441	19	position	position	NOUN
cblr-2931	441	20	in	in	ADP
cblr-2931	441	21	the	the	DET
cblr-2931	441	22	security	security	NOUN
cblr-2931	441	23	being	be	AUX
cblr-2931	441	24	columb6i	columb6i	ADJ
cblr-2931	441	25	business	business	NOUN
cblr-2931	441	26	law	law	NOUN
cblr-2931	441	27	review	review	NOUN
cblr-2931	442	1	[	[	X
cblr-2931	442	2	vol	vol	NOUN
cblr-2931	442	3	.	.	PROPN
cblr-2931	442	4	20	20	NUM
cblr-2931	442	5	10732	10732	NUM
cblr-2931	442	6	no.3:710	no.3:710	PROPN
cblr-2931	442	7	]	]	PUNCT
cblr-2931	442	8	are	be	AUX
cblr-2931	442	9	existing	exist	VERB
cblr-2931	442	10	stock	stock	NOUN
cblr-2931	442	11	broker	broker	NOUN
cblr-2931	442	12	standards	standard	NOUN
cblr-2931	442	13	sufficient	sufficient	ADJ
cblr-2931	442	14	?	?	PUNCT
cblr-2931	443	1	market	market	NOUN
cblr-2931	443	2	regulation	regulation	NOUN
cblr-2931	443	3	includes	include	VERB
cblr-2931	443	4	the	the	DET
cblr-2931	443	5	establishment	establishment	NOUN
cblr-2931	443	6	of	of	ADP
cblr-2931	443	7	fair	fair	ADJ
cblr-2931	443	8	market	market	NOUN
cblr-2931	443	9	practices	practice	NOUN
cblr-2931	443	10	and	and	CCONJ
cblr-2931	443	11	minimum	minimum	NOUN
cblr-2931	443	12	capital	capital	NOUN
cblr-2931	443	13	requirements	requirement	NOUN
cblr-2931	443	14	for	for	ADP
cblr-2931	443	15	broker	broker	NOUN
cblr-2931	443	16	-	-	PUNCT
cblr-2931	443	17	dealers	dealer	NOUN
cblr-2931	443	18	in	in	ADP
cblr-2931	443	19	order	order	NOUN
cblr-2931	443	20	to	to	PART
cblr-2931	443	21	minimize	minimize	VERB
cblr-2931	443	22	the	the	DET
cblr-2931	443	23	risk	risk	NOUN
cblr-2931	443	24	of	of	ADP
cblr-2931	443	25	insolvency	insolvency	NOUN
cblr-2931	443	26	.	.	PUNCT
cblr-2931	444	1	05	05	NUM
cblr-2931	445	1	a	a	DET
cblr-2931	445	2	major	major	ADJ
cblr-2931	445	3	goal	goal	NOUN
cblr-2931	445	4	of	of	ADP
cblr-2931	445	5	this	this	DET
cblr-2931	445	6	regulation	regulation	NOUN
cblr-2931	445	7	is	be	AUX
cblr-2931	445	8	to	to	PART
cblr-2931	445	9	assure	assure	VERB
cblr-2931	445	10	orderly	orderly	ADJ
cblr-2931	445	11	markets	market	NOUN
cblr-2931	445	12	.	.	PUNCT
cblr-2931	446	1	0	0	NUM
cblr-2931	446	2	6	6	NUM
cblr-2931	446	3	it	it	PRON
cblr-2931	446	4	also	also	ADV
cblr-2931	446	5	contains	contain	VERB
cblr-2931	446	6	several	several	ADJ
cblr-2931	446	7	prohibitions	prohibition	NOUN
cblr-2931	446	8	against	against	ADP
cblr-2931	446	9	fraudulent	fraudulent	ADJ
cblr-2931	446	10	and	and	CCONJ
cblr-2931	446	11	manipulative	manipulative	ADJ
cblr-2931	446	12	broker	broker	NOUN
cblr-2931	446	13	-	-	PUNCT
cblr-2931	446	14	dealer	dealer	NOUN
cblr-2931	446	15	conduct.0	conduct.0	PROPN
cblr-2931	446	16	7	7	NUM
cblr-2931	446	17	additionally	additionally	ADV
cblr-2931	446	18	,	,	PUNCT
cblr-2931	446	19	the	the	DET
cblr-2931	446	20	sec	sec	PROPN
cblr-2931	446	21	and	and	CCONJ
cblr-2931	446	22	the	the	DET
cblr-2931	446	23	federal	federal	PROPN
cblr-2931	446	24	reserve	reserve	PROPN
cblr-2931	446	25	board	board	PROPN
cblr-2931	446	26	work	work	VERB
cblr-2931	446	27	together	together	ADV
cblr-2931	446	28	in	in	ADP
cblr-2931	446	29	regulating	regulate	VERB
cblr-2931	446	30	the	the	DET
cblr-2931	446	31	extension	extension	NOUN
cblr-2931	446	32	of	of	ADP
cblr-2931	446	33	credit	credit	NOUN
cblr-2931	446	34	for	for	ADP
cblr-2931	446	35	securities	security	NOUN
cblr-2931	446	36	transactions	transaction	NOUN
cblr-2931	446	37	.	.	PUNCT
cblr-2931	446	38	'o	'o	PART
cblr-2931	447	1	the	the	DET
cblr-2931	447	2	sec	sec	PROPN
cblr-2931	447	3	thus	thus	ADV
cblr-2931	447	4	has	have	VERB
cblr-2931	447	5	broad	broad	ADJ
cblr-2931	447	6	regulatory	regulatory	ADJ
cblr-2931	447	7	authority	authority	NOUN
cblr-2931	447	8	over	over	ADP
cblr-2931	447	9	securities	security	NOUN
cblr-2931	447	10	broker	broker	NOUN
cblr-2931	447	11	-	-	PUNCT
cblr-2931	447	12	dealers	dealer	NOUN
cblr-2931	447	13	and	and	CCONJ
cblr-2931	447	14	their	their	PRON
cblr-2931	447	15	conduct	conduct	NOUN
cblr-2931	447	16	.	.	PUNCT
cblr-2931	448	1	b.	b.	PROPN
cblr-2931	448	2	broker	broker	PROPN
cblr-2931	448	3	-	-	PUNCT
cblr-2931	448	4	dealers	dealer	NOUN
cblr-2931	448	5	'	'	PART
cblr-2931	448	6	obligations	obligation	NOUN
cblr-2931	448	7	-	-	PUNCT
cblr-2931	448	8	sec	sec	PROPN
cblr-2931	448	9	and	and	CCONJ
cblr-2931	448	10	finra	finra	PROPN
cblr-2931	448	11	regulation	regulation	NOUN
cblr-2931	448	12	and	and	CCONJ
cblr-2931	448	13	common	common	ADJ
cblr-2931	448	14	law'0	law'0	ADJ
cblr-2931	448	15	various	various	ADJ
cblr-2931	448	16	sec	sec	PROPN
cblr-2931	448	17	and	and	CCONJ
cblr-2931	448	18	finra	finra	PROPN
cblr-2931	448	19	(	(	PUNCT
cblr-2931	448	20	formerly	formerly	ADV
cblr-2931	448	21	nasd	nasd	NOUN
cblr-2931	448	22	)	)	PUNCT
cblr-2931	448	23	rules	rule	NOUN
cblr-2931	448	24	address	address	VERB
cblr-2931	448	25	misconduct	misconduct	NOUN
cblr-2931	448	26	by	by	ADP
cblr-2931	448	27	broker	broker	NOUN
cblr-2931	448	28	-	-	PUNCT
cblr-2931	448	29	dealers	dealer	NOUN
cblr-2931	448	30	.	.	PUNCT
cblr-2931	449	1	as	as	ADP
cblr-2931	449	2	a	a	DET
cblr-2931	449	3	general	general	ADJ
cblr-2931	449	4	standard	standard	NOUN
cblr-2931	449	5	,	,	PUNCT
cblr-2931	449	6	sec	sec	PROPN
cblr-2931	449	7	rule	rule	VERB
cblr-2931	449	8	15c1	15c1	NUM
cblr-2931	449	9	-	-	SYM
cblr-2931	449	10	2	2	NUM
cblr-2931	449	11	"	"	PUNCT
cblr-2931	449	12	0	0	NUM
cblr-2931	449	13	generally	generally	ADV
cblr-2931	449	14	prohibits	prohibit	VERB
cblr-2931	449	15	fraudulent	fraudulent	ADJ
cblr-2931	449	16	,	,	PUNCT
cblr-2931	449	17	manipulative	manipulative	ADJ
cblr-2931	449	18	,	,	PUNCT
cblr-2931	449	19	and	and	CCONJ
cblr-2931	449	20	deceptive	deceptive	ADJ
cblr-2931	449	21	practices	practice	NOUN
cblr-2931	449	22	in	in	ADP
cblr-2931	449	23	connection	connection	NOUN
cblr-2931	449	24	with	with	ADP
cblr-2931	449	25	securities	security	NOUN
cblr-2931	449	26	brokerage	brokerage	NOUN
cblr-2931	449	27	transactions	transaction	NOUN
cblr-2931	449	28	.	.	PUNCT
cblr-2931	450	1	the	the	DET
cblr-2931	450	2	types	type	NOUN
cblr-2931	450	3	of	of	ADP
cblr-2931	450	4	specific	specific	ADJ
cblr-2931	450	5	conduct	conduct	NOUN
cblr-2931	450	6	that	that	PRON
cblr-2931	450	7	are	be	AUX
cblr-2931	450	8	addressed	address	VERB
cblr-2931	450	9	in	in	ADP
cblr-2931	450	10	other	other	ADJ
cblr-2931	450	11	rules	rule	NOUN
cblr-2931	450	12	include	include	VERB
cblr-2931	450	13	market	market	NOUN
cblr-2931	450	14	manipulation	manipulation	NOUN
cblr-2931	450	15	,	,	PUNCT
cblr-2931	450	16	"	"	PUNCT
cblr-2931	450	17	'	'	PUNCT
cblr-2931	450	18	recommended	recommend	VERB
cblr-2931	450	19	.	.	PUNCT
cblr-2931	451	1	a	a	DET
cblr-2931	451	2	variation	variation	NOUN
cblr-2931	451	3	on	on	ADP
cblr-2931	451	4	scalping	scalping	NOUN
cblr-2931	451	5	occurs	occur	VERB
cblr-2931	451	6	when	when	SCONJ
cblr-2931	451	7	the	the	DET
cblr-2931	451	8	person	person	NOUN
cblr-2931	451	9	making	make	VERB
cblr-2931	451	10	the	the	DET
cblr-2931	451	11	recommendation	recommendation	NOUN
cblr-2931	451	12	affirmatively	affirmatively	ADV
cblr-2931	451	13	misrepresents	misrepresent	VERB
cblr-2931	451	14	that	that	SCONJ
cblr-2931	451	15	he	he	PRON
cblr-2931	451	16	or	or	CCONJ
cblr-2931	451	17	she	she	PRON
cblr-2931	451	18	does	do	AUX
cblr-2931	451	19	not	not	PART
cblr-2931	451	20	own	own	VERB
cblr-2931	451	21	any	any	PRON
cblr-2931	451	22	of	of	ADP
cblr-2931	451	23	the	the	DET
cblr-2931	451	24	securities	security	NOUN
cblr-2931	451	25	recommended	recommend	VERB
cblr-2931	451	26	.	.	PUNCT
cblr-2931	452	1	see	see	VERB
cblr-2931	452	2	,	,	PUNCT
cblr-2931	452	3	e.g.	e.g.	ADV
cblr-2931	452	4	,	,	PUNCT
cblr-2931	452	5	in	in	ADP
cblr-2931	452	6	re	re	NOUN
cblr-2931	452	7	snyder	snyder	NOUN
cblr-2931	452	8	,	,	PUNCT
cblr-2931	452	9	exchange	exchange	NOUN
cblr-2931	452	10	act	act	PROPN
cblr-2931	452	11	release	release	VERB
cblr-2931	452	12	no	no	NOUN
cblr-2931	452	13	.	.	NOUN
cblr-2931	452	14	46108	46108	NUM
cblr-2931	452	15	,	,	PUNCT
cblr-2931	452	16	2002	2002	NUM
cblr-2931	452	17	wl	wl	X
cblr-2931	452	18	1364075	1364075	NUM
cblr-2931	452	19	(	(	PUNCT
cblr-2931	452	20	june	june	PROPN
cblr-2931	452	21	25	25	NUM
cblr-2931	452	22	,	,	PUNCT
cblr-2931	452	23	2002	2002	NUM
cblr-2931	452	24	)	)	PUNCT
cblr-2931	452	25	(	(	PUNCT
cblr-2931	452	26	finding	find	VERB
cblr-2931	452	27	violations	violation	NOUN
cblr-2931	452	28	of	of	ADP
cblr-2931	452	29	rule	rule	NOUN
cblr-2931	452	30	10b-5	10b-5	NUM
cblr-2931	452	31	where	where	SCONJ
cblr-2931	452	32	respondent	respondent	NOUN
cblr-2931	452	33	stated	state	VERB
cblr-2931	452	34	he	he	PRON
cblr-2931	452	35	did	do	AUX
cblr-2931	452	36	not	not	PART
cblr-2931	452	37	have	have	VERB
cblr-2931	452	38	an	an	DET
cblr-2931	452	39	ownership	ownership	NOUN
cblr-2931	452	40	position	position	NOUN
cblr-2931	452	41	in	in	ADP
cblr-2931	452	42	internet	internet	NOUN
cblr-2931	452	43	communications	communication	NOUN
cblr-2931	452	44	about	about	ADP
cblr-2931	452	45	a	a	DET
cblr-2931	452	46	particular	particular	ADJ
cblr-2931	452	47	company	company	NOUN
cblr-2931	452	48	)	)	PUNCT
cblr-2931	452	49	;	;	PUNCT
cblr-2931	452	50	5	5	NUM
cblr-2931	452	51	hazen	hazen	NOUN
cblr-2931	452	52	,	,	PUNCT
cblr-2931	452	53	supra	supra	PROPN
cblr-2931	452	54	note	note	PROPN
cblr-2931	452	55	93	93	NUM
cblr-2931	452	56	,	,	PUNCT
cblr-2931	452	57	§	§	PROPN
cblr-2931	452	58	14.17	14.17	NUM
cblr-2931	452	59	.	.	PUNCT
cblr-2931	452	60	105	105	NUM
cblr-2931	452	61	see	see	VERB
cblr-2931	452	62	,	,	PUNCT
cblr-2931	452	63	e.g.	e.g.	ADV
cblr-2931	452	64	,	,	PUNCT
cblr-2931	452	65	17	17	NUM
cblr-2931	452	66	c.f.r	c.f.r	NOUN
cblr-2931	452	67	.	.	PUNCT
cblr-2931	453	1	§	§	PROPN
cblr-2931	453	2	240.15c3	240.15c3	PROPN
cblr-2931	453	3	-	-	SYM
cblr-2931	453	4	1	1	NUM
cblr-2931	453	5	(	(	PUNCT
cblr-2931	453	6	2010	2010	NUM
cblr-2931	453	7	)	)	PUNCT
cblr-2931	453	8	(	(	PUNCT
cblr-2931	453	9	establishing	establish	VERB
cblr-2931	453	10	the	the	DET
cblr-2931	453	11	net	net	ADJ
cblr-2931	453	12	capital	capital	NOUN
cblr-2931	453	13	requirements	requirement	NOUN
cblr-2931	453	14	)	)	PUNCT
cblr-2931	453	15	;	;	PUNCT
cblr-2931	453	16	5	5	NUM
cblr-2931	453	17	hazen	hazen	NOUN
cblr-2931	453	18	,	,	PUNCT
cblr-2931	453	19	supra	supra	PROPN
cblr-2931	453	20	note	note	PROPN
cblr-2931	453	21	93	93	NUM
cblr-2931	453	22	,	,	PUNCT
cblr-2931	453	23	§	§	PROPN
cblr-2931	453	24	14.8(1	14.8(1	NOUN
cblr-2931	453	25	)	)	PUNCT
cblr-2931	453	26	.	.	PUNCT
cblr-2931	454	1	106	106	NUM
cblr-2931	454	2	see	see	VERB
cblr-2931	454	3	5	5	NUM
cblr-2931	454	4	hazen	hazen	PROPN
cblr-2931	454	5	,	,	PUNCT
cblr-2931	454	6	supra	supra	PROPN
cblr-2931	454	7	note	note	NOUN
cblr-2931	454	8	93	93	NUM
cblr-2931	454	9	,	,	PUNCT
cblr-2931	454	10	§	§	PROPN
cblr-2931	454	11	§	§	PROPN
cblr-2931	454	12	14.3(4)(d	14.3(4)(d	NUM
cblr-2931	454	13	)	)	PUNCT
cblr-2931	454	14	,	,	PUNCT
cblr-2931	454	15	14.10	14.10	NUM
cblr-2931	454	16	-	-	SYM
cblr-2931	454	17	14.11	14.11	NUM
cblr-2931	454	18	.	.	PUNCT
cblr-2931	455	1	107	107	NUM
cblr-2931	455	2	see	see	VERB
cblr-2931	455	3	i	i	PROPN
cblr-2931	455	4	d.	d.	PROPN
cblr-2931	455	5	§	§	PROPN
cblr-2931	455	6	§	§	PROPN
cblr-2931	455	7	14.3(6	14.3(6	PROPN
cblr-2931	455	8	)	)	PUNCT
cblr-2931	455	9	,	,	PUNCT
cblr-2931	455	10	14.15	14.15	NUM
cblr-2931	455	11	-	-	SYM
cblr-2931	455	12	14.23	14.23	NUM
cblr-2931	455	13	.	.	PUNCT
cblr-2931	456	1	108	108	NUM
cblr-2931	456	2	see	see	VERB
cblr-2931	456	3	i	i	PROPN
cblr-2931	456	4	d.	d.	PROPN
cblr-2931	456	5	§	§	PROPN
cblr-2931	456	6	14.9	14.9	NUM
cblr-2931	456	7	.	.	PUNCT
cblr-2931	457	1	1'0	1'0	NUM
cblr-2931	457	2	much	much	ADJ
cblr-2931	457	3	of	of	ADP
cblr-2931	457	4	this	this	DET
cblr-2931	457	5	discussion	discussion	NOUN
cblr-2931	457	6	is	be	AUX
cblr-2931	457	7	adapted	adapt	VERB
cblr-2931	457	8	from	from	ADP
cblr-2931	457	9	portions	portion	NOUN
cblr-2931	457	10	of	of	ADP
cblr-2931	457	11	5	5	NUM
cblr-2931	457	12	hazen	hazen	NOUN
cblr-2931	457	13	,	,	PUNCT
cblr-2931	457	14	supra	supra	PROPN
cblr-2931	457	15	note	note	NOUN
cblr-2931	457	16	93	93	NUM
cblr-2931	457	17	,	,	PUNCT
cblr-2931	457	18	§	§	PROPN
cblr-2931	457	19	14.15	14.15	NUM
cblr-2931	457	20	.	.	PUNCT
cblr-2931	458	1	110	110	NUM
cblr-2931	458	2	17	17	NUM
cblr-2931	458	3	c.f.r	c.f.r	NOUN
cblr-2931	458	4	.	.	PUNCT
cblr-2931	459	1	§	§	PROPN
cblr-2931	459	2	240.15c1	240.15c1	PROPN
cblr-2931	459	3	-	-	SYM
cblr-2931	459	4	2	2	NUM
cblr-2931	459	5	(	(	PUNCT
cblr-2931	459	6	2010	2010	NUM
cblr-2931	459	7	)	)	PUNCT
cblr-2931	459	8	.	.	PUNCT
cblr-2931	460	1	n.	n.	PROPN
cblr-2931	460	2	see	see	VERB
cblr-2931	460	3	2	2	NUM
cblr-2931	460	4	hazen	hazen	NOUN
cblr-2931	460	5	,	,	PUNCT
cblr-2931	460	6	supra	supra	PROPN
cblr-2931	460	7	note	note	NOUN
cblr-2931	460	8	93	93	NUM
cblr-2931	460	9	,	,	PUNCT
cblr-2931	460	10	§	§	PROPN
cblr-2931	460	11	§	§	PROPN
cblr-2931	460	12	6.2	6.2	NUM
cblr-2931	460	13	-	-	SYM
cblr-2931	460	14	6.3	6.3	NUM
cblr-2931	460	15	(	(	PUNCT
cblr-2931	460	16	covering	cover	VERB
cblr-2931	460	17	manipulation	manipulation	NOUN
cblr-2931	460	18	in	in	ADP
cblr-2931	460	19	connection	connection	NOUN
cblr-2931	460	20	with	with	ADP
cblr-2931	460	21	public	public	ADJ
cblr-2931	460	22	offerings	offering	NOUN
cblr-2931	460	23	)	)	PUNCT
cblr-2931	460	24	,	,	PUNCT
cblr-2931	460	25	3	3	NUM
cblr-2931	460	26	hazen	hazen	PROPN
cblr-2931	460	27	,	,	PUNCT
cblr-2931	460	28	supra	supra	PROPN
cblr-2931	460	29	note	note	PROPN
cblr-2931	460	30	93	93	NUM
cblr-2931	460	31	,	,	PUNCT
cblr-2931	460	32	§	§	PROPN
cblr-2931	460	33	12.1	12.1	NUM
cblr-2931	460	34	(	(	PUNCT
cblr-2931	460	35	covering	cover	VERB
cblr-2931	460	36	manipulation	manipulation	NOUN
cblr-2931	460	37	generally	generally	ADV
cblr-2931	460	38	)	)	PUNCT
cblr-2931	460	39	,	,	PUNCT
cblr-2931	460	40	and	and	CCONJ
cblr-2931	460	41	5	5	NUM
cblr-2931	460	42	hazen	hazen	NOUN
cblr-2931	460	43	,	,	PUNCT
cblr-2931	460	44	supra	supra	PROPN
cblr-2931	460	45	note	note	PROPN
cblr-2931	460	46	93	93	NUM
cblr-2931	460	47	,	,	PUNCT
cblr-2931	460	48	§	§	PROPN
cblr-2931	460	49	14.10[5	14.10[5	NUM
cblr-2931	460	50	]	]	PUNCT
cblr-2931	460	51	(	(	PUNCT
cblr-2931	460	52	covering	cover	VERB
cblr-2931	460	53	manipulation	manipulation	NOUN
cblr-2931	460	54	by	by	ADP
cblr-2931	460	55	market	market	NOUN
cblr-2931	460	56	makers	maker	NOUN
cblr-2931	460	57	)	)	PUNCT
cblr-2931	460	58	.	.	PUNCT
cblr-2931	461	1	733	733	NUM
cblr-2931	461	2	columbia	columbia	PROPN
cblr-2931	461	3	business	business	NOUN
cblr-2931	461	4	law	law	NOUN
cblr-2931	461	5	review	review	VERB
cblr-2931	461	6	high	high	ADJ
cblr-2931	461	7	pressure	pressure	NOUN
cblr-2931	461	8	sales	sale	NOUN
cblr-2931	461	9	tactics,"2	tactics,"2	NOUN
cblr-2931	461	10	deceptive	deceptive	ADJ
cblr-2931	461	11	recommendations	recommendation	NOUN
cblr-2931	461	12	,	,	PUNCT
cblr-2931	461	13	generation	generation	NOUN
cblr-2931	461	14	of	of	ADP
cblr-2931	461	15	excessive	excessive	ADJ
cblr-2931	461	16	commissions	commission	NOUN
cblr-2931	461	17	,	,	PUNCT
cblr-2931	461	18	"	"	PUNCT
cblr-2931	461	19	4	4	NUM
cblr-2931	461	20	unauthorized	unauthorized	ADJ
cblr-2931	461	21	trading	trading	NOUN
cblr-2931	461	22	,	,	PUNCT
cblr-2931	461	23	"	"	PUNCT
cblr-2931	461	24	'	'	PUNCT
cblr-2931	461	25	improper	improper	ADJ
cblr-2931	461	26	order	order	NOUN
cblr-2931	461	27	executions,11	executions,11	NOUN
cblr-2931	461	28	improper	improper	ADJ
cblr-2931	461	29	extension	extension	NOUN
cblr-2931	461	30	of	of	ADP
cblr-2931	461	31	credit	credit	NOUN
cblr-2931	461	32	for	for	ADP
cblr-2931	461	33	securities	security	NOUN
cblr-2931	461	34	transactions,"m	transactions,"m	NOUN
cblr-2931	461	35	and	and	CCONJ
cblr-2931	461	36	misuse	misuse	NOUN
cblr-2931	461	37	of	of	ADP
cblr-2931	461	38	customer	customer	NOUN
cblr-2931	461	39	funds	fund	NOUN
cblr-2931	461	40	or	or	CCONJ
cblr-2931	461	41	securities	security	NOUN
cblr-2931	461	42	.	.	PUNCT
cblr-2931	462	1	"	"	PUNCT
cblr-2931	462	2	'	'	PUNCT
cblr-2931	462	3	in	in	ADP
cblr-2931	462	4	addition	addition	NOUN
cblr-2931	462	5	,	,	PUNCT
cblr-2931	462	6	broker	broker	NOUN
cblr-2931	462	7	-	-	PUNCT
cblr-2931	462	8	dealers	dealer	NOUN
cblr-2931	462	9	and	and	CCONJ
cblr-2931	462	10	their	their	PRON
cblr-2931	462	11	employees	employee	NOUN
cblr-2931	462	12	are	be	AUX
cblr-2931	462	13	subject	subject	ADJ
cblr-2931	462	14	to	to	ADP
cblr-2931	462	15	a	a	DET
cblr-2931	462	16	more	more	ADV
cblr-2931	462	17	standards	standard	NOUN
cblr-2931	462	18	-	-	PUNCT
cblr-2931	462	19	based	base	VERB
cblr-2931	462	20	approach	approach	NOUN
cblr-2931	462	21	under	under	ADP
cblr-2931	462	22	rule	rule	NOUN
cblr-2931	462	23	10b-5	10b-5	NOUN
cblr-2931	462	24	's	's	PART
cblr-2931	462	25	general	general	ADJ
cblr-2931	462	26	antifraud	antifraud	PROPN
cblr-2931	462	27	proscriptions	proscription	NOUN
cblr-2931	462	28	relating	relate	VERB
cblr-2931	462	29	to	to	ADP
cblr-2931	462	30	deceptive	deceptive	ADJ
cblr-2931	462	31	conduct	conduct	NOUN
cblr-2931	462	32	in	in	ADP
cblr-2931	462	33	connection	connection	NOUN
cblr-2931	462	34	with	with	ADP
cblr-2931	462	35	a	a	DET
cblr-2931	462	36	purchase	purchase	NOUN
cblr-2931	462	37	or	or	CCONJ
cblr-2931	462	38	sale	sale	NOUN
cblr-2931	462	39	of	of	ADP
cblr-2931	462	40	a	a	DET
cblr-2931	462	41	security	security	NOUN
cblr-2931	462	42	.	.	PUNCT
cblr-2931	463	1	"	"	PUNCT
cblr-2931	463	2	'	'	PUNCT
cblr-2931	463	3	beyond	beyond	ADP
cblr-2931	463	4	these	these	DET
cblr-2931	463	5	specific	specific	ADJ
cblr-2931	463	6	activities	activity	NOUN
cblr-2931	463	7	and	and	CCONJ
cblr-2931	463	8	the	the	DET
cblr-2931	463	9	general	general	ADJ
cblr-2931	463	10	anti	anti	ADJ
cblr-2931	463	11	-	-	NOUN
cblr-2931	463	12	manipulation	manipulation	NOUN
cblr-2931	463	13	and	and	CCONJ
cblr-2931	463	14	deception	deception	NOUN
cblr-2931	463	15	rules	rule	NOUN
cblr-2931	463	16	,	,	PUNCT
cblr-2931	463	17	the	the	DET
cblr-2931	463	18	sec	sec	PROPN
cblr-2931	463	19	makes	make	VERB
cblr-2931	463	20	it	it	PRON
cblr-2931	463	21	clear	clear	ADJ
cblr-2931	463	22	that	that	SCONJ
cblr-2931	463	23	violation	violation	NOUN
cblr-2931	463	24	of	of	ADP
cblr-2931	463	25	its	its	PRON
cblr-2931	463	26	rules	rule	NOUN
cblr-2931	463	27	is	be	AUX
cblr-2931	463	28	not	not	PART
cblr-2931	463	29	limited	limit	VERB
cblr-2931	463	30	to	to	ADP
cblr-2931	463	31	violation	violation	NOUN
cblr-2931	463	32	of	of	ADP
cblr-2931	463	33	any	any	DET
cblr-2931	463	34	specified	specify	VERB
cblr-2931	463	35	sec	sec	PROPN
cblr-2931	463	36	or	or	CCONJ
cblr-2931	463	37	self	self	NOUN
cblr-2931	463	38	-	-	PUNCT
cblr-2931	463	39	regulatory	regulatory	ADJ
cblr-2931	463	40	organization	organization	NOUN
cblr-2931	463	41	rules	rule	NOUN
cblr-2931	463	42	,	,	PUNCT
cblr-2931	463	43	but	but	CCONJ
cblr-2931	463	44	rather	rather	ADV
cblr-2931	463	45	covers	cover	VERB
cblr-2931	463	46	all	all	DET
cblr-2931	463	47	conduct	conduct	NOUN
cblr-2931	463	48	that	that	PRON
cblr-2931	463	49	operates	operate	VERB
cblr-2931	463	50	as	as	ADP
cblr-2931	463	51	a	a	DET
cblr-2931	463	52	deceptive	deceptive	ADJ
cblr-2931	463	53	or	or	CCONJ
cblr-2931	463	54	manipulative	manipulative	ADJ
cblr-2931	463	55	device	device	NOUN
cblr-2931	463	56	.	.	PUNCT
cblr-2931	464	1	'20	'20	NUM
cblr-2931	464	2	that	that	PRON
cblr-2931	464	3	is	be	AUX
cblr-2931	464	4	,	,	PUNCT
cblr-2931	464	5	the	the	DET
cblr-2931	464	6	sec	sec	PROPN
cblr-2931	464	7	has	have	AUX
cblr-2931	464	8	taken	take	VERB
cblr-2931	464	9	the	the	DET
cblr-2931	464	10	position	position	NOUN
cblr-2931	464	11	elsewhere	elsewhere	ADV
cblr-2931	464	12	that	that	SCONJ
cblr-2931	464	13	it	it	PRON
cblr-2931	464	14	can	can	AUX
cblr-2931	464	15	regulate	regulate	VERB
cblr-2931	464	16	conduct	conduct	NOUN
cblr-2931	464	17	that	that	PRON
cblr-2931	464	18	would	would	AUX
cblr-2931	464	19	be	be	AUX
cblr-2931	464	20	manipulative	manipulative	ADJ
cblr-2931	464	21	even	even	ADV
cblr-2931	464	22	if	if	SCONJ
cblr-2931	464	23	the	the	DET
cblr-2931	464	24	concern	concern	NOUN
cblr-2931	464	25	is	be	AUX
cblr-2931	464	26	not	not	PART
cblr-2931	464	27	based	base	VERB
cblr-2931	464	28	on	on	ADP
cblr-2931	464	29	any	any	DET
cblr-2931	464	30	specified	specified	ADJ
cblr-2931	464	31	violation	violation	NOUN
cblr-2931	464	32	of	of	ADP
cblr-2931	464	33	existing	exist	VERB
cblr-2931	464	34	rules	rule	NOUN
cblr-2931	464	35	.	.	PUNCT
cblr-2931	465	1	2	2	NUM
cblr-2931	465	2	'	'	PUNCT
cblr-2931	465	3	beyond	beyond	ADP
cblr-2931	465	4	sec	sec	PROPN
cblr-2931	465	5	112	112	NUM
cblr-2931	465	6	see	see	VERB
cblr-2931	465	7	5	5	NUM
cblr-2931	465	8	hazen	hazen	PROPN
cblr-2931	465	9	,	,	PUNCT
cblr-2931	465	10	supra	supra	PROPN
cblr-2931	465	11	note	note	PROPN
cblr-2931	465	12	93	93	NUM
cblr-2931	465	13	,	,	PUNCT
cblr-2931	465	14	§	§	PROPN
cblr-2931	465	15	14.18	14.18	NUM
cblr-2931	465	16	;	;	PUNCT
cblr-2931	465	17	see	see	VERB
cblr-2931	465	18	also	also	ADV
cblr-2931	465	19	,	,	PUNCT
cblr-2931	465	20	e.g.	e.g.	ADV
cblr-2931	465	21	,	,	PUNCT
cblr-2931	465	22	nasd	nasd	NOUN
cblr-2931	465	23	hearing	hearing	NOUN
cblr-2931	465	24	panel	panel	NOUN
cblr-2931	465	25	expels	expel	VERB
cblr-2931	465	26	yankee	yankee	PROPN
cblr-2931	465	27	financial	financial	PROPN
cblr-2931	465	28	for	for	ADP
cblr-2931	465	29	fraud	fraud	NOUN
cblr-2931	465	30	,	,	PUNCT
cblr-2931	465	31	orders	order	VERB
cblr-2931	465	32	payment	payment	NOUN
cblr-2931	465	33	of	of	ADP
cblr-2931	465	34	more	more	ADJ
cblr-2931	465	35	than	than	ADP
cblr-2931	465	36	$	$	SYM
cblr-2931	465	37	3.8	3.8	NUM
cblr-2931	465	38	million	million	NUM
cblr-2931	465	39	in	in	ADP
cblr-2931	465	40	restitution	restitution	NOUN
cblr-2931	465	41	,	,	PUNCT
cblr-2931	465	42	finra	finra	PROPN
cblr-2931	465	43	(	(	PUNCT
cblr-2931	465	44	jan	jan	PROPN
cblr-2931	465	45	.	.	PROPN
cblr-2931	465	46	13	13	NUM
cblr-2931	465	47	,	,	PUNCT
cblr-2931	465	48	2005	2005	NUM
cblr-2931	465	49	)	)	PUNCT
cblr-2931	465	50	,	,	PUNCT
cblr-2931	465	51	http://www.nasd.com/web/idcplg?idcservice=ssgetpage&ssdocname	http://www.nasd.com/web/idcplg?idcservice=ssgetpage&ssdocname	PROPN
cblr-2931	465	52	=	=	SYM
cblr-2931	465	53	nasdw_012997&sssourcenodeld=9	nasdw_012997&sssourcenodeld=9	PROPN
cblr-2931	465	54	(	(	PUNCT
cblr-2931	465	55	discussing	discuss	VERB
cblr-2931	465	56	boiler	boiler	NOUN
cblr-2931	465	57	room	room	NOUN
cblr-2931	465	58	operator	operator	NOUN
cblr-2931	465	59	expelled	expel	VERB
cblr-2931	465	60	from	from	ADP
cblr-2931	465	61	nasd	nasd	NOUN
cblr-2931	465	62	membership	membership	NOUN
cblr-2931	465	63	and	and	CCONJ
cblr-2931	465	64	ordered	order	VERB
cblr-2931	465	65	to	to	PART
cblr-2931	465	66	pay	pay	VERB
cblr-2931	465	67	more	more	ADJ
cblr-2931	465	68	than	than	ADP
cblr-2931	465	69	$	$	SYM
cblr-2931	465	70	38	38	NUM
cblr-2931	465	71	million	million	NUM
cblr-2931	465	72	in	in	ADP
cblr-2931	465	73	restitution	restitution	NOUN
cblr-2931	465	74	)	)	PUNCT
cblr-2931	465	75	.	.	PUNCT
cblr-2931	466	1	11	11	NUM
cblr-2931	466	2	see	see	VERB
cblr-2931	466	3	5	5	NUM
cblr-2931	466	4	hazen	hazen	NOUN
cblr-2931	466	5	,	,	PUNCT
cblr-2931	466	6	supra	supra	PROPN
cblr-2931	466	7	note	note	NOUN
cblr-2931	466	8	93	93	NUM
cblr-2931	466	9	,	,	PUNCT
cblr-2931	466	10	§	§	PROPN
cblr-2931	466	11	§	§	PROPN
cblr-2931	466	12	14.15	14.15	NUM
cblr-2931	466	13	-	-	SYM
cblr-2931	466	14	14.18	14.18	NUM
cblr-2931	466	15	.	.	PUNCT
cblr-2931	467	1	114	114	NUM
cblr-2931	467	2	see	see	VERB
cblr-2931	467	3	5	5	NUM
cblr-2931	467	4	hazen	hazen	PROPN
cblr-2931	467	5	,	,	PUNCT
cblr-2931	467	6	supra	supra	PROPN
cblr-2931	467	7	note	note	PROPN
cblr-2931	467	8	93	93	NUM
cblr-2931	467	9	,	,	PUNCT
cblr-2931	467	10	§	§	PROPN
cblr-2931	467	11	14.20	14.20	NUM
cblr-2931	467	12	.	.	PUNCT
cblr-2931	468	1	u1	u1	NOUN
cblr-2931	468	2	see	see	VERB
cblr-2931	468	3	5	5	NUM
cblr-2931	468	4	hazen	hazen	PROPN
cblr-2931	468	5	,	,	PUNCT
cblr-2931	468	6	supra	supra	PROPN
cblr-2931	468	7	note	note	PROPN
cblr-2931	468	8	93	93	NUM
cblr-2931	468	9	,	,	PUNCT
cblr-2931	468	10	§	§	PROPN
cblr-2931	468	11	14.21	14.21	NUM
cblr-2931	468	12	.	.	PUNCT
cblr-2931	469	1	116	116	NUM
cblr-2931	469	2	see	see	VERB
cblr-2931	469	3	5	5	NUM
cblr-2931	469	4	hazen	hazen	NOUN
cblr-2931	469	5	,	,	PUNCT
cblr-2931	469	6	supra	supra	PROPN
cblr-2931	469	7	note	note	PROPN
cblr-2931	469	8	93	93	NUM
cblr-2931	469	9	,	,	PUNCT
cblr-2931	469	10	§	§	PROPN
cblr-2931	469	11	14.13	14.13	NUM
cblr-2931	469	12	.	.	PUNCT
cblr-2931	470	1	n1	n1	PROPN
cblr-2931	470	2	see	see	VERB
cblr-2931	470	3	5	5	NUM
cblr-2931	470	4	hazen	hazen	NOUN
cblr-2931	470	5	,	,	PUNCT
cblr-2931	470	6	supra	supra	PROPN
cblr-2931	470	7	note	note	PROPN
cblr-2931	470	8	93	93	NUM
cblr-2931	470	9	,	,	PUNCT
cblr-2931	470	10	§	§	PROPN
cblr-2931	470	11	14.9	14.9	NUM
cblr-2931	470	12	.	.	NOUN
cblr-2931	470	13	11	11	NUM
cblr-2931	470	14	see	see	VERB
cblr-2931	470	15	5	5	NUM
cblr-2931	470	16	hazen	hazen	NOUN
cblr-2931	470	17	,	,	PUNCT
cblr-2931	470	18	supra	supra	PROPN
cblr-2931	470	19	note	note	PROPN
cblr-2931	470	20	93	93	NUM
cblr-2931	470	21	,	,	PUNCT
cblr-2931	470	22	§	§	PROPN
cblr-2931	470	23	14.8(2	14.8(2	PROPN
cblr-2931	470	24	)	)	PUNCT
cblr-2931	470	25	.	.	PUNCT
cblr-2931	471	1	n1	n1	PROPN
cblr-2931	471	2	see	see	VERB
cblr-2931	471	3	17	17	NUM
cblr-2931	471	4	c.f.r	c.f.r	NOUN
cblr-2931	471	5	.	.	PUNCT
cblr-2931	472	1	§	§	PROPN
cblr-2931	472	2	240.10b-5	240.10b-5	NUM
cblr-2931	472	3	(	(	PUNCT
cblr-2931	472	4	2010	2010	NUM
cblr-2931	472	5	)	)	PUNCT
cblr-2931	472	6	.	.	PUNCT
cblr-2931	473	1	120	120	NUM
cblr-2931	473	2	see	see	VERB
cblr-2931	473	3	17	17	NUM
cblr-2931	473	4	c.f.r	c.f.r	NOUN
cblr-2931	473	5	.	.	PUNCT
cblr-2931	474	1	§	§	PROPN
cblr-2931	474	2	240.15cl-2(c	240.15cl-2(c	NUM
cblr-2931	474	3	)	)	PUNCT
cblr-2931	474	4	(	(	PUNCT
cblr-2931	474	5	2010	2010	NUM
cblr-2931	474	6	)	)	PUNCT
cblr-2931	474	7	(	(	PUNCT
cblr-2931	474	8	"	"	PUNCT
cblr-2931	474	9	the	the	DET
cblr-2931	474	10	scope	scope	NOUN
cblr-2931	474	11	of	of	ADP
cblr-2931	474	12	this	this	DET
cblr-2931	474	13	section	section	NOUN
cblr-2931	474	14	shall	shall	AUX
cblr-2931	474	15	not	not	PART
cblr-2931	474	16	be	be	AUX
cblr-2931	474	17	limited	limit	VERB
cblr-2931	474	18	by	by	ADP
cblr-2931	474	19	any	any	DET
cblr-2931	474	20	specific	specific	ADJ
cblr-2931	474	21	definitions	definition	NOUN
cblr-2931	474	22	of	of	ADP
cblr-2931	474	23	the	the	DET
cblr-2931	474	24	term	term	NOUN
cblr-2931	474	25	'	'	PUNCT
cblr-2931	474	26	manipulative	manipulative	ADJ
cblr-2931	474	27	,	,	PUNCT
cblr-2931	474	28	deceptive	deceptive	ADJ
cblr-2931	474	29	,	,	PUNCT
cblr-2931	474	30	or	or	CCONJ
cblr-2931	474	31	other	other	ADJ
cblr-2931	474	32	fraudulent	fraudulent	ADJ
cblr-2931	474	33	device	device	NOUN
cblr-2931	474	34	or	or	CCONJ
cblr-2931	474	35	contrivance	contrivance	NOUN
cblr-2931	474	36	'	'	PUNCT
cblr-2931	474	37	contained	contain	VERB
cblr-2931	474	38	in	in	ADP
cblr-2931	474	39	other	other	ADJ
cblr-2931	474	40	rules	rule	NOUN
cblr-2931	474	41	adopted	adopt	VERB
cblr-2931	474	42	pursuant	pursuant	ADV
cblr-2931	474	43	to	to	ADP
cblr-2931	474	44	section	section	NOUN
cblr-2931	474	45	15(c)(1	15(c)(1	NUM
cblr-2931	474	46	)	)	PUNCT
cblr-2931	474	47	of	of	ADP
cblr-2931	474	48	the	the	DET
cblr-2931	474	49	act	act	NOUN
cblr-2931	474	50	.	.	PUNCT
cblr-2931	475	1	"	"	PUNCT
cblr-2931	475	2	)	)	PUNCT
cblr-2931	475	3	.	.	PUNCT
cblr-2931	476	1	121	121	NUM
cblr-2931	476	2	see	see	VERB
cblr-2931	476	3	,	,	PUNCT
cblr-2931	476	4	e.g.	e.g.	ADV
cblr-2931	476	5	,	,	PUNCT
cblr-2931	476	6	trautman	trautman	NOUN
cblr-2931	476	7	,	,	PUNCT
cblr-2931	476	8	exchange	exchange	NOUN
cblr-2931	476	9	act	act	PROPN
cblr-2931	476	10	release	release	VERB
cblr-2931	476	11	no	no	PRON
cblr-2931	476	12	.	.	PUNCT
cblr-2931	476	13	9088a	9088a	NUM
cblr-2931	476	14	,	,	PUNCT
cblr-2931	476	15	exchange	exchange	NOUN
cblr-2931	476	16	act	act	NOUN
cblr-2931	476	17	release	release	VERB
cblr-2931	476	18	no	no	PRON
cblr-2931	476	19	.	.	NOUN
cblr-2931	476	20	61167a	61167a	NUM
cblr-2931	476	21	,	,	PUNCT
cblr-2931	476	22	2009	2009	NUM
cblr-2931	476	23	wl	wl	NOUN
cblr-2931	476	24	6761741	6761741	NUM
cblr-2931	476	25	,	,	PUNCT
cblr-2931	476	26	at	at	ADP
cblr-2931	476	27	*	*	PROPN
cblr-2931	476	28	19	19	NUM
cblr-2931	476	29	n.75	n.75	PROPN
cblr-2931	476	30	(	(	PUNCT
cblr-2931	476	31	dec	dec	PROPN
cblr-2931	476	32	.	.	PROPN
cblr-2931	476	33	15	15	NUM
cblr-2931	476	34	,	,	PUNCT
cblr-2931	476	35	2009	2009	NUM
cblr-2931	476	36	)	)	PUNCT
cblr-2931	476	37	(	(	PUNCT
cblr-2931	476	38	noting	note	VERB
cblr-2931	476	39	that	that	SCONJ
cblr-2931	476	40	late	late	ADJ
cblr-2931	476	41	trading	trading	NOUN
cblr-2931	476	42	of	of	ADP
cblr-2931	476	43	mutual	mutual	ADJ
cblr-2931	476	44	funds	fund	NOUN
cblr-2931	476	45	violated	violate	VERB
cblr-2931	476	46	the	the	DET
cblr-2931	476	47	exchange	exchange	NOUN
cblr-2931	476	48	act	act	NOUN
cblr-2931	476	49	even	even	ADV
cblr-2931	476	50	in	in	ADP
cblr-2931	476	51	the	the	DET
cblr-2931	476	52	absence	absence	NOUN
cblr-2931	476	53	of	of	ADP
cblr-2931	476	54	an	an	DET
cblr-2931	476	55	sec	sec	PROPN
cblr-2931	476	56	rule	rule	NOUN
cblr-2931	476	57	specifically	specifically	ADV
cblr-2931	476	58	addressing	address	VERB
cblr-2931	476	59	that	that	DET
cblr-2931	476	60	activity	activity	NOUN
cblr-2931	476	61	)	)	PUNCT
cblr-2931	476	62	;	;	PUNCT
cblr-2931	476	63	hazel	hazel	PROPN
cblr-2931	476	64	bishop	bishop	PROPN
cblr-2931	476	65	,	,	PUNCT
cblr-2931	476	66	inc	inc	PROPN
cblr-2931	476	67	.	.	PROPN
cblr-2931	476	68	,	,	PUNCT
cblr-2931	476	69	40	40	NUM
cblr-2931	476	70	sec	sec	PROPN
cblr-2931	476	71	718	718	NUM
cblr-2931	476	72	(	(	PUNCT
cblr-2931	476	73	1961	1961	NUM
cblr-2931	476	74	)	)	PUNCT
cblr-2931	476	75	(	(	PUNCT
cblr-2931	476	76	issuing	issue	VERB
cblr-2931	476	77	a	a	DET
cblr-2931	476	78	stop	stop	NOUN
cblr-2931	476	79	order	order	NOUN
cblr-2931	476	80	on	on	ADP
cblr-2931	476	81	a	a	DET
cblr-2931	476	82	registration	registration	NOUN
cblr-2931	476	83	statement	statement	NOUN
cblr-2931	476	84	because	because	SCONJ
cblr-2931	476	85	of	of	ADP
cblr-2931	476	86	the	the	DET
cblr-2931	476	87	potential	potential	NOUN
cblr-2931	476	88	for	for	ADP
cblr-2931	476	89	manipulation	manipulation	NOUN
cblr-2931	476	90	in	in	ADP
cblr-2931	476	91	connection	connection	NOUN
cblr-2931	476	92	with	with	ADP
cblr-2931	476	93	an	an	DET
cblr-2931	476	94	734	734	NUM
cblr-2931	476	95	[	[	NOUN
cblr-2931	476	96	vol	vol	NOUN
cblr-2931	476	97	.	.	PUNCT
cblr-2931	476	98	2010	2010	NUM
cblr-2931	476	99	no	no	NOUN
cblr-2931	476	100	.	.	PUNCT
cblr-2931	477	1	3:710	3:710	NUM
cblr-2931	477	2	]	]	PUNCT
cblr-2931	477	3	are	be	AUX
cblr-2931	477	4	existing	exist	VERB
cblr-2931	477	5	stock	stock	NOUN
cblr-2931	477	6	broker	broker	NOUN
cblr-2931	477	7	standards	standard	NOUN
cblr-2931	477	8	sufficient	sufficient	ADJ
cblr-2931	477	9	?	?	PUNCT
cblr-2931	478	1	rules	rule	NOUN
cblr-2931	478	2	,	,	PUNCT
cblr-2931	478	3	the	the	DET
cblr-2931	478	4	rules	rule	NOUN
cblr-2931	478	5	of	of	ADP
cblr-2931	478	6	the	the	DET
cblr-2931	478	7	self	self	NOUN
cblr-2931	478	8	-	-	PUNCT
cblr-2931	478	9	regulatory	regulatory	ADJ
cblr-2931	478	10	organizations	organization	NOUN
cblr-2931	478	11	,	,	PUNCT
cblr-2931	478	12	such	such	ADJ
cblr-2931	478	13	as	as	ADP
cblr-2931	478	14	finra	finra	NOUN
cblr-2931	478	15	,	,	PUNCT
cblr-2931	478	16	impose	impose	VERB
cblr-2931	478	17	standards	standard	NOUN
cblr-2931	478	18	of	of	ADP
cblr-2931	478	19	conduct	conduct	NOUN
cblr-2931	478	20	on	on	ADP
cblr-2931	478	21	broker	broker	NOUN
cblr-2931	478	22	-	-	PUNCT
cblr-2931	478	23	dealers	dealer	NOUN
cblr-2931	478	24	.	.	PUNCT
cblr-2931	479	1	for	for	ADP
cblr-2931	479	2	example	example	NOUN
cblr-2931	479	3	,	,	PUNCT
cblr-2931	479	4	following	follow	VERB
cblr-2931	479	5	the	the	DET
cblr-2931	479	6	statutory	statutory	ADJ
cblr-2931	479	7	mandate	mandate	NOUN
cblr-2931	479	8	,	,	PUNCT
cblr-2931	479	9	finra	finra	NOUN
cblr-2931	479	10	imposes	impose	VERB
cblr-2931	479	11	principles	principle	NOUN
cblr-2931	479	12	based	base	VERB
cblr-2931	479	13	regulation	regulation	NOUN
cblr-2931	479	14	through	through	ADP
cblr-2931	479	15	the	the	DET
cblr-2931	479	16	requirement	requirement	NOUN
cblr-2931	479	17	that	that	SCONJ
cblr-2931	479	18	broker	broker	NOUN
cblr-2931	479	19	-	-	PUNCT
cblr-2931	479	20	dealers	dealer	NOUN
cblr-2931	479	21	adhere	adhere	VERB
cblr-2931	479	22	to	to	PART
cblr-2931	479	23	"	"	PUNCT
cblr-2931	479	24	just	just	ADV
cblr-2931	479	25	and	and	CCONJ
cblr-2931	479	26	equitable	equitable	ADJ
cblr-2931	479	27	principles	principle	NOUN
cblr-2931	479	28	of	of	ADP
cblr-2931	479	29	trade	trade	NOUN
cblr-2931	479	30	.	.	PUNCT
cblr-2931	480	1	"122	"122	PROPN
cblr-2931	480	2	at	at	ADP
cblr-2931	480	3	-	-	PUNCT
cblr-2931	480	4	market	market	NOUN
cblr-2931	480	5	secondary	secondary	ADJ
cblr-2931	480	6	offering	offering	NOUN
cblr-2931	480	7	)	)	PUNCT
cblr-2931	480	8	;	;	PUNCT
cblr-2931	480	9	see	see	VERB
cblr-2931	480	10	generally	generally	ADV
cblr-2931	480	11	2	2	NUM
cblr-2931	480	12	hazen	hazen	NOUN
cblr-2931	480	13	,	,	PUNCT
cblr-2931	480	14	supra	supra	PROPN
cblr-2931	480	15	note	note	NOUN
cblr-2931	480	16	93	93	NUM
cblr-2931	480	17	,	,	PUNCT
cblr-2931	480	18	§	§	PROPN
cblr-2931	480	19	§	§	PROPN
cblr-2931	480	20	4.28	4.28	NUM
cblr-2931	480	21	,	,	PUNCT
cblr-2931	480	22	6.1	6.1	NUM
cblr-2931	480	23	-	-	SYM
cblr-2931	480	24	4	4	NUM
cblr-2931	480	25	.	.	NOUN
cblr-2931	480	26	122	122	NUM
cblr-2931	480	27	finra	finra	PROPN
cblr-2931	480	28	manual	manual	NOUN
cblr-2931	480	29	rule	rule	NOUN
cblr-2931	480	30	2010	2010	NUM
cblr-2931	480	31	,	,	PUNCT
cblr-2931	480	32	available	available	ADJ
cblr-2931	480	33	at	at	ADP
cblr-2931	480	34	http://finra.complinet.com/en/display/display.html?rbid=2403&recordid=6	http://finra.complinet.com/en/display/display.html?rbid=2403&recordid=6	PRON
cblr-2931	480	35	905&elementid=5504&highlight=2010#r6905	905&elementid=5504&highlight=2010#r6905	NUM
cblr-2931	480	36	(	(	PUNCT
cblr-2931	480	37	"	"	PUNCT
cblr-2931	480	38	a	a	DET
cblr-2931	480	39	member	member	NOUN
cblr-2931	480	40	,	,	PUNCT
cblr-2931	480	41	in	in	ADP
cblr-2931	480	42	the	the	DET
cblr-2931	480	43	conduct	conduct	NOUN
cblr-2931	480	44	of	of	ADP
cblr-2931	480	45	its	its	PRON
cblr-2931	480	46	business	business	NOUN
cblr-2931	480	47	,	,	PUNCT
cblr-2931	480	48	shall	shall	AUX
cblr-2931	480	49	observe	observe	VERB
cblr-2931	480	50	high	high	ADJ
cblr-2931	480	51	standards	standard	NOUN
cblr-2931	480	52	of	of	ADP
cblr-2931	480	53	commercial	commercial	ADJ
cblr-2931	480	54	honor	honor	NOUN
cblr-2931	480	55	and	and	CCONJ
cblr-2931	480	56	just	just	ADV
cblr-2931	480	57	and	and	CCONJ
cblr-2931	480	58	equitable	equitable	ADJ
cblr-2931	480	59	principles	principle	NOUN
cblr-2931	480	60	of	of	ADP
cblr-2931	480	61	trade	trade	NOUN
cblr-2931	480	62	.	.	PUNCT
cblr-2931	480	63	"	"	PUNCT
cblr-2931	480	64	)	)	PUNCT
cblr-2931	480	65	.	.	PUNCT
cblr-2931	481	1	finra	finra	PROPN
cblr-2931	481	2	also	also	ADV
cblr-2931	481	3	has	have	VERB
cblr-2931	481	4	rules	rule	NOUN
cblr-2931	481	5	and	and	CCONJ
cblr-2931	481	6	interpretations	interpretation	NOUN
cblr-2931	481	7	targeting	target	VERB
cblr-2931	481	8	specific	specific	ADJ
cblr-2931	481	9	practices	practice	NOUN
cblr-2931	481	10	.	.	PUNCT
cblr-2931	482	1	see	see	VERB
cblr-2931	482	2	also	also	ADV
cblr-2931	482	3	,	,	PUNCT
cblr-2931	482	4	e.g.	e.g.	ADV
cblr-2931	482	5	,	,	PUNCT
cblr-2931	482	6	5	5	NUM
cblr-2931	482	7	hazen	hazen	NOUN
cblr-2931	482	8	,	,	PUNCT
cblr-2931	482	9	supra	supra	PROPN
cblr-2931	482	10	note	note	PROPN
cblr-2931	482	11	93	93	NUM
cblr-2931	482	12	,	,	PUNCT
cblr-2931	482	13	§	§	PROPN
cblr-2931	482	14	14.14	14.14	NUM
cblr-2931	482	15	(	(	PUNCT
cblr-2931	482	16	discussing	discuss	VERB
cblr-2931	482	17	the	the	DET
cblr-2931	482	18	finra	finra	PROPN
cblr-2931	482	19	rules	rule	NOUN
cblr-2931	482	20	governing	govern	VERB
cblr-2931	482	21	mark	mark	NOUN
cblr-2931	482	22	-	-	PUNCT
cblr-2931	482	23	ups	up	NOUN
cblr-2931	482	24	from	from	ADP
cblr-2931	482	25	market	market	NOUN
cblr-2931	482	26	price	price	NOUN
cblr-2931	482	27	)	)	PUNCT
cblr-2931	482	28	;	;	PUNCT
cblr-2931	482	29	finra	finra	PROPN
cblr-2931	482	30	manual	manual	NOUN
cblr-2931	482	31	rule	rule	VERB
cblr-2931	482	32	3220	3220	NUM
cblr-2931	482	33	,	,	PUNCT
cblr-2931	482	34	available	available	ADJ
cblr-2931	482	35	at	at	ADP
cblr-2931	482	36	http://finra.complinet.com/en/display/display.html?rbid=2403&recordid=7	http://finra.complinet.com/en/display/display.html?rbid=2403&recordid=7	ADJ
cblr-2931	482	37	067&elementid=5665&highlight=3220#r7067	067&elementid=5665&highlight=3220#r7067	NUM
cblr-2931	482	38	(	(	PUNCT
cblr-2931	482	39	prohibiting	prohibit	VERB
cblr-2931	482	40	members	member	NOUN
cblr-2931	482	41	from	from	ADP
cblr-2931	482	42	engaging	engage	VERB
cblr-2931	482	43	in	in	ADP
cblr-2931	482	44	conduct	conduct	NOUN
cblr-2931	482	45	designed	design	VERB
cblr-2931	482	46	to	to	PART
cblr-2931	482	47	influence	influence	VERB
cblr-2931	482	48	decisions	decision	NOUN
cblr-2931	482	49	of	of	ADP
cblr-2931	482	50	other	other	ADJ
cblr-2931	482	51	entities	entity	NOUN
cblr-2931	482	52	)	)	PUNCT
cblr-2931	482	53	.	.	PUNCT
cblr-2931	483	1	as	as	SCONJ
cblr-2931	483	2	explained	explain	VERB
cblr-2931	483	3	in	in	ADP
cblr-2931	483	4	a	a	DET
cblr-2931	483	5	recent	recent	ADJ
cblr-2931	483	6	finra	finra	NOUN
cblr-2931	483	7	opinion	opinion	NOUN
cblr-2931	483	8	:	:	PUNCT
cblr-2931	483	9	the	the	DET
cblr-2931	483	10	"	"	PUNCT
cblr-2931	483	11	special	special	ADJ
cblr-2931	483	12	focus	focus	NOUN
cblr-2931	483	13	"	"	PUNCT
cblr-2931	483	14	of	of	ADP
cblr-2931	483	15	finra	finra	PROPN
cblr-2931	483	16	's	's	PART
cblr-2931	483	17	rules	rule	NOUN
cblr-2931	483	18	is	be	AUX
cblr-2931	483	19	upon	upon	SCONJ
cblr-2931	483	20	"	"	PUNCT
cblr-2931	483	21	the	the	DET
cblr-2931	483	22	professionalization	professionalization	NOUN
cblr-2931	483	23	of	of	ADP
cblr-2931	483	24	the	the	DET
cblr-2931	483	25	securities	security	NOUN
cblr-2931	483	26	industry	industry	NOUN
cblr-2931	483	27	.	.	PUNCT
cblr-2931	483	28	"	"	PUNCT
cblr-2931	484	1	gustafson	gustafson	PROPN
cblr-2931	484	2	v.	v.	ADP
cblr-2931	484	3	strangis	strangis	PROPN
cblr-2931	484	4	,	,	PUNCT
cblr-2931	484	5	572	572	NUM
cblr-2931	484	6	f.	f.	PROPN
cblr-2931	484	7	supp	supp	PROPN
cblr-2931	484	8	.	.	PUNCT
cblr-2931	485	1	1154	1154	NUM
cblr-2931	485	2	,	,	PUNCT
cblr-2931	485	3	1158	1158	NUM
cblr-2931	485	4	(	(	PUNCT
cblr-2931	485	5	d.	d.	PROPN
cblr-2931	485	6	minn	minn	PROPN
cblr-2931	485	7	.	.	PROPN
cblr-2931	485	8	1983	1983	NUM
cblr-2931	485	9	)	)	PUNCT
cblr-2931	485	10	.	.	PUNCT
cblr-2931	486	1	section	section	PROPN
cblr-2931	486	2	15a(b)(5	15a(b)(5	PROPN
cblr-2931	486	3	)	)	PUNCT
cblr-2931	486	4	of	of	ADP
cblr-2931	486	5	the	the	DET
cblr-2931	486	6	securities	securities	PROPN
cblr-2931	486	7	exchange	exchange	PROPN
cblr-2931	486	8	act	act	NOUN
cblr-2931	486	9	of	of	ADP
cblr-2931	486	10	1934	1934	NUM
cblr-2931	486	11	(	(	PUNCT
cblr-2931	486	12	"	"	PUNCT
cblr-2931	486	13	exchange	exchange	NOUN
cblr-2931	486	14	act	act	NOUN
cblr-2931	486	15	"	"	PUNCT
cblr-2931	486	16	)	)	PUNCT
cblr-2931	486	17	requires	require	VERB
cblr-2931	486	18	finra	finra	NOUN
cblr-2931	486	19	,	,	PUNCT
cblr-2931	486	20	as	as	ADP
cblr-2931	486	21	a	a	DET
cblr-2931	486	22	registered	register	VERB
cblr-2931	486	23	securities	security	NOUN
cblr-2931	486	24	association	association	NOUN
cblr-2931	486	25	,	,	PUNCT
cblr-2931	486	26	to	to	PART
cblr-2931	486	27	have	have	VERB
cblr-2931	486	28	and	and	CCONJ
cblr-2931	486	29	enforce	enforce	VERB
cblr-2931	486	30	rules	rule	NOUN
cblr-2931	486	31	that	that	SCONJ
cblr-2931	486	32	"	"	PUNCT
cblr-2931	486	33	promote	promote	VERB
cblr-2931	486	34	just	just	ADV
cblr-2931	486	35	and	and	CCONJ
cblr-2931	486	36	equitable	equitable	ADJ
cblr-2931	486	37	principles	principle	NOUN
cblr-2931	486	38	of	of	ADP
cblr-2931	486	39	trade	trade	NOUN
cblr-2931	486	40	.	.	PUNCT
cblr-2931	486	41	"	"	PUNCT
cblr-2931	487	1	when	when	SCONJ
cblr-2931	487	2	congress	congress	PROPN
cblr-2931	487	3	enacted	enact	VERB
cblr-2931	487	4	the	the	DET
cblr-2931	487	5	exchange	exchange	NOUN
cblr-2931	487	6	act	act	NOUN
cblr-2931	487	7	,	,	PUNCT
cblr-2931	487	8	it	it	PRON
cblr-2931	487	9	recognized	recognize	VERB
cblr-2931	487	10	that	that	SCONJ
cblr-2931	487	11	the	the	DET
cblr-2931	487	12	law	law	NOUN
cblr-2931	487	13	"	"	PUNCT
cblr-2931	487	14	must	must	AUX
cblr-2931	487	15	be	be	AUX
cblr-2931	487	16	supplemented	supplement	VERB
cblr-2931	487	17	by	by	ADP
cblr-2931	487	18	regulation	regulation	NOUN
cblr-2931	487	19	on	on	ADP
cblr-2931	487	20	an	an	DET
cblr-2931	487	21	ethical	ethical	ADJ
cblr-2931	487	22	plane	plane	NOUN
cblr-2931	487	23	in	in	ADP
cblr-2931	487	24	order	order	NOUN
cblr-2931	487	25	'	'	PUNCT
cblr-2931	487	26	to	to	PART
cblr-2931	487	27	protect	protect	VERB
cblr-2931	487	28	the	the	DET
cblr-2931	487	29	investor	investor	NOUN
cblr-2931	487	30	and	and	CCONJ
cblr-2931	487	31	the	the	DET
cblr-2931	487	32	honest	honest	ADJ
cblr-2931	487	33	dealer	dealer	NOUN
cblr-2931	487	34	alike	alike	ADV
cblr-2931	487	35	from	from	ADP
cblr-2931	487	36	dishonest	dishonest	ADJ
cblr-2931	487	37	and	and	CCONJ
cblr-2931	487	38	unfair	unfair	ADJ
cblr-2931	487	39	practices	practice	NOUN
cblr-2931	487	40	by	by	ADP
cblr-2931	487	41	the	the	DET
cblr-2931	487	42	submarginal	submarginal	PROPN
cblr-2931	487	43	element	element	NOUN
cblr-2931	487	44	in	in	ADP
cblr-2931	487	45	the	the	DET
cblr-2931	487	46	industry	industry	NOUN
cblr-2931	487	47	'	'	PUNCT
cblr-2931	487	48	and	and	CCONJ
cblr-2931	487	49	'	'	PUNCT
cblr-2931	487	50	to	to	PART
cblr-2931	487	51	cope	cope	VERB
cblr-2931	487	52	with	with	ADP
cblr-2931	487	53	those	those	DET
cblr-2931	487	54	methods	method	NOUN
cblr-2931	487	55	of	of	ADP
cblr-2931	487	56	doing	do	VERB
cblr-2931	487	57	business	business	NOUN
cblr-2931	487	58	which	which	PRON
cblr-2931	487	59	,	,	PUNCT
cblr-2931	487	60	while	while	SCONJ
cblr-2931	487	61	technically	technically	ADV
cblr-2931	487	62	outside	outside	ADP
cblr-2931	487	63	the	the	DET
cblr-2931	487	64	area	area	NOUN
cblr-2931	487	65	of	of	ADP
cblr-2931	487	66	definite	definite	ADJ
cblr-2931	487	67	illegality	illegality	NOUN
cblr-2931	487	68	,	,	PUNCT
cblr-2931	487	69	are	be	AUX
cblr-2931	487	70	nevertheless	nevertheless	ADV
cblr-2931	487	71	unfair	unfair	ADJ
cblr-2931	487	72	both	both	PRON
cblr-2931	487	73	to	to	ADP
cblr-2931	487	74	customer	customer	NOUN
cblr-2931	487	75	and	and	CCONJ
cblr-2931	487	76	to	to	ADP
cblr-2931	487	77	decent	decent	ADJ
cblr-2931	487	78	competitor	competitor	NOUN
cblr-2931	487	79	,	,	PUNCT
cblr-2931	487	80	and	and	CCONJ
cblr-2931	487	81	are	be	AUX
cblr-2931	487	82	seriously	seriously	ADV
cblr-2931	487	83	damaging	damaging	ADJ
cblr-2931	487	84	to	to	ADP
cblr-2931	487	85	the	the	DET
cblr-2931	487	86	mechanism	mechanism	NOUN
cblr-2931	487	87	of	of	ADP
cblr-2931	487	88	the	the	DET
cblr-2931	487	89	free	free	ADJ
cblr-2931	487	90	and	and	CCONJ
cblr-2931	487	91	open	open	ADJ
cblr-2931	487	92	market	market	NOUN
cblr-2931	487	93	.	.	PUNCT
cblr-2931	488	1	"	"	PUNCT
cblr-2931	488	2	'	'	PUNCT
cblr-2931	488	3	see	see	VERB
cblr-2931	488	4	heath	heath	PROPN
cblr-2931	488	5	v.	v.	ADP
cblr-2931	488	6	sec	sec	PROPN
cblr-2931	488	7	,	,	PUNCT
cblr-2931	488	8	586	586	NUM
cblr-2931	488	9	f.3d	f.3d	NUM
cblr-2931	488	10	122	122	NUM
cblr-2931	488	11	,	,	PUNCT
cblr-2931	488	12	132	132	NUM
cblr-2931	488	13	(	(	PUNCT
cblr-2931	488	14	2d	2d	NUM
cblr-2931	488	15	cir	cir	NOUN
cblr-2931	488	16	.	.	PUNCT
cblr-2931	488	17	2009	2009	NUM
cblr-2931	488	18	)	)	PUNCT
cblr-2931	488	19	,	,	PUNCT
cblr-2931	488	20	cert	cert	PROPN
cblr-2931	488	21	.	.	PUNCT
cblr-2931	489	1	denied	deny	VERB
cblr-2931	489	2	,	,	PUNCT
cblr-2931	489	3	no	no	INTJ
cblr-2931	489	4	.	.	NOUN
cblr-2931	489	5	09	09	NUM
cblr-2931	489	6	-	-	SYM
cblr-2931	489	7	959	959	NUM
cblr-2931	489	8	,	,	PUNCT
cblr-2931	489	9	2010	2010	NUM
cblr-2931	489	10	u.s	u.s	PROPN
cblr-2931	489	11	.	.	PROPN
cblr-2931	489	12	lexis	lexis	PROPN
cblr-2931	489	13	3029	3029	NUM
cblr-2931	489	14	(	(	PUNCT
cblr-2931	489	15	apr	apr	PROPN
cblr-2931	489	16	.	.	PROPN
cblr-2931	489	17	5	5	NUM
cblr-2931	489	18	,	,	PUNCT
cblr-2931	489	19	2010	2010	NUM
cblr-2931	489	20	)	)	PUNCT
cblr-2931	489	21	(	(	PUNCT
cblr-2931	489	22	quoting	quote	VERB
cblr-2931	489	23	6	6	NUM
cblr-2931	489	24	louis	louis	NOUN
cblr-2931	489	25	loss	loss	NOUN
cblr-2931	489	26	&	&	CCONJ
cblr-2931	489	27	joel	joel	PROPN
cblr-2931	489	28	seligman	seligman	PROPN
cblr-2931	489	29	,	,	PUNCT
cblr-2931	489	30	securities	security	NOUN
cblr-2931	489	31	regulation	regulation	NOUN
cblr-2931	489	32	2796	2796	NUM
cblr-2931	489	33	(	(	PUNCT
cblr-2931	489	34	3d	3d	PROPN
cblr-2931	489	35	ed	ed	NOUN
cblr-2931	489	36	.	.	PROPN
cblr-2931	489	37	2002	2002	NUM
cblr-2931	489	38	)	)	PUNCT
cblr-2931	489	39	)	)	PUNCT
cblr-2931	489	40	.	.	PUNCT
cblr-2931	490	1	nasd	nasd	PROPN
cblr-2931	490	2	rule	rule	PROPN
cblr-2931	490	3	2110	2110	NUM
cblr-2931	490	4	provides	provide	VERB
cblr-2931	490	5	that	that	SCONJ
cblr-2931	490	6	"	"	PUNCT
cblr-2931	490	7	[	[	X
cblr-2931	490	8	a	a	X
cblr-2931	490	9	]	]	X
cblr-2931	490	10	member	member	NOUN
cblr-2931	490	11	,	,	PUNCT
cblr-2931	490	12	in	in	ADP
cblr-2931	490	13	the	the	DET
cblr-2931	490	14	conduct	conduct	NOUN
cblr-2931	490	15	of	of	ADP
cblr-2931	490	16	its	its	PRON
cblr-2931	490	17	business	business	NOUN
cblr-2931	490	18	,	,	PUNCT
cblr-2931	490	19	shall	shall	AUX
cblr-2931	490	20	observe	observe	VERB
cblr-2931	490	21	high	high	ADJ
cblr-2931	490	22	standards	standard	NOUN
cblr-2931	490	23	of	of	ADP
cblr-2931	490	24	commercial	commercial	ADJ
cblr-2931	490	25	honor	honor	NOUN
cblr-2931	490	26	and	and	CCONJ
cblr-2931	490	27	just	just	ADV
cblr-2931	490	28	and	and	CCONJ
cblr-2931	490	29	equitable	equitable	ADJ
cblr-2931	490	30	principles	principle	NOUN
cblr-2931	490	31	of	of	ADP
cblr-2931	490	32	trade	trade	NOUN
cblr-2931	490	33	.	.	PUNCT
cblr-2931	490	34	"	"	PUNCT
cblr-2931	491	1	the	the	DET
cblr-2931	491	2	rule	rule	NOUN
cblr-2931	491	3	735	735	NUM
cblr-2931	491	4	in	in	ADP
cblr-2931	491	5	addition	addition	NOUN
cblr-2931	491	6	to	to	ADP
cblr-2931	491	7	sec	sec	PROPN
cblr-2931	491	8	rules	rule	NOUN
cblr-2931	491	9	and	and	CCONJ
cblr-2931	491	10	requirements	requirement	NOUN
cblr-2931	491	11	of	of	ADP
cblr-2931	491	12	the	the	DET
cblr-2931	491	13	applicable	applicable	ADJ
cblr-2931	491	14	self	self	NOUN
cblr-2931	491	15	-	-	PUNCT
cblr-2931	491	16	regulatory	regulatory	ADJ
cblr-2931	491	17	organizations,'123	organizations,'123	NOUN
cblr-2931	491	18	broker	broker	NOUN
cblr-2931	491	19	-	-	PUNCT
cblr-2931	491	20	dealers	dealer	NOUN
cblr-2931	491	21	are	be	AUX
cblr-2931	491	22	,	,	PUNCT
cblr-2931	491	23	of	of	ADP
cblr-2931	491	24	course	course	NOUN
cblr-2931	491	25	,	,	PUNCT
cblr-2931	491	26	subject	subject	ADJ
cblr-2931	491	27	to	to	ADP
cblr-2931	491	28	common	common	ADJ
cblr-2931	491	29	law	law	NOUN
cblr-2931	491	30	duties	duty	NOUN
cblr-2931	491	31	and	and	CCONJ
cblr-2931	491	32	,	,	PUNCT
cblr-2931	491	33	in	in	ADP
cblr-2931	491	34	some	some	DET
cblr-2931	491	35	contexts	contexts	NOUN
cblr-2931	491	36	,	,	PUNCT
cblr-2931	491	37	fiduciary	fiduciary	ADJ
cblr-2931	491	38	obligations.124	obligations.124	PROPN
cblr-2931	491	39	further	far	ADV
cblr-2931	491	40	,	,	PUNCT
cblr-2931	491	41	on	on	ADP
cblr-2931	491	42	appropriate	appropriate	ADJ
cblr-2931	491	43	facts	fact	NOUN
cblr-2931	491	44	,	,	PUNCT
cblr-2931	491	45	federal	federal	ADJ
cblr-2931	491	46	courts	court	NOUN
cblr-2931	491	47	have	have	AUX
cblr-2931	491	48	recognized	recognize	VERB
cblr-2931	491	49	the	the	DET
cblr-2931	491	50	existence	existence	NOUN
cblr-2931	491	51	of	of	ADP
cblr-2931	491	52	a	a	DET
cblr-2931	491	53	fiduciary	fiduciary	ADJ
cblr-2931	491	54	relationship	relationship	NOUN
cblr-2931	491	55	in	in	ADP
cblr-2931	491	56	federal	federal	ADJ
cblr-2931	491	57	securities	security	NOUN
cblr-2931	491	58	cases.125	cases.125	NOUN
cblr-2931	491	59	the	the	DET
cblr-2931	491	60	cases	case	NOUN
cblr-2931	491	61	make	make	VERB
cblr-2931	491	62	it	it	PRON
cblr-2931	491	63	clear	clear	ADJ
cblr-2931	491	64	that	that	SCONJ
cblr-2931	491	65	although	although	SCONJ
cblr-2931	491	66	there	there	PRON
cblr-2931	491	67	is	be	VERB
cblr-2931	491	68	no	no	DET
cblr-2931	491	69	across	across	ADP
cblr-2931	491	70	-	-	PUNCT
cblr-2931	491	71	the	the	DET
cblr-2931	491	72	-	-	PUNCT
cblr-2931	491	73	board	board	NOUN
cblr-2931	491	74	fiduciary	fiduciary	ADJ
cblr-2931	491	75	duty	duty	NOUN
cblr-2931	491	76	that	that	PRON
cblr-2931	491	77	applies	apply	VERB
cblr-2931	491	78	to	to	ADP
cblr-2931	491	79	every	every	DET
cblr-2931	491	80	transaction	transaction	NOUN
cblr-2931	491	81	involving	involve	VERB
cblr-2931	491	82	a	a	DET
cblr-2931	491	83	broker	broker	NOUN
cblr-2931	491	84	-	-	PUNCT
cblr-2931	491	85	dealer	dealer	NOUN
cblr-2931	491	86	,	,	PUNCT
cblr-2931	491	87	some	some	DET
cblr-2931	491	88	heightened	heightened	ADJ
cblr-2931	491	89	level	level	NOUN
cblr-2931	491	90	of	of	ADP
cblr-2931	491	91	obligation	obligation	NOUN
cblr-2931	491	92	will	will	AUX
cblr-2931	491	93	exist	exist	VERB
cblr-2931	491	94	depending	depend	VERB
cblr-2931	491	95	on	on	ADP
cblr-2931	491	96	the	the	DET
cblr-2931	491	97	activities	activity	NOUN
cblr-2931	491	98	that	that	PRON
cblr-2931	491	99	the	the	DET
cblr-2931	491	100	broker	broker	NOUN
cblr-2931	491	101	is	be	AUX
cblr-2931	491	102	carrying	carry	VERB
cblr-2931	491	103	out	out	ADP
cblr-2931	491	104	on	on	ADP
cblr-2931	491	105	the	the	DET
cblr-2931	491	106	customer	customer	NOUN
cblr-2931	491	107	's	's	PART
cblr-2931	491	108	behalf	behalf	NOUN
cblr-2931	491	109	.	.	PUNCT
cblr-2931	492	1	in	in	ADP
cblr-2931	492	2	contrast	contrast	NOUN
cblr-2931	492	3	to	to	ADP
cblr-2931	492	4	the	the	DET
cblr-2931	492	5	narrow	narrow	ADJ
cblr-2931	492	6	view	view	NOUN
cblr-2931	492	7	of	of	ADP
cblr-2931	492	8	securities	security	NOUN
cblr-2931	492	9	brokers	broker	NOUN
cblr-2931	492	10	'	'	PART
cblr-2931	492	11	fiduciary	fiduciary	ADJ
cblr-2931	492	12	duties	duty	NOUN
cblr-2931	492	13	,	,	PUNCT
cblr-2931	492	14	as	as	SCONJ
cblr-2931	492	15	noted	note	VERB
cblr-2931	492	16	above	above	ADV
cblr-2931	492	17	,	,	PUNCT
cblr-2931	492	18	there	there	PRON
cblr-2931	492	19	have	have	AUX
cblr-2931	492	20	been	be	AUX
cblr-2931	492	21	a	a	DET
cblr-2931	492	22	number	number	NOUN
cblr-2931	492	23	of	of	ADP
cblr-2931	492	24	decisions	decision	NOUN
cblr-2931	492	25	that	that	PRON
cblr-2931	492	26	have	have	AUX
cblr-2931	492	27	taken	take	VERB
cblr-2931	492	28	a	a	DET
cblr-2931	492	29	broader	broad	ADJ
cblr-2931	492	30	underscores	underscore	VERB
cblr-2931	492	31	a	a	DET
cblr-2931	492	32	"	"	PUNCT
cblr-2931	492	33	broad	broad	ADJ
cblr-2931	492	34	ethical	ethical	ADJ
cblr-2931	492	35	principle	principle	NOUN
cblr-2931	492	36	that	that	PRON
cblr-2931	492	37	implements	implement	VERB
cblr-2931	492	38	the	the	DET
cblr-2931	492	39	requirements	requirement	NOUN
cblr-2931	492	40	of	of	ADP
cblr-2931	492	41	[	[	X
cblr-2931	492	42	exchange	exchange	NOUN
cblr-2931	492	43	act	act	PROPN
cblr-2931	492	44	]	]	PUNCT
cblr-2931	492	45	section	section	NOUN
cblr-2931	492	46	15a	15a	NOUN
cblr-2931	492	47	.	.	PUNCT
cblr-2931	492	48	"	"	PUNCT
cblr-2931	493	1	timothy	timothy	PROPN
cblr-2931	493	2	l.	l.	PROPN
cblr-2931	493	3	burkes	burkes	PROPN
cblr-2931	493	4	,	,	PUNCT
cblr-2931	493	5	51	51	NUM
cblr-2931	493	6	s.e.c	s.e.c	NOUN
cblr-2931	493	7	.	.	PUNCT
cblr-2931	494	1	356	356	NUM
cblr-2931	494	2	,	,	PUNCT
cblr-2931	494	3	360	360	NUM
cblr-2931	494	4	n.21	n.21	PROPN
cblr-2931	494	5	(	(	PUNCT
cblr-2931	494	6	1993	1993	NUM
cblr-2931	494	7	)	)	PUNCT
cblr-2931	494	8	,	,	PUNCT
cblr-2931	494	9	affd	affd	PROPN
cblr-2931	494	10	,	,	PUNCT
cblr-2931	494	11	29	29	NUM
cblr-2931	494	12	f.3d	f.3d	NUM
cblr-2931	494	13	630	630	NUM
cblr-2931	494	14	(	(	PUNCT
cblr-2931	494	15	9th	9th	ADJ
cblr-2931	494	16	cir	cir	NOUN
cblr-2931	494	17	.	.	PROPN
cblr-2931	494	18	1994	1994	NUM
cblr-2931	494	19	)	)	PUNCT
cblr-2931	494	20	.	.	PUNCT
cblr-2931	495	1	disciplinary	disciplinary	ADJ
cblr-2931	495	2	actions	action	NOUN
cblr-2931	495	3	brought	bring	VERB
cblr-2931	495	4	to	to	PART
cblr-2931	495	5	enforce	enforce	VERB
cblr-2931	495	6	compliance	compliance	NOUN
cblr-2931	495	7	with	with	ADP
cblr-2931	495	8	standards	standard	NOUN
cblr-2931	495	9	of	of	ADP
cblr-2931	495	10	commercial	commercial	ADJ
cblr-2931	495	11	honor	honor	NOUN
cblr-2931	495	12	and	and	CCONJ
cblr-2931	495	13	just	just	ADV
cblr-2931	495	14	and	and	CCONJ
cblr-2931	495	15	equitable	equitable	ADJ
cblr-2931	495	16	principles	principle	NOUN
cblr-2931	495	17	of	of	ADP
cblr-2931	495	18	trade	trade	NOUN
cblr-2931	495	19	are	be	AUX
cblr-2931	495	20	"	"	PUNCT
cblr-2931	495	21	ethical	ethical	ADJ
cblr-2931	495	22	proceedings	proceeding	NOUN
cblr-2931	495	23	"	"	PUNCT
cblr-2931	495	24	and	and	CCONJ
cblr-2931	495	25	are	be	AUX
cblr-2931	495	26	concerned	concern	VERB
cblr-2931	495	27	with	with	ADP
cblr-2931	495	28	the	the	DET
cblr-2931	495	29	"	"	PUNCT
cblr-2931	495	30	ethical	ethical	ADJ
cblr-2931	495	31	implications	implication	NOUN
cblr-2931	495	32	"	"	PUNCT
cblr-2931	495	33	of	of	ADP
cblr-2931	495	34	the	the	DET
cblr-2931	495	35	respondent	respondent	NOUN
cblr-2931	495	36	's	's	PART
cblr-2931	495	37	conduct	conduct	NOUN
cblr-2931	495	38	.	.	PUNCT
cblr-2931	496	1	i	i	PRON
cblr-2931	496	2	d.	d.	PROPN
cblr-2931	496	3	at	at	ADP
cblr-2931	496	4	360	360	NUM
cblr-2931	496	5	.	.	PUNCT
cblr-2931	497	1	in	in	ADP
cblr-2931	497	2	the	the	DET
cblr-2931	497	3	matter	matter	NOUN
cblr-2931	497	4	of	of	ADP
cblr-2931	497	5	conway	conway	NOUN
cblr-2931	497	6	,	,	PUNCT
cblr-2931	497	7	2010	2010	NUM
cblr-2931	497	8	wl	wl	NOUN
cblr-2931	497	9	4254606	4254606	NUM
cblr-2931	497	10	,	,	PUNCT
cblr-2931	497	11	at	at	ADP
cblr-2931	497	12	*	*	NOUN
cblr-2931	497	13	8	8	NUM
cblr-2931	497	14	(	(	PUNCT
cblr-2931	497	15	finra	finra	PROPN
cblr-2931	497	16	oct	oct	PROPN
cblr-2931	497	17	.	.	PROPN
cblr-2931	497	18	26	26	NUM
cblr-2931	497	19	,	,	PUNCT
cblr-2931	497	20	2010	2010	NUM
cblr-2931	497	21	)	)	PUNCT
cblr-2931	497	22	(	(	PUNCT
cblr-2931	497	23	footnote	footnote	VERB
cblr-2931	497	24	omitted	omit	VERB
cblr-2931	497	25	)	)	PUNCT
cblr-2931	497	26	.	.	PUNCT
cblr-2931	498	1	123	123	NUM
cblr-2931	498	2	see	see	VERB
cblr-2931	498	3	5	5	NUM
cblr-2931	498	4	hazen	hazen	PROPN
cblr-2931	498	5	,	,	PUNCT
cblr-2931	498	6	supra	supra	PROPN
cblr-2931	498	7	note	note	PROPN
cblr-2931	498	8	93	93	NUM
cblr-2931	498	9	,	,	PUNCT
cblr-2931	498	10	§	§	PROPN
cblr-2931	498	11	14.3	14.3	NUM
cblr-2931	498	12	.	.	PUNCT
cblr-2931	498	13	124	124	NUM
cblr-2931	498	14	see	see	NOUN
cblr-2931	498	15	,	,	PUNCT
cblr-2931	498	16	e.g.	e.g.	ADV
cblr-2931	498	17	,	,	PUNCT
cblr-2931	498	18	cheryl	cheryl	PROPN
cblr-2931	498	19	goss	goss	PROPN
cblr-2931	498	20	weiss	weiss	PROPN
cblr-2931	498	21	,	,	PUNCT
cblr-2931	498	22	a	a	DET
cblr-2931	498	23	review	review	NOUN
cblr-2931	498	24	of	of	ADP
cblr-2931	498	25	the	the	DET
cblr-2931	498	26	historic	historic	ADJ
cblr-2931	498	27	foundations	foundation	NOUN
cblr-2931	498	28	of	of	ADP
cblr-2931	498	29	broker	broker	NOUN
cblr-2931	498	30	-	-	PUNCT
cblr-2931	498	31	dealer	dealer	NOUN
cblr-2931	498	32	liability	liability	NOUN
cblr-2931	498	33	for	for	ADP
cblr-2931	498	34	breach	breach	NOUN
cblr-2931	498	35	of	of	ADP
cblr-2931	498	36	fiduciary	fiduciary	ADJ
cblr-2931	498	37	duty	duty	NOUN
cblr-2931	498	38	,	,	PUNCT
cblr-2931	498	39	23	23	NUM
cblr-2931	498	40	j.	j.	PROPN
cblr-2931	498	41	corp	corp	PROPN
cblr-2931	498	42	.	.	PROPN
cblr-2931	498	43	l.	l.	PROPN
cblr-2931	498	44	65	65	NUM
cblr-2931	498	45	(	(	PUNCT
cblr-2931	498	46	1997	1997	NUM
cblr-2931	498	47	)	)	PUNCT
cblr-2931	498	48	(	(	PUNCT
cblr-2931	498	49	reviewing	review	VERB
cblr-2931	498	50	history	history	NOUN
cblr-2931	498	51	of	of	ADP
cblr-2931	498	52	broker	broker	NOUN
cblr-2931	498	53	-	-	PUNCT
cblr-2931	498	54	dealer	dealer	NOUN
cblr-2931	498	55	fiduciary	fiduciary	ADJ
cblr-2931	498	56	duties	duty	NOUN
cblr-2931	498	57	)	)	PUNCT
cblr-2931	498	58	;	;	PUNCT
cblr-2931	498	59	see	see	VERB
cblr-2931	498	60	also	also	ADV
cblr-2931	498	61	,	,	PUNCT
cblr-2931	498	62	francis	francis	PROPN
cblr-2931	498	63	j.	j.	PROPN
cblr-2931	498	64	facciolo	facciolo	PROPN
cblr-2931	498	65	,	,	PUNCT
cblr-2931	498	66	a	a	DET
cblr-2931	498	67	broker	broker	NOUN
cblr-2931	498	68	's	's	PART
cblr-2931	498	69	duty	duty	NOUN
cblr-2931	498	70	of	of	ADP
cblr-2931	498	71	best	good	ADJ
cblr-2931	498	72	execution	execution	NOUN
cblr-2931	498	73	in	in	ADP
cblr-2931	498	74	the	the	DET
cblr-2931	498	75	nineteenth	nineteenth	ADJ
cblr-2931	498	76	and	and	CCONJ
cblr-2931	498	77	early	early	ADJ
cblr-2931	498	78	twentieth	twentieth	ADJ
cblr-2931	498	79	centuries	century	NOUN
cblr-2931	498	80	,	,	PUNCT
cblr-2931	498	81	26	26	NUM
cblr-2931	498	82	pace	pace	NOUN
cblr-2931	498	83	l.	l.	PROPN
cblr-2931	498	84	rev	rev	PROPN
cblr-2931	498	85	.	.	PROPN
cblr-2931	498	86	155	155	NUM
cblr-2931	498	87	(	(	PUNCT
cblr-2931	498	88	2005	2005	NUM
cblr-2931	498	89	)	)	PUNCT
cblr-2931	498	90	(	(	PUNCT
cblr-2931	498	91	tracing	trace	VERB
cblr-2931	498	92	the	the	DET
cblr-2931	498	93	best	good	ADJ
cblr-2931	498	94	execution	execution	NOUN
cblr-2931	498	95	obligation	obligation	NOUN
cblr-2931	498	96	back	back	ADV
cblr-2931	498	97	to	to	ADP
cblr-2931	498	98	state	state	NOUN
cblr-2931	498	99	law	law	NOUN
cblr-2931	498	100	)	)	PUNCT
cblr-2931	498	101	;	;	PUNCT
cblr-2931	498	102	steven	steven	PROPN
cblr-2931	498	103	a.	a.	PROPN
cblr-2931	498	104	ramirez	ramirez	PROPN
cblr-2931	498	105	,	,	PUNCT
cblr-2931	498	106	the	the	DET
cblr-2931	498	107	professional	professional	ADJ
cblr-2931	498	108	obligations	obligation	NOUN
cblr-2931	498	109	of	of	ADP
cblr-2931	498	110	securities	security	NOUN
cblr-2931	498	111	brokers	broker	NOUN
cblr-2931	498	112	under	under	ADP
cblr-2931	498	113	federal	federal	ADJ
cblr-2931	498	114	law	law	NOUN
cblr-2931	498	115	:	:	PUNCT
cblr-2931	498	116	an	an	DET
cblr-2931	498	117	antidote	antidote	NOUN
cblr-2931	498	118	for	for	ADP
cblr-2931	498	119	bubbles	bubble	NOUN
cblr-2931	498	120	?	?	PUNCT
cblr-2931	498	121	,	,	PUNCT
cblr-2931	498	122	70	70	NUM
cblr-2931	498	123	u.	u.	NOUN
cblr-2931	498	124	cin	cin	PROPN
cblr-2931	498	125	.	.	PUNCT
cblr-2931	499	1	l.	l.	PROPN
cblr-2931	499	2	rev	rev	PROPN
cblr-2931	499	3	.	.	PROPN
cblr-2931	500	1	527	527	NUM
cblr-2931	500	2	(	(	PUNCT
cblr-2931	500	3	2002	2002	NUM
cblr-2931	500	4	)	)	PUNCT
cblr-2931	500	5	(	(	PUNCT
cblr-2931	500	6	arguing	argue	VERB
cblr-2931	500	7	that	that	SCONJ
cblr-2931	500	8	the	the	DET
cblr-2931	500	9	federal	federal	ADJ
cblr-2931	500	10	courts	court	NOUN
cblr-2931	500	11	should	should	AUX
cblr-2931	500	12	recognize	recognize	VERB
cblr-2931	500	13	professional	professional	ADJ
cblr-2931	500	14	malpractice	malpractice	NOUN
cblr-2931	500	15	claims	claim	NOUN
cblr-2931	500	16	based	base	VERB
cblr-2931	500	17	on	on	ADP
cblr-2931	500	18	the	the	DET
cblr-2931	500	19	self	self	NOUN
cblr-2931	500	20	-	-	PUNCT
cblr-2931	500	21	regulatory	regulatory	ADJ
cblr-2931	500	22	regime	regime	NOUN
cblr-2931	500	23	for	for	ADP
cblr-2931	500	24	broker	broker	NOUN
cblr-2931	500	25	-	-	PUNCT
cblr-2931	500	26	dealers	dealer	NOUN
cblr-2931	500	27	)	)	PUNCT
cblr-2931	500	28	.	.	PUNCT
cblr-2931	501	1	125	125	NUM
cblr-2931	501	2	see	see	VERB
cblr-2931	501	3	,	,	PUNCT
cblr-2931	501	4	e.g.	e.g.	ADV
cblr-2931	501	5	,	,	PUNCT
cblr-2931	501	6	u.s	u.s	PROPN
cblr-2931	501	7	.	.	PROPN
cblr-2931	501	8	v.	v.	PROPN
cblr-2931	501	9	santoro	santoro	PROPN
cblr-2931	501	10	,	,	PUNCT
cblr-2931	501	11	302	302	NUM
cblr-2931	501	12	f.3d	f.3d	NUM
cblr-2931	501	13	76	76	NUM
cblr-2931	501	14	,	,	PUNCT
cblr-2931	501	15	82	82	NUM
cblr-2931	501	16	(	(	PUNCT
cblr-2931	501	17	2d	2d	NUM
cblr-2931	501	18	cir	cir	NOUN
cblr-2931	501	19	.	.	PUNCT
cblr-2931	501	20	2002	2002	NUM
cblr-2931	501	21	)	)	PUNCT
cblr-2931	501	22	(	(	PUNCT
cblr-2931	501	23	holding	hold	VERB
cblr-2931	501	24	that	that	DET
cblr-2931	501	25	broker	broker	NOUN
cblr-2931	501	26	's	's	PART
cblr-2931	501	27	recommendation	recommendation	NOUN
cblr-2931	501	28	created	create	VERB
cblr-2931	501	29	"	"	PUNCT
cblr-2931	501	30	position	position	NOUN
cblr-2931	501	31	of	of	ADP
cblr-2931	501	32	trust	trust	NOUN
cblr-2931	501	33	"	"	PUNCT
cblr-2931	501	34	pursuant	pursuant	ADJ
cblr-2931	501	35	to	to	ADP
cblr-2931	501	36	federal	federal	ADJ
cblr-2931	501	37	sentencing	sentencing	NOUN
cblr-2931	501	38	guidelines	guideline	NOUN
cblr-2931	501	39	)	)	PUNCT
cblr-2931	501	40	;	;	PUNCT
cblr-2931	501	41	hanly	hanly	ADV
cblr-2931	501	42	v.	v.	ADP
cblr-2931	501	43	sec	sec	PROPN
cblr-2931	501	44	,	,	PUNCT
cblr-2931	501	45	415	415	NUM
cblr-2931	501	46	f.2d	f.2d	SYM
cblr-2931	501	47	589	589	NUM
cblr-2931	501	48	,	,	PUNCT
cblr-2931	501	49	597	597	NUM
cblr-2931	501	50	(	(	PUNCT
cblr-2931	501	51	2d	2d	NUM
cblr-2931	501	52	cir	cir	NOUN
cblr-2931	501	53	.	.	PROPN
cblr-2931	501	54	1969	1969	NUM
cblr-2931	501	55	)	)	PUNCT
cblr-2931	501	56	;	;	PUNCT
cblr-2931	501	57	rolf	rolf	PROPN
cblr-2931	501	58	v.	v.	ADP
cblr-2931	501	59	blyth	blyth	PROPN
cblr-2931	501	60	eastman	eastman	PROPN
cblr-2931	501	61	dillon	dillon	PROPN
cblr-2931	501	62	&	&	CCONJ
cblr-2931	501	63	co.	co.	PROPN
cblr-2931	501	64	,	,	PUNCT
cblr-2931	501	65	424	424	NUM
cblr-2931	501	66	f.	f.	PROPN
cblr-2931	501	67	supp	supp	PROPN
cblr-2931	501	68	.	.	PUNCT
cblr-2931	502	1	1021	1021	NUM
cblr-2931	502	2	,	,	PUNCT
cblr-2931	502	3	1036	1036	NUM
cblr-2931	502	4	(	(	PUNCT
cblr-2931	502	5	s.d.n.y	s.d.n.y	PROPN
cblr-2931	502	6	.	.	PROPN
cblr-2931	502	7	1977	1977	NUM
cblr-2931	502	8	)	)	PUNCT
cblr-2931	503	1	(	(	PUNCT
cblr-2931	503	2	citing	cite	VERB
cblr-2931	503	3	carras	carra	NOUN
cblr-2931	503	4	v.	v.	ADP
cblr-2931	503	5	bums	bum	NOUN
cblr-2931	503	6	,	,	PUNCT
cblr-2931	503	7	516	516	NUM
cblr-2931	503	8	f.2d	f.2d	ADP
cblr-2931	503	9	251	251	NUM
cblr-2931	503	10	,	,	PUNCT
cblr-2931	503	11	258	258	NUM
cblr-2931	503	12	(	(	PUNCT
cblr-2931	503	13	4th	4th	ADJ
cblr-2931	503	14	cir	cir	NOUN
cblr-2931	503	15	.	.	PUNCT
cblr-2931	503	16	1975	1975	NUM
cblr-2931	503	17	)	)	PUNCT
cblr-2931	503	18	)	)	PUNCT
cblr-2931	503	19	;	;	PUNCT
cblr-2931	503	20	moscarelli	moscarelli	PROPN
cblr-2931	503	21	v.	v.	PROPN
cblr-2931	503	22	stamm	stamm	PROPN
cblr-2931	503	23	,	,	PUNCT
cblr-2931	503	24	288	288	NUM
cblr-2931	503	25	f.	f.	PROPN
cblr-2931	503	26	supp	supp	PROPN
cblr-2931	503	27	.	.	PUNCT
cblr-2931	504	1	453	453	NUM
cblr-2931	504	2	(	(	PUNCT
cblr-2931	504	3	e.d.n.y	e.d.n.y	PROPN
cblr-2931	504	4	.	.	NOUN
cblr-2931	504	5	1968	1968	NUM
cblr-2931	504	6	)	)	PUNCT
cblr-2931	504	7	.	.	PUNCT
cblr-2931	505	1	col	col	PROPN
cblr-2931	505	2	umbia	umbia	PROPN
cblr-2931	505	3	b	b	PROPN
cblr-2931	505	4	usiness	usiness	PROPN
cblr-2931	505	5	la	la	PROPN
cblr-2931	505	6	w	w	PROPN
cblr-2931	505	7	re	re	X
cblr-2931	505	8	vie	vie	PROPN
cblr-2931	505	9	w736	w736	PROPN
cblr-2931	506	1	[	[	X
cblr-2931	506	2	vol	vol	NOUN
cblr-2931	506	3	.	.	PUNCT
cblr-2931	506	4	2010	2010	NUM
cblr-2931	506	5	no	no	NOUN
cblr-2931	506	6	.	.	PUNCT
cblr-2931	507	1	3:710	3:710	NUM
cblr-2931	507	2	]	]	PUNCT
cblr-2931	507	3	are	be	AUX
cblr-2931	507	4	existing	exist	VERB
cblr-2931	507	5	stock	stock	NOUN
cblr-2931	507	6	broker	broker	NOUN
cblr-2931	507	7	standards	standard	NOUN
cblr-2931	507	8	sufficient	sufficient	ADJ
cblr-2931	507	9	?	?	PUNCT
cblr-2931	508	1	view.12	view.12	NOUN
cblr-2931	508	2	6	6	NUM
cblr-2931	508	3	for	for	ADP
cblr-2931	508	4	example	example	NOUN
cblr-2931	508	5	,	,	PUNCT
cblr-2931	508	6	since	since	SCONJ
cblr-2931	508	7	a	a	DET
cblr-2931	508	8	brokerage	brokerage	NOUN
cblr-2931	508	9	relationship	relationship	NOUN
cblr-2931	508	10	is	be	AUX
cblr-2931	508	11	a	a	DET
cblr-2931	508	12	principallagent	principallagent	NOUN
cblr-2931	508	13	relationship	relationship	NOUN
cblr-2931	508	14	,	,	PUNCT
cblr-2931	508	15	some	some	DET
cblr-2931	508	16	courts	court	NOUN
cblr-2931	508	17	have	have	AUX
cblr-2931	508	18	recognized	recognize	VERB
cblr-2931	508	19	fiduciary	fiduciary	ADJ
cblr-2931	508	20	duties	duty	NOUN
cblr-2931	508	21	that	that	PRON
cblr-2931	508	22	accompany	accompany	VERB
cblr-2931	508	23	agency	agency	NOUN
cblr-2931	508	24	relationships	relationship	NOUN
cblr-2931	508	25	generally	generally	ADV
cblr-2931	508	26	.	.	PUNCT
cblr-2931	509	1	2	2	NUM
cblr-2931	509	2	1	1	NUM
cblr-2931	509	3	c.	c.	PROPN
cblr-2931	509	4	broker	broker	PROPN
cblr-2931	509	5	-	-	PUNCT
cblr-2931	509	6	dealers	dealer	NOUN
cblr-2931	509	7	'	'	PART
cblr-2931	509	8	fiduciary	fiduciary	ADJ
cblr-2931	509	9	duties	duty	NOUN
cblr-2931	509	10	under	under	ADP
cblr-2931	509	11	current	current	ADJ
cblr-2931	509	12	securities	security	NOUN
cblr-2931	509	13	law	law	NOUN
cblr-2931	509	14	many	many	ADJ
cblr-2931	509	15	times	time	NOUN
cblr-2931	509	16	a	a	DET
cblr-2931	509	17	broker	broker	NOUN
cblr-2931	509	18	-	-	PUNCT
cblr-2931	509	19	dealer	dealer	NOUN
cblr-2931	509	20	does	do	VERB
cblr-2931	509	21	more	more	ADV
cblr-2931	509	22	than	than	SCONJ
cblr-2931	509	23	merely	merely	ADV
cblr-2931	509	24	take	take	VERB
cblr-2931	509	25	an	an	DET
cblr-2931	509	26	order	order	NOUN
cblr-2931	509	27	,	,	PUNCT
cblr-2931	509	28	and	and	CCONJ
cblr-2931	509	29	in	in	ADP
cblr-2931	509	30	such	such	ADJ
cblr-2931	509	31	cases	case	NOUN
cblr-2931	509	32	there	there	PRON
cblr-2931	509	33	are	be	VERB
cblr-2931	509	34	heightened	heighten	VERB
cblr-2931	509	35	obligations	obligation	NOUN
cblr-2931	509	36	.	.	PUNCT
cblr-2931	510	1	126	126	NUM
cblr-2931	510	2	see	see	VERB
cblr-2931	510	3	goodrich	goodrich	PROPN
cblr-2931	510	4	v.	v.	PROPN
cblr-2931	510	5	e.	e.	PROPN
cblr-2931	510	6	f.	f.	PROPN
cblr-2931	510	7	hutton	hutton	PROPN
cblr-2931	510	8	grp	grp	PROPN
cblr-2931	510	9	.	.	PROPN
cblr-2931	510	10	,	,	PUNCT
cblr-2931	510	11	542	542	NUM
cblr-2931	510	12	a.2d	a.2d	SYM
cblr-2931	510	13	1200	1200	NUM
cblr-2931	510	14	,	,	PUNCT
cblr-2931	510	15	1204	1204	NUM
cblr-2931	510	16	(	(	PUNCT
cblr-2931	510	17	del	del	PROPN
cblr-2931	510	18	.	.	PROPN
cblr-2931	510	19	ch	ch	PROPN
cblr-2931	510	20	.	.	PROPN
cblr-2931	510	21	1988	1988	NUM
cblr-2931	510	22	)	)	PUNCT
cblr-2931	511	1	(	(	PUNCT
cblr-2931	511	2	noting	note	VERB
cblr-2931	511	3	that	that	SCONJ
cblr-2931	511	4	stock	stock	NOUN
cblr-2931	511	5	broker	broker	NOUN
cblr-2931	511	6	owes	owe	VERB
cblr-2931	511	7	a	a	DET
cblr-2931	511	8	fiduciary	fiduciary	ADJ
cblr-2931	511	9	duty	duty	NOUN
cblr-2931	511	10	to	to	ADP
cblr-2931	511	11	customers	customer	NOUN
cblr-2931	511	12	)	)	PUNCT
cblr-2931	511	13	;	;	PUNCT
cblr-2931	511	14	mccracken	mccracken	PROPN
cblr-2931	511	15	v.	v.	PROPN
cblr-2931	511	16	edward	edward	PROPN
cblr-2931	511	17	d.	d.	PROPN
cblr-2931	511	18	jones	jones	PROPN
cblr-2931	511	19	&	&	CCONJ
cblr-2931	511	20	co.	co.	PROPN
cblr-2931	511	21	,	,	PUNCT
cblr-2931	511	22	445	445	NUM
cblr-2931	511	23	n.w.2d	n.w.2d	ADP
cblr-2931	511	24	375	375	NUM
cblr-2931	511	25	,	,	PUNCT
cblr-2931	511	26	381	381	NUM
cblr-2931	511	27	(	(	PUNCT
cblr-2931	511	28	iowa	iowa	PROPN
cblr-2931	511	29	ct	ct	PROPN
cblr-2931	511	30	.	.	PUNCT
cblr-2931	511	31	app	app	PROPN
cblr-2931	511	32	.	.	PROPN
cblr-2931	511	33	1989	1989	NUM
cblr-2931	511	34	)	)	PUNCT
cblr-2931	511	35	(	(	PUNCT
cblr-2931	511	36	finding	find	VERB
cblr-2931	511	37	that	that	SCONJ
cblr-2931	511	38	a	a	DET
cblr-2931	511	39	broker	broker	NOUN
cblr-2931	511	40	owed	owe	VERB
cblr-2931	511	41	a	a	DET
cblr-2931	511	42	fiduciary	fiduciary	ADJ
cblr-2931	511	43	duty	duty	NOUN
cblr-2931	511	44	to	to	ADP
cblr-2931	511	45	the	the	DET
cblr-2931	511	46	customer	customer	NOUN
cblr-2931	511	47	because	because	SCONJ
cblr-2931	511	48	of	of	ADP
cblr-2931	511	49	the	the	DET
cblr-2931	511	50	customer	customer	NOUN
cblr-2931	511	51	's	's	PART
cblr-2931	511	52	inexperience	inexperience	NOUN
cblr-2931	511	53	)	)	PUNCT
cblr-2931	511	54	;	;	PUNCT
cblr-2931	512	1	byrley	byrley	ADP
cblr-2931	512	2	v.	v.	ADP
cblr-2931	512	3	nationwide	nationwide	ADJ
cblr-2931	512	4	life	life	NOUN
cblr-2931	512	5	ins	ins	PROPN
cblr-2931	512	6	.	.	PUNCT
cblr-2931	512	7	co.	co.	PROPN
cblr-2931	512	8	,	,	PUNCT
cblr-2931	512	9	640	640	NUM
cblr-2931	512	10	n.e.2d	n.e.2d	NOUN
cblr-2931	512	11	187	187	NUM
cblr-2931	512	12	,	,	PUNCT
cblr-2931	512	13	198	198	NUM
cblr-2931	512	14	(	(	PUNCT
cblr-2931	512	15	ohio	ohio	PROPN
cblr-2931	512	16	ct	ct	PROPN
cblr-2931	512	17	.	.	PUNCT
cblr-2931	512	18	app	app	PROPN
cblr-2931	512	19	.	.	PROPN
cblr-2931	512	20	1994	1994	NUM
cblr-2931	512	21	)	)	PUNCT
cblr-2931	512	22	(	(	PUNCT
cblr-2931	512	23	"	"	PUNCT
cblr-2931	512	24	a	a	DET
cblr-2931	512	25	broker	broker	NOUN
cblr-2931	512	26	and	and	CCONJ
cblr-2931	512	27	client	client	NOUN
cblr-2931	512	28	are	be	AUX
cblr-2931	512	29	in	in	ADP
cblr-2931	512	30	a	a	DET
cblr-2931	512	31	fiduciary	fiduciary	ADJ
cblr-2931	512	32	relationship	relationship	NOUN
cblr-2931	512	33	and	and	CCONJ
cblr-2931	512	34	,	,	PUNCT
cblr-2931	512	35	therefore	therefore	ADV
cblr-2931	512	36	,	,	PUNCT
cblr-2931	512	37	the	the	DET
cblr-2931	512	38	broker	broker	NOUN
cblr-2931	512	39	owes	owe	VERB
cblr-2931	512	40	the	the	DET
cblr-2931	512	41	client	client	NOUN
cblr-2931	512	42	a	a	DET
cblr-2931	512	43	duty	duty	NOUN
cblr-2931	512	44	to	to	PART
cblr-2931	512	45	disclose	disclose	VERB
cblr-2931	512	46	material	material	NOUN
cblr-2931	512	47	information	information	NOUN
cblr-2931	512	48	concerning	concern	VERB
cblr-2931	512	49	investments	investment	NOUN
cblr-2931	512	50	.	.	PUNCT
cblr-2931	512	51	"	"	PUNCT
cblr-2931	512	52	)	)	PUNCT
cblr-2931	512	53	;	;	PUNCT
cblr-2931	512	54	see	see	VERB
cblr-2931	512	55	also	also	ADV
cblr-2931	512	56	paine	paine	PROPN
cblr-2931	512	57	,	,	PUNCT
cblr-2931	512	58	webber	webber	PROPN
cblr-2931	512	59	,	,	PUNCT
cblr-2931	512	60	jackson	jackson	PROPN
cblr-2931	512	61	,	,	PUNCT
cblr-2931	512	62	and	and	CCONJ
cblr-2931	512	63	curtis	curtis	PROPN
cblr-2931	512	64	,	,	PUNCT
cblr-2931	512	65	inc	inc	PROPN
cblr-2931	512	66	.	.	PROPN
cblr-2931	513	1	v.	v.	PROPN
cblr-2931	513	2	adams	adams	PROPN
cblr-2931	513	3	718	718	NUM
cblr-2931	513	4	p.2d	p.2d	NUM
cblr-2931	513	5	508	508	NUM
cblr-2931	513	6	,	,	PUNCT
cblr-2931	513	7	515	515	NUM
cblr-2931	513	8	-	-	SYM
cblr-2931	513	9	17	17	NUM
cblr-2931	513	10	(	(	PUNCT
cblr-2931	513	11	colo	colo	PROPN
cblr-2931	513	12	.	.	PROPN
cblr-2931	513	13	1986	1986	NUM
cblr-2931	513	14	)	)	PUNCT
cblr-2931	513	15	(	(	PUNCT
cblr-2931	513	16	discussing	discuss	VERB
cblr-2931	513	17	different	different	ADJ
cblr-2931	513	18	courts	court	NOUN
cblr-2931	513	19	'	'	PART
cblr-2931	513	20	tests	test	NOUN
cblr-2931	513	21	to	to	PART
cblr-2931	513	22	discern	discern	VERB
cblr-2931	513	23	whether	whether	SCONJ
cblr-2931	513	24	a	a	DET
cblr-2931	513	25	fiduciary	fiduciary	ADJ
cblr-2931	513	26	relationship	relationship	NOUN
cblr-2931	513	27	existed	exist	VERB
cblr-2931	513	28	between	between	ADP
cblr-2931	513	29	stockbrokers	stockbroker	NOUN
cblr-2931	513	30	and	and	CCONJ
cblr-2931	513	31	customers	customer	NOUN
cblr-2931	513	32	)	)	PUNCT
cblr-2931	513	33	.	.	PUNCT
cblr-2931	514	1	127	127	NUM
cblr-2931	514	2	see	see	NOUN
cblr-2931	514	3	,	,	PUNCT
cblr-2931	514	4	e.g.	e.g.	ADV
cblr-2931	514	5	,	,	PUNCT
cblr-2931	514	6	glisson	glisson	NOUN
cblr-2931	514	7	v.	v.	CCONJ
cblr-2931	514	8	freeman	freeman	PROPN
cblr-2931	514	9	,	,	PUNCT
cblr-2931	514	10	532	532	NUM
cblr-2931	514	11	s.e.2d	s.e.2d	NUM
cblr-2931	514	12	442	442	NUM
cblr-2931	514	13	,	,	PUNCT
cblr-2931	514	14	449	449	NUM
cblr-2931	514	15	(	(	PUNCT
cblr-2931	514	16	ga	ga	PROPN
cblr-2931	514	17	.	.	PROPN
cblr-2931	515	1	ct	ct	PROPN
cblr-2931	515	2	.	.	PUNCT
cblr-2931	516	1	app	app	PROPN
cblr-2931	516	2	.	.	PROPN
cblr-2931	516	3	2000	2000	NUM
cblr-2931	516	4	)	)	PUNCT
cblr-2931	517	1	(	(	PUNCT
cblr-2931	517	2	"	"	PUNCT
cblr-2931	517	3	a	a	DET
cblr-2931	517	4	stockbroker	stockbroker	NOUN
cblr-2931	517	5	's	's	PART
cblr-2931	517	6	duty	duty	NOUN
cblr-2931	517	7	to	to	PART
cblr-2931	517	8	account	account	VERB
cblr-2931	517	9	to	to	ADP
cblr-2931	517	10	its	its	PRON
cblr-2931	517	11	customer	customer	NOUN
cblr-2931	517	12	is	be	AUX
cblr-2931	517	13	fiduciary	fiduciary	ADJ
cblr-2931	517	14	in	in	ADP
cblr-2931	517	15	nature	nature	NOUN
cblr-2931	517	16	,	,	PUNCT
cblr-2931	517	17	so	so	SCONJ
cblr-2931	517	18	that	that	SCONJ
cblr-2931	517	19	the	the	DET
cblr-2931	517	20	broker	broker	NOUN
cblr-2931	517	21	is	be	AUX
cblr-2931	517	22	obligated	obligate	VERB
cblr-2931	517	23	to	to	PART
cblr-2931	517	24	exercise	exercise	VERB
cblr-2931	517	25	the	the	DET
cblr-2931	517	26	utmost	utmost	ADJ
cblr-2931	517	27	good	good	ADJ
cblr-2931	517	28	faith	faith	NOUN
cblr-2931	517	29	...	...	PUNCT
cblr-2931	517	30	.	.	PUNCT
cblr-2931	518	1	[	[	X
cblr-2931	518	2	ilt	ilt	NOUN
cblr-2931	518	3	is	be	AUX
cblr-2931	518	4	the	the	DET
cblr-2931	518	5	agent	agent	NOUN
cblr-2931	518	6	's	's	PART
cblr-2931	518	7	duty	duty	NOUN
cblr-2931	518	8	to	to	PART
cblr-2931	518	9	make	make	VERB
cblr-2931	518	10	known	known	ADJ
cblr-2931	518	11	to	to	ADP
cblr-2931	518	12	the	the	DET
cblr-2931	518	13	principal	principal	NOUN
cblr-2931	518	14	all	all	DET
cblr-2931	518	15	material	material	NOUN
cblr-2931	518	16	facts	fact	NOUN
cblr-2931	518	17	which	which	PRON
cblr-2931	518	18	concern	concern	VERB
cblr-2931	518	19	the	the	DET
cblr-2931	518	20	transactions	transaction	NOUN
cblr-2931	518	21	and	and	CCONJ
cblr-2931	518	22	subject	subject	ADJ
cblr-2931	518	23	matter	matter	NOUN
cblr-2931	518	24	of	of	ADP
cblr-2931	518	25	his	his	PRON
cblr-2931	518	26	agency	agency	NOUN
cblr-2931	518	27	.	.	PUNCT
cblr-2931	518	28	"	"	PUNCT
cblr-2931	519	1	(	(	PUNCT
cblr-2931	519	2	quoting	quote	VERB
cblr-2931	519	3	minor	minor	ADJ
cblr-2931	519	4	v.	v.	ADP
cblr-2931	519	5	e.f	e.f	PROPN
cblr-2931	519	6	.	.	PROPN
cblr-2931	519	7	hutton	hutton	PROPN
cblr-2931	519	8	&	&	CCONJ
cblr-2931	519	9	co.	co.	PROPN
cblr-2931	519	10	,	,	PUNCT
cblr-2931	519	11	409	409	NUM
cblr-2931	519	12	s.e.2d	s.e.2d	NUM
cblr-2931	519	13	262	262	NUM
cblr-2931	519	14	,	,	PUNCT
cblr-2931	519	15	264	264	NUM
cblr-2931	519	16	(	(	PUNCT
cblr-2931	519	17	ga	ga	PROPN
cblr-2931	519	18	.	.	PROPN
cblr-2931	520	1	ct	ct	PROPN
cblr-2931	520	2	.	.	PUNCT
cblr-2931	521	1	app	app	PROPN
cblr-2931	521	2	.	.	PROPN
cblr-2931	521	3	1991	1991	NUM
cblr-2931	521	4	)	)	PUNCT
cblr-2931	521	5	)	)	PUNCT
cblr-2931	521	6	)	)	PUNCT
cblr-2931	521	7	.	.	PUNCT
cblr-2931	522	1	as	as	SCONJ
cblr-2931	522	2	the	the	DET
cblr-2931	522	3	delaware	delaware	PROPN
cblr-2931	522	4	supreme	supreme	PROPN
cblr-2931	522	5	court	court	PROPN
cblr-2931	522	6	observed	observe	VERB
cblr-2931	522	7	,	,	PUNCT
cblr-2931	522	8	the	the	DET
cblr-2931	522	9	relationship	relationship	NOUN
cblr-2931	522	10	between	between	ADP
cblr-2931	522	11	a	a	DET
cblr-2931	522	12	customer	customer	NOUN
cblr-2931	522	13	and	and	CCONJ
cblr-2931	522	14	stock	stock	NOUN
cblr-2931	522	15	-	-	PUNCT
cblr-2931	522	16	broker	broker	NOUN
cblr-2931	522	17	is	be	AUX
cblr-2931	522	18	that	that	PRON
cblr-2931	522	19	of	of	ADP
cblr-2931	522	20	principal	principal	NOUN
cblr-2931	522	21	and	and	CCONJ
cblr-2931	522	22	agent	agent	NOUN
cblr-2931	522	23	.	.	PUNCT
cblr-2931	523	1	the	the	DET
cblr-2931	523	2	broker	broker	NOUN
cblr-2931	523	3	,	,	PUNCT
cblr-2931	523	4	as	as	ADP
cblr-2931	523	5	agent	agent	NOUN
cblr-2931	523	6	,	,	PUNCT
cblr-2931	523	7	has	have	VERB
cblr-2931	523	8	a	a	DET
cblr-2931	523	9	duty	duty	NOUN
cblr-2931	523	10	to	to	PART
cblr-2931	523	11	carry	carry	VERB
cblr-2931	523	12	out	out	ADP
cblr-2931	523	13	the	the	DET
cblr-2931	523	14	customer	customer	NOUN
cblr-2931	523	15	's	's	PART
cblr-2931	523	16	instructions	instruction	NOUN
cblr-2931	523	17	promptly	promptly	ADV
cblr-2931	523	18	and	and	CCONJ
cblr-2931	523	19	accurately	accurately	ADV
cblr-2931	523	20	.	.	PUNCT
cblr-2931	524	1	in	in	ADP
cblr-2931	524	2	addition	addition	NOUN
cblr-2931	524	3	,	,	PUNCT
cblr-2931	524	4	the	the	DET
cblr-2931	524	5	broker	broker	NOUN
cblr-2931	524	6	must	must	AUX
cblr-2931	524	7	act	act	VERB
cblr-2931	524	8	in	in	ADP
cblr-2931	524	9	the	the	DET
cblr-2931	524	10	customer	customer	NOUN
cblr-2931	524	11	's	's	PART
cblr-2931	524	12	best	good	ADJ
cblr-2931	524	13	interests	interest	NOUN
cblr-2931	524	14	and	and	CCONJ
cblr-2931	524	15	must	must	AUX
cblr-2931	524	16	refrain	refrain	VERB
cblr-2931	524	17	from	from	ADP
cblr-2931	524	18	selfdealing	selfdeale	VERB
cblr-2931	524	19	unless	unless	SCONJ
cblr-2931	524	20	the	the	DET
cblr-2931	524	21	customer	customer	NOUN
cblr-2931	524	22	consents	consent	VERB
cblr-2931	524	23	,	,	PUNCT
cblr-2931	524	24	after	after	ADP
cblr-2931	524	25	full	full	ADJ
cblr-2931	524	26	disclosure	disclosure	NOUN
cblr-2931	524	27	.	.	PUNCT
cblr-2931	525	1	these	these	DET
cblr-2931	525	2	obligations	obligation	NOUN
cblr-2931	525	3	at	at	ADP
cblr-2931	525	4	times	time	NOUN
cblr-2931	525	5	are	be	AUX
cblr-2931	525	6	described	describe	VERB
cblr-2931	525	7	as	as	ADP
cblr-2931	525	8	fiduciary	fiduciary	ADJ
cblr-2931	525	9	duties	duty	NOUN
cblr-2931	525	10	of	of	ADP
cblr-2931	525	11	good	good	ADJ
cblr-2931	525	12	faith	faith	NOUN
cblr-2931	525	13	,	,	PUNCT
cblr-2931	525	14	fair	fair	ADJ
cblr-2931	525	15	dealing	dealing	NOUN
cblr-2931	525	16	,	,	PUNCT
cblr-2931	525	17	and	and	CCONJ
cblr-2931	525	18	loyalty	loyalty	NOUN
cblr-2931	525	19	.	.	PUNCT
cblr-2931	526	1	they	they	PRON
cblr-2931	526	2	are	be	AUX
cblr-2931	526	3	comparable	comparable	ADJ
cblr-2931	526	4	to	to	ADP
cblr-2931	526	5	the	the	DET
cblr-2931	526	6	fiduciary	fiduciary	ADJ
cblr-2931	526	7	duties	duty	NOUN
cblr-2931	526	8	of	of	ADP
cblr-2931	526	9	corporate	corporate	ADJ
cblr-2931	526	10	directors	director	NOUN
cblr-2931	526	11	,	,	PUNCT
cblr-2931	526	12	and	and	CCONJ
cblr-2931	526	13	are	be	AUX
cblr-2931	526	14	limited	limit	VERB
cblr-2931	526	15	only	only	ADV
cblr-2931	526	16	by	by	ADP
cblr-2931	526	17	the	the	DET
cblr-2931	526	18	scope	scope	NOUN
cblr-2931	526	19	of	of	ADP
cblr-2931	526	20	the	the	DET
cblr-2931	526	21	agency	agency	NOUN
cblr-2931	526	22	.	.	PUNCT
cblr-2931	527	1	o'malley	o'malley	PROPN
cblr-2931	527	2	v.	v.	PROPN
cblr-2931	527	3	boris	boris	PROPN
cblr-2931	527	4	,	,	PUNCT
cblr-2931	527	5	742	742	NUM
cblr-2931	527	6	a.2d	a.2d	SYM
cblr-2931	527	7	845	845	NUM
cblr-2931	527	8	,	,	PUNCT
cblr-2931	527	9	849	849	NUM
cblr-2931	527	10	(	(	PUNCT
cblr-2931	527	11	del	del	PROPN
cblr-2931	527	12	.	.	NOUN
cblr-2931	527	13	1999	1999	NUM
cblr-2931	527	14	)	)	PUNCT
cblr-2931	527	15	;	;	PUNCT
cblr-2931	527	16	see	see	VERB
cblr-2931	527	17	also	also	ADV
cblr-2931	527	18	,	,	PUNCT
cblr-2931	527	19	e.g.	e.g.	ADV
cblr-2931	527	20	,	,	PUNCT
cblr-2931	527	21	merrill	merrill	PROPN
cblr-2931	527	22	lynch	lynch	PROPN
cblr-2931	527	23	pierce	pierce	PROPN
cblr-2931	527	24	fenner	fenner	PROPN
cblr-2931	527	25	&	&	CCONJ
cblr-2931	527	26	smith	smith	PROPN
cblr-2931	527	27	,	,	PUNCT
cblr-2931	527	28	inc	inc	PROPN
cblr-2931	527	29	.	.	PROPN
cblr-2931	528	1	v.	v.	PROPN
cblr-2931	528	2	cheng	cheng	PROPN
cblr-2931	528	3	,	,	PUNCT
cblr-2931	528	4	901	901	NUM
cblr-2931	528	5	f.2d	f.2d	NUM
cblr-2931	528	6	1124	1124	NUM
cblr-2931	528	7	(	(	PUNCT
cblr-2931	528	8	d.c	d.c	PROPN
cblr-2931	528	9	.	.	PROPN
cblr-2931	528	10	cir	cir	PROPN
cblr-2931	528	11	.	.	PROPN
cblr-2931	528	12	1990	1990	NUM
cblr-2931	528	13	)	)	PUNCT
cblr-2931	528	14	;	;	PUNCT
cblr-2931	529	1	huppman	huppman	NOUN
cblr-2931	529	2	v.	v.	CCONJ
cblr-2931	529	3	tighe	tighe	PROPN
cblr-2931	529	4	,	,	PUNCT
cblr-2931	529	5	642	642	NUM
cblr-2931	529	6	a.2d	a.2d	NUM
cblr-2931	529	7	309	309	NUM
cblr-2931	529	8	(	(	PUNCT
cblr-2931	529	9	md	md	PROPN
cblr-2931	529	10	.	.	PROPN
cblr-2931	529	11	app	app	PROPN
cblr-2931	529	12	.	.	PROPN
cblr-2931	529	13	1994	1994	NUM
cblr-2931	529	14	)	)	PUNCT
cblr-2931	529	15	;	;	PUNCT
cblr-2931	529	16	stavaridis	stavaridi	NOUN
cblr-2931	529	17	v.	v.	ADP
cblr-2931	529	18	dynamic	dynamic	ADJ
cblr-2931	529	19	mach	mach	NOUN
cblr-2931	529	20	.	.	PUNCT
cblr-2931	530	1	works	works	PROPN
cblr-2931	530	2	,	,	PUNCT
cblr-2931	530	3	inc	inc	PROPN
cblr-2931	530	4	.	.	PROPN
cblr-2931	530	5	,	,	PUNCT
cblr-2931	530	6	1994	1994	NUM
cblr-2931	530	7	wl	wl	NOUN
cblr-2931	530	8	879484	879484	NUM
cblr-2931	530	9	,	,	PUNCT
cblr-2931	530	10	2	2	NUM
cblr-2931	530	11	mass	mass	NOUN
cblr-2931	530	12	.	.	PUNCT
cblr-2931	531	1	l.	l.	PROPN
cblr-2931	531	2	rptr	rptr	PROPN
cblr-2931	531	3	.	.	PUNCT
cblr-2931	532	1	446	446	NUM
cblr-2931	532	2	(	(	PUNCT
cblr-2931	532	3	mass	mass	PROPN
cblr-2931	532	4	.	.	PUNCT
cblr-2931	532	5	super	super	PROPN
cblr-2931	532	6	.	.	PROPN
cblr-2931	532	7	1994	1994	NUM
cblr-2931	532	8	)	)	PUNCT
cblr-2931	532	9	.	.	PUNCT
cblr-2931	533	1	737	737	NUM
cblr-2931	533	2	when	when	SCONJ
cblr-2931	533	3	a	a	DET
cblr-2931	533	4	broker	broker	NOUN
cblr-2931	533	5	acts	act	VERB
cblr-2931	533	6	as	as	ADP
cblr-2931	533	7	a	a	DET
cblr-2931	533	8	mere	mere	ADJ
cblr-2931	533	9	order	order	NOUN
cblr-2931	533	10	taker	taker	NOUN
cblr-2931	533	11	,	,	PUNCT
cblr-2931	533	12	most	most	ADJ
cblr-2931	533	13	courts	court	NOUN
cblr-2931	533	14	say	say	VERB
cblr-2931	533	15	that	that	SCONJ
cblr-2931	533	16	the	the	DET
cblr-2931	533	17	only	only	ADJ
cblr-2931	533	18	duty	duty	NOUN
cblr-2931	533	19	is	be	AUX
cblr-2931	533	20	to	to	PART
cblr-2931	533	21	find	find	VERB
cblr-2931	533	22	the	the	DET
cblr-2931	533	23	best	good	ADJ
cblr-2931	533	24	and	and	CCONJ
cblr-2931	533	25	most	most	ADV
cblr-2931	533	26	prompt	prompt	ADJ
cblr-2931	533	27	execution	execution	NOUN
cblr-2931	533	28	for	for	ADP
cblr-2931	533	29	that	that	DET
cblr-2931	533	30	order	order	NOUN
cblr-2931	533	31	.	.	PUNCT
cblr-2931	534	1	28	28	NUM
cblr-2931	534	2	where	where	SCONJ
cblr-2931	534	3	the	the	DET
cblr-2931	534	4	broker	broker	NOUN
cblr-2931	534	5	performs	perform	VERB
cblr-2931	534	6	additional	additional	ADJ
cblr-2931	534	7	functions	function	NOUN
cblr-2931	534	8	,	,	PUNCT
cblr-2931	534	9	fiduciary	fiduciary	ADJ
cblr-2931	534	10	obligations	obligation	NOUN
cblr-2931	534	11	may	may	AUX
cblr-2931	534	12	exist	exist	VERB
cblr-2931	534	13	.	.	PUNCT
cblr-2931	535	1	'29	'29	NUM
cblr-2931	535	2	for	for	ADP
cblr-2931	535	3	example	example	NOUN
cblr-2931	535	4	,	,	PUNCT
cblr-2931	535	5	when	when	SCONJ
cblr-2931	535	6	a	a	DET
cblr-2931	535	7	broker	broker	NOUN
cblr-2931	535	8	has	have	VERB
cblr-2931	535	9	discretion	discretion	NOUN
cblr-2931	535	10	with	with	ADP
cblr-2931	535	11	respect	respect	NOUN
cblr-2931	535	12	to	to	ADP
cblr-2931	535	13	executing	execute	VERB
cblr-2931	535	14	transactions	transaction	NOUN
cblr-2931	535	15	,	,	PUNCT
cblr-2931	535	16	the	the	DET
cblr-2931	535	17	broker	broker	NOUN
cblr-2931	535	18	is	be	AUX
cblr-2931	535	19	a	a	DET
cblr-2931	535	20	fiduciary	fiduciary	NOUN
cblr-2931	535	21	.	.	PUNCT
cblr-2931	536	1	3	3	NUM
cblr-2931	536	2	o	o	NOUN
cblr-2931	536	3	similarly	similarly	ADV
cblr-2931	536	4	,	,	PUNCT
cblr-2931	536	5	when	when	SCONJ
cblr-2931	536	6	a	a	DET
cblr-2931	536	7	broker	broker	NOUN
cblr-2931	536	8	recommends	recommend	VERB
cblr-2931	536	9	securities	security	NOUN
cblr-2931	536	10	or	or	CCONJ
cblr-2931	536	11	transactions	transaction	NOUN
cblr-2931	536	12	,	,	PUNCT
cblr-2931	536	13	heightened	heighten	VERB
cblr-2931	536	14	duties	duty	NOUN
cblr-2931	536	15	apply	apply	VERB
cblr-2931	536	16	.	.	PUNCT
cblr-2931	537	1	"1	"1	NOUN
cblr-2931	537	2	this	this	PRON
cblr-2931	537	3	parallels	parallel	VERB
cblr-2931	537	4	the	the	DET
cblr-2931	537	5	development	development	NOUN
cblr-2931	537	6	of	of	ADP
cblr-2931	537	7	fiduciary	fiduciary	ADJ
cblr-2931	537	8	duties	duty	NOUN
cblr-2931	537	9	under	under	ADP
cblr-2931	537	10	the	the	DET
cblr-2931	537	11	investment	investment	NOUN
cblr-2931	537	12	advisers	adviser	NOUN
cblr-2931	537	13	act	act	VERB
cblr-2931	537	14	that	that	PRON
cblr-2931	537	15	arose	arise	VERB
cblr-2931	537	16	from	from	ADP
cblr-2931	537	17	judicial	judicial	ADJ
cblr-2931	537	18	interpretation	interpretation	NOUN
cblr-2931	537	19	rather	rather	ADV
cblr-2931	537	20	than	than	ADP
cblr-2931	537	21	the	the	DET
cblr-2931	537	22	language	language	NOUN
cblr-2931	537	23	of	of	ADP
cblr-2931	537	24	the	the	DET
cblr-2931	537	25	act	act	NOUN
cblr-2931	537	26	.	.	PUNCT
cblr-2931	538	1	"2	"2	VERB
cblr-2931	538	2	what	what	PRON
cblr-2931	538	3	is	be	AUX
cblr-2931	538	4	the	the	DET
cblr-2931	538	5	practical	practical	ADJ
cblr-2931	538	6	consequence	consequence	NOUN
cblr-2931	538	7	of	of	ADP
cblr-2931	538	8	applying	apply	VERB
cblr-2931	538	9	fiduciary	fiduciary	ADJ
cblr-2931	538	10	obligations	obligation	NOUN
cblr-2931	538	11	to	to	ADP
cblr-2931	538	12	broker	broker	NOUN
cblr-2931	538	13	-	-	PUNCT
cblr-2931	538	14	dealer	dealer	NOUN
cblr-2931	538	15	conduct	conduct	NOUN
cblr-2931	538	16	?	?	PUNCT
cblr-2931	539	1	when	when	SCONJ
cblr-2931	539	2	a	a	DET
cblr-2931	539	3	fiduciary	fiduciary	ADJ
cblr-2931	539	4	duty	duty	NOUN
cblr-2931	539	5	exists	exist	VERB
cblr-2931	539	6	,	,	PUNCT
cblr-2931	539	7	a	a	DET
cblr-2931	539	8	broker	broker	NOUN
cblr-2931	539	9	will	will	AUX
cblr-2931	539	10	be	be	AUX
cblr-2931	539	11	subject	subject	ADJ
cblr-2931	539	12	to	to	ADP
cblr-2931	539	13	heightened	heighten	VERB
cblr-2931	539	14	disclosure	disclosure	NOUN
cblr-2931	539	15	requirements	requirement	NOUN
cblr-2931	539	16	.	.	PUNCT
cblr-2931	540	1	"	"	PUNCT
cblr-2931	540	2	'	'	PUNCT
cblr-2931	540	3	fiduciary	fiduciary	ADJ
cblr-2931	540	4	duties	duty	NOUN
cblr-2931	540	5	can	can	AUX
cblr-2931	540	6	also	also	ADV
cblr-2931	540	7	result	result	VERB
cblr-2931	540	8	in	in	ADP
cblr-2931	540	9	implied	imply	VERB
cblr-2931	540	10	"	"	PUNCT
cblr-2931	540	11	for	for	ADP
cblr-2931	540	12	a	a	DET
cblr-2931	540	13	description	description	NOUN
cblr-2931	540	14	of	of	ADP
cblr-2931	540	15	the	the	DET
cblr-2931	540	16	"	"	PUNCT
cblr-2931	540	17	duty	duty	NOUN
cblr-2931	540	18	of	of	ADP
cblr-2931	540	19	best	good	ADJ
cblr-2931	540	20	execution	execution	NOUN
cblr-2931	540	21	,	,	PUNCT
cblr-2931	540	22	"	"	PUNCT
cblr-2931	540	23	see	see	VERB
cblr-2931	540	24	newton	newton	PROPN
cblr-2931	540	25	v.	v.	ADP
cblr-2931	540	26	merrill	merrill	PROPN
cblr-2931	540	27	,	,	PUNCT
cblr-2931	540	28	lynch	lynch	PROPN
cblr-2931	540	29	,	,	PUNCT
cblr-2931	540	30	pierce	pierce	PROPN
cblr-2931	540	31	,	,	PUNCT
cblr-2931	540	32	fenner	fenner	PROPN
cblr-2931	540	33	&	&	CCONJ
cblr-2931	540	34	smith	smith	PROPN
cblr-2931	540	35	,	,	PUNCT
cblr-2931	540	36	inc	inc	PROPN
cblr-2931	540	37	.	.	PROPN
cblr-2931	540	38	,	,	PUNCT
cblr-2931	540	39	135	135	NUM
cblr-2931	540	40	f.3d	f.3d	NUM
cblr-2931	540	41	266	266	NUM
cblr-2931	540	42	,	,	PUNCT
cblr-2931	540	43	270	270	NUM
cblr-2931	540	44	(	(	PUNCT
cblr-2931	540	45	3d	3d	NUM
cblr-2931	540	46	cir	cir	NOUN
cblr-2931	540	47	.	.	PUNCT
cblr-2931	540	48	1998	1998	NUM
cblr-2931	540	49	)	)	PUNCT
cblr-2931	540	50	.	.	PUNCT
cblr-2931	541	1	1	1	X
cblr-2931	541	2	"	"	PUNCT
cblr-2931	541	3	see	see	VERB
cblr-2931	541	4	,	,	PUNCT
cblr-2931	541	5	e.g.	e.g.	ADV
cblr-2931	541	6	,	,	PUNCT
cblr-2931	541	7	donald	donald	PROPN
cblr-2931	541	8	c.	c.	PROPN
cblr-2931	541	9	langevoort	langevoort	PROPN
cblr-2931	541	10	,	,	PUNCT
cblr-2931	541	11	brokers	broker	NOUN
cblr-2931	541	12	as	as	ADP
cblr-2931	541	13	fiduciaries	fiduciary	NOUN
cblr-2931	541	14	,	,	PUNCT
cblr-2931	541	15	71	71	NUM
cblr-2931	541	16	u.	u.	NOUN
cblr-2931	541	17	pirr	pirr	PROPN
cblr-2931	541	18	.	.	PUNCT
cblr-2931	542	1	l.	l.	PROPN
cblr-2931	542	2	rev	rev	PROPN
cblr-2931	542	3	.	.	PROPN
cblr-2931	543	1	439	439	NUM
cblr-2931	543	2	(	(	PUNCT
cblr-2931	543	3	2010	2010	NUM
cblr-2931	543	4	)	)	PUNCT
cblr-2931	544	1	(	(	PUNCT
cblr-2931	544	2	discussing	discuss	VERB
cblr-2931	544	3	distinctions	distinction	NOUN
cblr-2931	544	4	between	between	ADP
cblr-2931	544	5	fiduciary	fiduciary	ADJ
cblr-2931	544	6	obligations	obligation	NOUN
cblr-2931	544	7	of	of	ADP
cblr-2931	544	8	brokers	broker	NOUN
cblr-2931	544	9	and	and	CCONJ
cblr-2931	544	10	investment	investment	NOUN
cblr-2931	544	11	advisors	advisor	NOUN
cblr-2931	544	12	)	)	PUNCT
cblr-2931	544	13	;	;	PUNCT
cblr-2931	544	14	steven	steven	PROPN
cblr-2931	544	15	d.	d.	PROPN
cblr-2931	544	16	irwin	irwin	PROPN
cblr-2931	544	17	,	,	PUNCT
cblr-2931	544	18	was	be	AUX
cblr-2931	544	19	n't	not	PART
cblr-2931	544	20	my	my	PRON
cblr-2931	544	21	broker	broker	NOUN
cblr-2931	544	22	always	always	ADV
cblr-2931	544	23	looking	look	VERB
cblr-2931	544	24	out	out	ADP
cblr-2931	544	25	for	for	ADP
cblr-2931	544	26	my	my	PRON
cblr-2931	544	27	best	good	ADJ
cblr-2931	544	28	interests	interest	NOUN
cblr-2931	544	29	?	?	PUNCT
cblr-2931	545	1	the	the	DET
cblr-2931	545	2	road	road	NOUN
cblr-2931	545	3	to	to	PART
cblr-2931	545	4	become	become	VERB
cblr-2931	545	5	a	a	DET
cblr-2931	545	6	fiduciary	fiduciary	ADJ
cblr-2931	545	7	,	,	PUNCT
cblr-2931	545	8	12	12	NUM
cblr-2931	545	9	duq	duq	NOUN
cblr-2931	545	10	.	.	PUNCT
cblr-2931	546	1	bus	bus	NOUN
cblr-2931	546	2	.	.	PUNCT
cblr-2931	547	1	l.j	l.j	PROPN
cblr-2931	547	2	.	.	PROPN
cblr-2931	548	1	41	41	NUM
cblr-2931	549	1	(	(	PUNCT
cblr-2931	549	2	2009	2009	NUM
cblr-2931	549	3	)	)	PUNCT
cblr-2931	550	1	(	(	PUNCT
cblr-2931	550	2	discussing	discuss	VERB
cblr-2931	550	3	broker	broker	NOUN
cblr-2931	550	4	investment	investment	NOUN
cblr-2931	550	5	advisors	advisor	NOUN
cblr-2931	550	6	'	'	PART
cblr-2931	550	7	fiduciary	fiduciary	ADJ
cblr-2931	550	8	duties	duty	NOUN
cblr-2931	550	9	versus	versus	ADP
cblr-2931	550	10	brokers	broker	NOUN
cblr-2931	550	11	'	'	PART
cblr-2931	550	12	suitability	suitability	NOUN
cblr-2931	550	13	standards	standard	NOUN
cblr-2931	550	14	)	)	PUNCT
cblr-2931	550	15	.	.	PUNCT
cblr-2931	551	1	1.0	1.0	NUM
cblr-2931	551	2	see	see	VERB
cblr-2931	551	3	,	,	PUNCT
cblr-2931	551	4	e.g.	e.g.	ADV
cblr-2931	551	5	,	,	PUNCT
cblr-2931	551	6	sec	sec	PROPN
cblr-2931	551	7	v.	v.	PROPN
cblr-2931	551	8	pasternak	pasternak	PROPN
cblr-2931	551	9	,	,	PUNCT
cblr-2931	551	10	561	561	NUM
cblr-2931	551	11	f.	f.	NOUN
cblr-2931	551	12	supp.2d	supp.2d	PROPN
cblr-2931	551	13	459	459	NUM
cblr-2931	551	14	,	,	PUNCT
cblr-2931	551	15	499	499	NUM
cblr-2931	551	16	(	(	PUNCT
cblr-2931	551	17	d.n.j	d.n.j	PROPN
cblr-2931	551	18	.	.	PROPN
cblr-2931	551	19	2007	2007	NUM
cblr-2931	551	20	)	)	PUNCT
cblr-2931	551	21	(	(	PUNCT
cblr-2931	551	22	acknowledging	acknowledge	VERB
cblr-2931	551	23	"	"	PUNCT
cblr-2931	551	24	the	the	DET
cblr-2931	551	25	weight	weight	NOUN
cblr-2931	551	26	of	of	ADP
cblr-2931	551	27	the	the	DET
cblr-2931	551	28	authority	authority	NOUN
cblr-2931	551	29	to	to	PART
cblr-2931	551	30	hold	hold	VERB
cblr-2931	551	31	that	that	SCONJ
cblr-2931	551	32	a	a	DET
cblr-2931	551	33	broker	broker	NOUN
cblr-2931	551	34	is	be	AUX
cblr-2931	551	35	in	in	ADP
cblr-2931	551	36	a	a	DET
cblr-2931	551	37	fiduciary	fiduciary	ADJ
cblr-2931	551	38	relationship	relationship	NOUN
cblr-2931	551	39	with	with	ADP
cblr-2931	551	40	a	a	DET
cblr-2931	551	41	client	client	NOUN
cblr-2931	551	42	,	,	PUNCT
cblr-2931	551	43	where	where	SCONJ
cblr-2931	551	44	that	that	DET
cblr-2931	551	45	client	client	NOUN
cblr-2931	551	46	maintains	maintain	VERB
cblr-2931	551	47	an	an	DET
cblr-2931	551	48	account	account	NOUN
cblr-2931	551	49	with	with	ADP
cblr-2931	551	50	the	the	DET
cblr-2931	551	51	broker	broker	NOUN
cblr-2931	551	52	in	in	ADP
cblr-2931	551	53	which	which	PRON
cblr-2931	551	54	the	the	DET
cblr-2931	551	55	broker	broker	NOUN
cblr-2931	551	56	,	,	PUNCT
cblr-2931	551	57	not	not	PART
cblr-2931	551	58	the	the	DET
cblr-2931	551	59	client	client	NOUN
cblr-2931	551	60	,	,	PUNCT
cblr-2931	551	61	retains	retain	VERB
cblr-2931	551	62	discretion	discretion	NOUN
cblr-2931	551	63	,	,	PUNCT
cblr-2931	551	64	"	"	PUNCT
cblr-2931	551	65	relying	rely	VERB
cblr-2931	551	66	on	on	ADP
cblr-2931	551	67	mcadam	mcadam	PROPN
cblr-2931	551	68	v.	v.	PROPN
cblr-2931	551	69	dean	dean	PROPN
cblr-2931	551	70	witter	witter	PROPN
cblr-2931	551	71	reynolds	reynolds	PROPN
cblr-2931	551	72	,	,	PUNCT
cblr-2931	551	73	inc	inc	PROPN
cblr-2931	551	74	.	.	PROPN
cblr-2931	551	75	,	,	PUNCT
cblr-2931	551	76	896	896	NUM
cblr-2931	551	77	f.2d	f.2d	SYM
cblr-2931	551	78	750	750	NUM
cblr-2931	551	79	,	,	PUNCT
cblr-2931	551	80	767	767	NUM
cblr-2931	551	81	(	(	PUNCT
cblr-2931	551	82	3d	3d	NUM
cblr-2931	551	83	cir	cir	NOUN
cblr-2931	551	84	.	.	PROPN
cblr-2931	551	85	1990	1990	NUM
cblr-2931	551	86	)	)	PUNCT
cblr-2931	551	87	)	)	PUNCT
cblr-2931	551	88	.	.	PUNCT
cblr-2931	552	1	1	1	X
cblr-2931	552	2	..	..	PUNCT
cblr-2931	552	3	consider	consider	VERB
cblr-2931	552	4	for	for	ADP
cblr-2931	552	5	example	example	NOUN
cblr-2931	552	6	,	,	PUNCT
cblr-2931	552	7	the	the	DET
cblr-2931	552	8	suitability	suitability	NOUN
cblr-2931	552	9	requirement	requirement	NOUN
cblr-2931	552	10	contained	contain	VERB
cblr-2931	552	11	within	within	ADP
cblr-2931	552	12	finra	finra	PROPN
cblr-2931	552	13	manual	manual	NOUN
cblr-2931	552	14	rule	rule	PROPN
cblr-2931	552	15	2310	2310	NUM
cblr-2931	552	16	,	,	PUNCT
cblr-2931	552	17	available	available	ADJ
cblr-2931	552	18	at	at	ADP
cblr-2931	552	19	http://finra.complinet.com/en/	http://finra.complinet.com/en/	NOUN
cblr-2931	552	20	display	display	NOUN
cblr-2931	552	21	/	/	SYM
cblr-2931	552	22	display	display	NOUN
cblr-2931	552	23	-	-	PUNCT
cblr-2931	552	24	main.html?rbid=2403&element	main.html?rbid=2403&element	NOUN
cblr-2931	552	25	id=8469	id=8469	NOUN
cblr-2931	552	26	;	;	PUNCT
cblr-2931	552	27	see	see	VERB
cblr-2931	552	28	also	also	ADV
cblr-2931	552	29	,	,	PUNCT
cblr-2931	552	30	e.g.	e.g.	ADV
cblr-2931	552	31	,	,	PUNCT
cblr-2931	552	32	united	united	PROPN
cblr-2931	552	33	states	states	PROPN
cblr-2931	552	34	v.	v.	PROPN
cblr-2931	552	35	laurienti	laurienti	PROPN
cblr-2931	552	36	,	,	PUNCT
cblr-2931	552	37	611	611	NUM
cblr-2931	552	38	f.3d	f.3d	NUM
cblr-2931	552	39	530	530	NUM
cblr-2931	552	40	,	,	PUNCT
cblr-2931	552	41	540	540	NUM
cblr-2931	552	42	-	-	SYM
cblr-2931	552	43	41	41	NUM
cblr-2931	552	44	(	(	PUNCT
cblr-2931	552	45	9th	9th	ADJ
cblr-2931	552	46	cir	cir	NOUN
cblr-2931	552	47	.	.	PUNCT
cblr-2931	552	48	2010	2010	NUM
cblr-2931	552	49	)	)	PUNCT
cblr-2931	552	50	(	(	PUNCT
cblr-2931	552	51	broker	broker	NOUN
cblr-2931	552	52	making	make	VERB
cblr-2931	552	53	recommendations	recommendation	NOUN
cblr-2931	552	54	in	in	ADP
cblr-2931	552	55	a	a	DET
cblr-2931	552	56	"	"	PUNCT
cblr-2931	552	57	pump	pump	NOUN
cblr-2931	552	58	and	and	CCONJ
cblr-2931	552	59	dump	dump	VERB
cblr-2931	552	60	scheme	scheme	NOUN
cblr-2931	552	61	"	"	PUNCT
cblr-2931	552	62	had	have	AUX
cblr-2931	552	63	fiduciary	fiduciary	ADJ
cblr-2931	552	64	duties	duty	NOUN
cblr-2931	552	65	requiring	require	VERB
cblr-2931	552	66	disclosure	disclosure	NOUN
cblr-2931	552	67	of	of	ADP
cblr-2931	552	68	bonus	bonus	NOUN
cblr-2931	552	69	commissions	commission	NOUN
cblr-2931	552	70	)	)	PUNCT
cblr-2931	552	71	.	.	PUNCT
cblr-2931	553	1	122	122	NUM
cblr-2931	553	2	see	see	VERB
cblr-2931	553	3	sec	sec	PROPN
cblr-2931	553	4	v.	v.	ADP
cblr-2931	553	5	capital	capital	NOUN
cblr-2931	553	6	gains	gain	NOUN
cblr-2931	553	7	research	research	PROPN
cblr-2931	553	8	bureau	bureau	PROPN
cblr-2931	553	9	,	,	PUNCT
cblr-2931	553	10	inc	inc	PROPN
cblr-2931	553	11	.	.	PROPN
cblr-2931	553	12	,	,	PUNCT
cblr-2931	553	13	375	375	NUM
cblr-2931	553	14	u.s	u.s	PROPN
cblr-2931	553	15	.	.	PROPN
cblr-2931	553	16	180	180	NUM
cblr-2931	553	17	,	,	PUNCT
cblr-2931	553	18	191	191	NUM
cblr-2931	553	19	-	-	SYM
cblr-2931	553	20	92	92	NUM
cblr-2931	553	21	(	(	PUNCT
cblr-2931	553	22	1963	1963	NUM
cblr-2931	553	23	)	)	PUNCT
cblr-2931	553	24	(	(	PUNCT
cblr-2931	553	25	imposing	impose	VERB
cblr-2931	553	26	fiduciary	fiduciary	ADJ
cblr-2931	553	27	duties	duty	NOUN
cblr-2931	553	28	on	on	ADP
cblr-2931	553	29	investment	investment	NOUN
cblr-2931	553	30	advisers	adviser	NOUN
cblr-2931	553	31	)	)	PUNCT
cblr-2931	553	32	,	,	PUNCT
cblr-2931	553	33	as	as	SCONJ
cblr-2931	553	34	quoted	quote	VERB
cblr-2931	553	35	supra	supra	NOUN
cblr-2931	553	36	,	,	PUNCT
cblr-2931	553	37	note	note	VERB
cblr-2931	553	38	21	21	NUM
cblr-2931	553	39	.	.	PUNCT
cblr-2931	553	40	"	"	PUNCT
cblr-2931	554	1	see	see	VERB
cblr-2931	554	2	,	,	PUNCT
cblr-2931	554	3	e.g.	e.g.	ADV
cblr-2931	554	4	,	,	PUNCT
cblr-2931	554	5	pasternak	pasternak	NOUN
cblr-2931	554	6	,	,	PUNCT
cblr-2931	554	7	561	561	NUM
cblr-2931	554	8	f.	f.	NOUN
cblr-2931	554	9	supp.2d	supp.2d	PROPN
cblr-2931	554	10	at	at	ADP
cblr-2931	554	11	506	506	NUM
cblr-2931	554	12	(	(	PUNCT
cblr-2931	554	13	noting	note	VERB
cblr-2931	554	14	that	that	SCONJ
cblr-2931	554	15	when	when	SCONJ
cblr-2931	554	16	broker	broker	NOUN
cblr-2931	554	17	is	be	AUX
cblr-2931	554	18	acting	act	VERB
cblr-2931	554	19	as	as	ADP
cblr-2931	554	20	a	a	DET
cblr-2931	554	21	fiduciary	fiduciary	NOUN
cblr-2931	554	22	,	,	PUNCT
cblr-2931	554	23	there	there	PRON
cblr-2931	554	24	may	may	AUX
cblr-2931	554	25	be	be	AUX
cblr-2931	554	26	a	a	DET
cblr-2931	554	27	duty	duty	NOUN
cblr-2931	554	28	to	to	PART
cblr-2931	554	29	disclose	disclose	VERB
cblr-2931	554	30	a	a	DET
cblr-2931	554	31	mark	mark	NOUN
cblr-2931	554	32	-	-	PUNCT
cblr-2931	554	33	up	up	NOUN
cblr-2931	554	34	or	or	CCONJ
cblr-2931	554	35	other	other	ADJ
cblr-2931	554	36	profit	profit	NOUN
cblr-2931	554	37	which	which	PRON
cblr-2931	554	38	would	would	AUX
cblr-2931	554	39	not	not	PART
cblr-2931	554	40	ordinarily	ordinarily	ADV
cblr-2931	554	41	have	have	VERB
cblr-2931	554	42	to	to	PART
cblr-2931	554	43	be	be	AUX
cblr-2931	554	44	disclosed	disclose	VERB
cblr-2931	554	45	as	as	ADP
cblr-2931	554	46	a	a	DET
cblr-2931	554	47	result	result	NOUN
cblr-2931	554	48	col	col	PROPN
cblr-2931	554	49	umia	umia	PROPN
cblr-2931	554	50	b	b	PROPN
cblr-2931	554	51	usiness	usiness	PROPN
cblr-2931	554	52	la	la	PROPN
cblr-2931	554	53	w	w	PROPN
cblr-2931	554	54	re	re	PROPN
cblr-2931	554	55	vie	vie	PROPN
cblr-2931	554	56	w	w	PROPN
cblr-2931	555	1	[	[	X
cblr-2931	555	2	vol	vol	NOUN
cblr-2931	555	3	.	.	PUNCT
cblr-2931	555	4	2010738	2010738	NUM
cblr-2931	556	1	no	no	INTJ
cblr-2931	556	2	.	.	PUNCT
cblr-2931	557	1	3:710	3:710	NUM
cblr-2931	557	2	]	]	PUNCT
cblr-2931	557	3	are	be	AUX
cblr-2931	557	4	existing	exist	VERB
cblr-2931	557	5	stock	stock	NOUN
cblr-2931	557	6	broker	broker	NOUN
cblr-2931	557	7	standards	standard	NOUN
cblr-2931	557	8	sufficient	sufficient	ADJ
cblr-2931	557	9	?	?	PUNCT
cblr-2931	558	1	representations	representation	NOUN
cblr-2931	558	2	,	,	PUNCT
cblr-2931	558	3	"	"	PUNCT
cblr-2931	558	4	'	'	PUNCT
cblr-2931	558	5	including	include	VERB
cblr-2931	558	6	implied	imply	VERB
cblr-2931	558	7	representations	representation	NOUN
cblr-2931	558	8	of	of	ADP
cblr-2931	558	9	expertise	expertise	NOUN
cblr-2931	558	10	,	,	PUNCT
cblr-2931	558	11	which	which	PRON
cblr-2931	558	12	may	may	AUX
cblr-2931	558	13	also	also	ADV
cblr-2931	558	14	be	be	AUX
cblr-2931	558	15	referred	refer	VERB
cblr-2931	558	16	to	to	ADP
cblr-2931	558	17	as	as	ADP
cblr-2931	558	18	the	the	DET
cblr-2931	558	19	"	"	PUNCT
cblr-2931	558	20	shingle	shingle	NOUN
cblr-2931	558	21	theory	theory	NOUN
cblr-2931	558	22	.	.	PUNCT
cblr-2931	559	1	"13	"13	PUNCT
cblr-2931	560	1	the	the	DET
cblr-2931	560	2	sec	sec	PROPN
cblr-2931	560	3	has	have	AUX
cblr-2931	560	4	referred	refer	VERB
cblr-2931	560	5	to	to	ADP
cblr-2931	560	6	the	the	DET
cblr-2931	560	7	"	"	PUNCT
cblr-2931	560	8	basic	basic	ADJ
cblr-2931	560	9	principle	principle	NOUN
cblr-2931	560	10	"	"	PUNCT
cblr-2931	560	11	that	that	SCONJ
cblr-2931	560	12	by	by	ADP
cblr-2931	560	13	holding	hold	VERB
cblr-2931	560	14	itself	itself	PRON
cblr-2931	560	15	out	out	ADP
cblr-2931	560	16	as	as	ADP
cblr-2931	560	17	a	a	DET
cblr-2931	560	18	broker	broker	NOUN
cblr-2931	560	19	-	-	PUNCT
cblr-2931	560	20	dealer	dealer	NOUN
cblr-2931	560	21	,	,	PUNCT
cblr-2931	560	22	a	a	DET
cblr-2931	560	23	firm	firm	NOUN
cblr-2931	560	24	is	be	AUX
cblr-2931	560	25	of	of	ADP
cblr-2931	560	26	a	a	DET
cblr-2931	560	27	stock	stock	NOUN
cblr-2931	560	28	brokerage	brokerage	NOUN
cblr-2931	560	29	relationship	relationship	NOUN
cblr-2931	560	30	)	)	PUNCT
cblr-2931	560	31	.	.	PUNCT
cblr-2931	561	1	note	note	VERB
cblr-2931	561	2	that	that	SCONJ
cblr-2931	561	3	accountability	accountability	NOUN
cblr-2931	561	4	for	for	ADP
cblr-2931	561	5	the	the	DET
cblr-2931	561	6	implied	imply	VERB
cblr-2931	561	7	representations	representation	NOUN
cblr-2931	561	8	that	that	PRON
cblr-2931	561	9	may	may	AUX
cblr-2931	561	10	arise	arise	VERB
cblr-2931	561	11	out	out	ADP
cblr-2931	561	12	of	of	ADP
cblr-2931	561	13	a	a	DET
cblr-2931	561	14	fiduciary	fiduciary	ADJ
cblr-2931	561	15	duty	duty	NOUN
cblr-2931	561	16	will	will	AUX
cblr-2931	561	17	not	not	PART
cblr-2931	561	18	violate	violate	VERB
cblr-2931	561	19	the	the	DET
cblr-2931	561	20	securities	security	NOUN
cblr-2931	561	21	laws	law	NOUN
cblr-2931	561	22	'	'	PART
cblr-2931	561	23	antifraud	antifraud	PROPN
cblr-2931	561	24	provisions	provision	NOUN
cblr-2931	561	25	in	in	ADP
cblr-2931	561	26	the	the	DET
cblr-2931	561	27	absence	absence	NOUN
cblr-2931	561	28	of	of	ADP
cblr-2931	561	29	a	a	DET
cblr-2931	561	30	showing	showing	NOUN
cblr-2931	561	31	that	that	SCONJ
cblr-2931	561	32	the	the	DET
cblr-2931	561	33	defendant	defendant	NOUN
cblr-2931	561	34	acted	act	VERB
cblr-2931	561	35	with	with	ADP
cblr-2931	561	36	the	the	DET
cblr-2931	561	37	requisite	requisite	ADJ
cblr-2931	561	38	scienter	scienter	NOUN
cblr-2931	561	39	.	.	PUNCT
cblr-2931	562	1	see	see	VERB
cblr-2931	562	2	flanagan	flanagan	NOUN
cblr-2931	562	3	,	,	PUNCT
cblr-2931	562	4	administrative	administrative	ADJ
cblr-2931	562	5	proceeding	proceeding	NOUN
cblr-2931	562	6	file	file	NOUN
cblr-2931	562	7	no	no	NOUN
cblr-2931	562	8	.	.	NOUN
cblr-2931	563	1	3	3	NUM
cblr-2931	563	2	-	-	SYM
cblr-2931	563	3	9784	9784	NUM
cblr-2931	563	4	,	,	PUNCT
cblr-2931	563	5	71	71	NUM
cblr-2931	563	6	s.e.c	s.e.c	NOUN
cblr-2931	563	7	.	.	PUNCT
cblr-2931	564	1	docket	docket	NOUN
cblr-2931	564	2	1415	1415	NUM
cblr-2931	564	3	,	,	PUNCT
cblr-2931	564	4	2000	2000	NUM
cblr-2931	564	5	wl	wl	NOUN
cblr-2931	564	6	98210	98210	NUM
cblr-2931	564	7	,	,	PUNCT
cblr-2931	564	8	at	at	ADP
cblr-2931	564	9	*	*	PROPN
cblr-2931	564	10	24	24	NUM
cblr-2931	564	11	(	(	PUNCT
cblr-2931	564	12	al	al	PROPN
cblr-2931	564	13	jan	jan	PROPN
cblr-2931	564	14	.	.	PROPN
cblr-2931	564	15	31	31	NUM
cblr-2931	564	16	,	,	PUNCT
cblr-2931	564	17	2000	2000	NUM
cblr-2931	564	18	)	)	PUNCT
cblr-2931	564	19	(	(	PUNCT
cblr-2931	564	20	initial	initial	ADJ
cblr-2931	564	21	decision	decision	NOUN
cblr-2931	564	22	)	)	PUNCT
cblr-2931	564	23	(	(	PUNCT
cblr-2931	564	24	"	"	PUNCT
cblr-2931	564	25	[	[	X
cblr-2931	564	26	aifter	aifter	ADJ
cblr-2931	564	27	hochfelder	hochfelder	NOUN
cblr-2931	564	28	and	and	CCONJ
cblr-2931	564	29	aaron	aaron	PROPN
cblr-2931	564	30	,	,	PUNCT
cblr-2931	564	31	it	it	PRON
cblr-2931	564	32	is	be	AUX
cblr-2931	564	33	not	not	PART
cblr-2931	564	34	enough	enough	ADJ
cblr-2931	564	35	for	for	SCONJ
cblr-2931	564	36	the	the	DET
cblr-2931	564	37	division	division	NOUN
cblr-2931	564	38	to	to	PART
cblr-2931	564	39	show	show	VERB
cblr-2931	564	40	that	that	SCONJ
cblr-2931	564	41	a	a	DET
cblr-2931	564	42	fiduciary	fiduciary	ADJ
cblr-2931	564	43	breached	breach	VERB
cblr-2931	564	44	an	an	DET
cblr-2931	564	45	implied	imply	VERB
cblr-2931	564	46	representation	representation	NOUN
cblr-2931	564	47	.	.	PUNCT
cblr-2931	565	1	it	it	PRON
cblr-2931	565	2	must	must	AUX
cblr-2931	565	3	also	also	ADV
cblr-2931	565	4	show	show	VERB
cblr-2931	565	5	a	a	DET
cblr-2931	565	6	specific	specific	ADJ
cblr-2931	565	7	intent	intent	NOUN
cblr-2931	565	8	to	to	PART
cblr-2931	565	9	deceive	deceive	VERB
cblr-2931	565	10	the	the	DET
cblr-2931	565	11	customer	customer	NOUN
cblr-2931	565	12	to	to	PART
cblr-2931	565	13	prevail	prevail	VERB
cblr-2931	565	14	under	under	ADP
cblr-2931	565	15	those	those	DET
cblr-2931	565	16	antifraud	antifraud	NOUN
cblr-2931	565	17	provisions	provision	NOUN
cblr-2931	565	18	requiring	require	VERB
cblr-2931	565	19	proof	proof	NOUN
cblr-2931	565	20	of	of	ADP
cblr-2931	565	21	scienter	scienter	NOUN
cblr-2931	565	22	.	.	PUNCT
cblr-2931	565	23	"	"	PUNCT
cblr-2931	565	24	)	)	PUNCT
cblr-2931	565	25	;	;	PUNCT
cblr-2931	565	26	see	see	VERB
cblr-2931	565	27	generally	generally	ADV
cblr-2931	565	28	aaron	aaron	PROPN
cblr-2931	565	29	v.	v.	PROPN
cblr-2931	565	30	sec	sec	PROPN
cblr-2931	565	31	,	,	PUNCT
cblr-2931	566	1	446	446	NUM
cblr-2931	566	2	u.s	u.s	PROPN
cblr-2931	566	3	.	.	PROPN
cblr-2931	566	4	680	680	NUM
cblr-2931	566	5	(	(	PUNCT
cblr-2931	566	6	1980	1980	NUM
cblr-2931	566	7	)	)	PUNCT
cblr-2931	566	8	(	(	PUNCT
cblr-2931	566	9	considering	consider	VERB
cblr-2931	566	10	scienter	scienter	NOUN
cblr-2931	566	11	requirements	requirement	NOUN
cblr-2931	566	12	for	for	ADP
cblr-2931	566	13	violations	violation	NOUN
cblr-2931	566	14	of	of	ADP
cblr-2931	566	15	securities	security	NOUN
cblr-2931	566	16	regulations	regulation	NOUN
cblr-2931	566	17	)	)	PUNCT
cblr-2931	566	18	;	;	PUNCT
cblr-2931	566	19	ernst	ernst	PROPN
cblr-2931	566	20	&	&	CCONJ
cblr-2931	566	21	ernst	ernst	PROPN
cblr-2931	566	22	v.	v.	PROPN
cblr-2931	566	23	hochfelder	hochfelder	PROPN
cblr-2931	566	24	,	,	PUNCT
cblr-2931	566	25	425	425	NUM
cblr-2931	566	26	u.s	u.s	PROPN
cblr-2931	566	27	.	.	PROPN
cblr-2931	566	28	185	185	NUM
cblr-2931	566	29	(	(	PUNCT
cblr-2931	566	30	1976	1976	NUM
cblr-2931	566	31	)	)	PUNCT
cblr-2931	566	32	(	(	PUNCT
cblr-2931	566	33	holding	hold	VERB
cblr-2931	566	34	that	that	DET
cblr-2931	566	35	scienter	scienter	NOUN
cblr-2931	566	36	is	be	AUX
cblr-2931	566	37	required	require	VERB
cblr-2931	566	38	to	to	PART
cblr-2931	566	39	recoup	recoup	VERB
cblr-2931	566	40	damages	damage	NOUN
cblr-2931	566	41	for	for	ADP
cblr-2931	566	42	private	private	ADJ
cblr-2931	566	43	actions	action	NOUN
cblr-2931	566	44	under	under	ADP
cblr-2931	566	45	section	section	NOUN
cblr-2931	566	46	10(b	10(b	NUM
cblr-2931	566	47	)	)	PUNCT
cblr-2931	566	48	and	and	CCONJ
cblr-2931	566	49	rule	rule	NOUN
cblr-2931	566	50	10b-5	10b-5	NUM
cblr-2931	566	51	)	)	PUNCT
cblr-2931	566	52	;	;	PUNCT
cblr-2931	566	53	santa	santa	PROPN
cblr-2931	566	54	fe	fe	PROPN
cblr-2931	566	55	indus	indus	PROPN
cblr-2931	566	56	.	.	PROPN
cblr-2931	566	57	,	,	PUNCT
cblr-2931	566	58	inc	inc	PROPN
cblr-2931	566	59	.	.	PROPN
cblr-2931	567	1	v.	v.	PROPN
cblr-2931	567	2	green	green	PROPN
cblr-2931	567	3	,	,	PUNCT
cblr-2931	568	1	430	430	NUM
cblr-2931	568	2	u.s	u.s	PROPN
cblr-2931	568	3	.	.	PROPN
cblr-2931	568	4	462	462	NUM
cblr-2931	568	5	,	,	PUNCT
cblr-2931	568	6	476	476	NUM
cblr-2931	568	7	-	-	SYM
cblr-2931	568	8	80	80	NUM
cblr-2931	568	9	(	(	PUNCT
cblr-2931	568	10	1977	1977	NUM
cblr-2931	568	11	)	)	PUNCT
cblr-2931	568	12	(	(	PUNCT
cblr-2931	568	13	holding	hold	VERB
cblr-2931	568	14	that	that	DET
cblr-2931	568	15	rule	rule	VERB
cblr-2931	568	16	10b-5	10b-5	NUM
cblr-2931	568	17	prohibits	prohibit	NOUN
cblr-2931	568	18	only	only	ADV
cblr-2931	568	19	deceptive	deceptive	ADJ
cblr-2931	568	20	conduct	conduct	NOUN
cblr-2931	568	21	and	and	CCONJ
cblr-2931	568	22	thus	thus	ADV
cblr-2931	568	23	does	do	AUX
cblr-2931	568	24	not	not	PART
cblr-2931	568	25	apply	apply	VERB
cblr-2931	568	26	simply	simply	ADV
cblr-2931	568	27	because	because	SCONJ
cblr-2931	568	28	a	a	DET
cblr-2931	568	29	transaction	transaction	NOUN
cblr-2931	568	30	is	be	AUX
cblr-2931	568	31	unfair	unfair	ADJ
cblr-2931	568	32	or	or	CCONJ
cblr-2931	568	33	violates	violate	VERB
cblr-2931	568	34	a	a	DET
cblr-2931	568	35	fiduciary	fiduciary	ADJ
cblr-2931	568	36	duty	duty	NOUN
cblr-2931	568	37	)	)	PUNCT
cblr-2931	568	38	.	.	PUNCT
cblr-2931	569	1	134	134	NUM
cblr-2931	569	2	see	see	VERB
cblr-2931	569	3	sec	sec	PROPN
cblr-2931	569	4	v.	v.	ADP
cblr-2931	569	5	zandford	zandford	PROPN
cblr-2931	569	6	,	,	PUNCT
cblr-2931	569	7	535	535	NUM
cblr-2931	569	8	u.s	u.s	PROPN
cblr-2931	569	9	.	.	PROPN
cblr-2931	569	10	813	813	NUM
cblr-2931	569	11	,	,	PUNCT
cblr-2931	569	12	823	823	NUM
cblr-2931	569	13	(	(	PUNCT
cblr-2931	569	14	2002	2002	NUM
cblr-2931	569	15	)	)	PUNCT
cblr-2931	569	16	(	(	PUNCT
cblr-2931	569	17	"	"	PUNCT
cblr-2931	569	18	[	[	X
cblr-2931	569	19	any	any	DET
cblr-2931	569	20	distinction	distinction	NOUN
cblr-2931	569	21	between	between	ADP
cblr-2931	569	22	omissions	omission	NOUN
cblr-2931	569	23	and	and	CCONJ
cblr-2931	569	24	misrepresentations	misrepresentation	NOUN
cblr-2931	569	25	is	be	AUX
cblr-2931	569	26	illusory	illusory	ADJ
cblr-2931	569	27	in	in	ADP
cblr-2931	569	28	the	the	DET
cblr-2931	569	29	context	context	NOUN
cblr-2931	569	30	of	of	ADP
cblr-2931	569	31	a	a	DET
cblr-2931	569	32	broker	broker	NOUN
cblr-2931	569	33	who	who	PRON
cblr-2931	569	34	has	have	VERB
cblr-2931	569	35	a	a	DET
cblr-2931	569	36	fiduciary	fiduciary	ADJ
cblr-2931	569	37	duty	duty	NOUN
cblr-2931	569	38	to	to	ADP
cblr-2931	569	39	her	her	PRON
cblr-2931	569	40	clients	client	NOUN
cblr-2931	569	41	.	.	PUNCT
cblr-2931	569	42	"	"	PUNCT
cblr-2931	569	43	)	)	PUNCT
cblr-2931	569	44	;	;	PUNCT
cblr-2931	569	45	cf	cf	NOUN
cblr-2931	569	46	,	,	PUNCT
cblr-2931	569	47	hoxworth	hoxworth	NOUN
cblr-2931	569	48	v.	v.	ADP
cblr-2931	569	49	blinder	blinder	PROPN
cblr-2931	569	50	,	,	PUNCT
cblr-2931	569	51	robinson	robinson	PROPN
cblr-2931	569	52	&	&	CCONJ
cblr-2931	569	53	co.	co.	PROPN
cblr-2931	569	54	,	,	PUNCT
cblr-2931	569	55	903	903	NUM
cblr-2931	569	56	f.2d	f.2d	NOUN
cblr-2931	569	57	186	186	NUM
cblr-2931	569	58	,	,	PUNCT
cblr-2931	569	59	200	200	NUM
cblr-2931	569	60	n.19	n.19	X
cblr-2931	569	61	(	(	PUNCT
cblr-2931	569	62	3d	3d	PROPN
cblr-2931	569	63	cir	cir	NOUN
cblr-2931	569	64	.	.	PROPN
cblr-2931	569	65	1990	1990	NUM
cblr-2931	569	66	)	)	PUNCT
cblr-2931	569	67	(	(	PUNCT
cblr-2931	569	68	"	"	PUNCT
cblr-2931	569	69	'	'	PUNCT
cblr-2931	569	70	silence	silence	NOUN
cblr-2931	569	71	,	,	PUNCT
cblr-2931	569	72	absent	absent	ADJ
cblr-2931	569	73	a	a	DET
cblr-2931	569	74	duty	duty	NOUN
cblr-2931	569	75	to	to	PART
cblr-2931	569	76	disclose	disclose	VERB
cblr-2931	569	77	,	,	PUNCT
cblr-2931	569	78	is	be	AUX
cblr-2931	569	79	not	not	PART
cblr-2931	569	80	misleading	mislead	VERB
cblr-2931	569	81	under	under	ADP
cblr-2931	569	82	rule	rule	NOUN
cblr-2931	569	83	10b-5	10b-5	NUM
cblr-2931	569	84	.	.	PUNCT
cblr-2931	569	85	'	'	PUNCT
cblr-2931	569	86	"	"	PUNCT
cblr-2931	569	87	)	)	PUNCT
cblr-2931	569	88	(	(	PUNCT
cblr-2931	569	89	quoting	quote	VERB
cblr-2931	569	90	basic	basic	PROPN
cblr-2931	569	91	inc	inc	PROPN
cblr-2931	569	92	.	.	PROPN
cblr-2931	570	1	v.	v.	PROPN
cblr-2931	570	2	levinson	levinson	PROPN
cblr-2931	570	3	,	,	PUNCT
cblr-2931	570	4	485	485	NUM
cblr-2931	570	5	u.s	u.s	PROPN
cblr-2931	570	6	.	.	PROPN
cblr-2931	570	7	224	224	NUM
cblr-2931	570	8	,	,	PUNCT
cblr-2931	570	9	239	239	NUM
cblr-2931	570	10	n.17	n.17	PROPN
cblr-2931	570	11	(	(	PUNCT
cblr-2931	570	12	1988	1988	NUM
cblr-2931	570	13	)	)	PUNCT
cblr-2931	570	14	)	)	PUNCT
cblr-2931	570	15	.	.	PUNCT
cblr-2931	571	1	135	135	NUM
cblr-2931	571	2	see	see	VERB
cblr-2931	571	3	,	,	PUNCT
cblr-2931	571	4	e.g.	e.g.	ADV
cblr-2931	571	5	,	,	PUNCT
cblr-2931	571	6	confirmation	confirmation	NOUN
cblr-2931	571	7	of	of	ADP
cblr-2931	571	8	transactions	transaction	NOUN
cblr-2931	571	9	,	,	PUNCT
cblr-2931	571	10	exchange	exchange	NOUN
cblr-2931	571	11	act	act	NOUN
cblr-2931	571	12	release	release	VERB
cblr-2931	571	13	no	no	NOUN
cblr-2931	571	14	.	.	PUNCT
cblr-2931	571	15	33743	33743	NUM
cblr-2931	571	16	,	,	PUNCT
cblr-2931	571	17	56	56	NUM
cblr-2931	571	18	sec	sec	PROPN
cblr-2931	571	19	docket	docket	NOUN
cblr-2931	571	20	558	558	NUM
cblr-2931	571	21	,	,	PUNCT
cblr-2931	571	22	1994	1994	NUM
cblr-2931	571	23	wl	wl	NOUN
cblr-2931	571	24	73633	73633	NUM
cblr-2931	571	25	,	,	PUNCT
cblr-2931	571	26	at	at	ADP
cblr-2931	571	27	*	*	NOUN
cblr-2931	571	28	8	8	NUM
cblr-2931	571	29	n.48	n.48	X
cblr-2931	571	30	(	(	PUNCT
cblr-2931	571	31	mar	mar	PROPN
cblr-2931	571	32	.	.	PROPN
cblr-2931	571	33	9	9	NUM
cblr-2931	571	34	,	,	PUNCT
cblr-2931	571	35	1994	1994	NUM
cblr-2931	571	36	):	):	PUNCT
cblr-2931	571	37	two	two	NUM
cblr-2931	571	38	theories	theory	NOUN
cblr-2931	571	39	,	,	PUNCT
cblr-2931	571	40	the	the	DET
cblr-2931	571	41	fiduciary	fiduciary	ADJ
cblr-2931	571	42	and	and	CCONJ
cblr-2931	571	43	shingle	shingle	NOUN
cblr-2931	571	44	theory	theory	NOUN
cblr-2931	571	45	,	,	PUNCT
cblr-2931	571	46	establish	establish	VERB
cblr-2931	571	47	an	an	DET
cblr-2931	571	48	obligation	obligation	NOUN
cblr-2931	571	49	on	on	ADP
cblr-2931	571	50	the	the	DET
cblr-2931	571	51	part	part	NOUN
cblr-2931	571	52	of	of	ADP
cblr-2931	571	53	a	a	DET
cblr-2931	571	54	broker	broker	NOUN
cblr-2931	571	55	-	-	PUNCT
cblr-2931	571	56	dealer	dealer	NOUN
cblr-2931	571	57	to	to	PART
cblr-2931	571	58	deal	deal	VERB
cblr-2931	571	59	with	with	ADP
cblr-2931	571	60	customers	customer	NOUN
cblr-2931	571	61	fairly	fairly	ADV
cblr-2931	571	62	.	.	PUNCT
cblr-2931	572	1	in	in	ADP
cblr-2931	572	2	cases	case	NOUN
cblr-2931	572	3	where	where	SCONJ
cblr-2931	572	4	a	a	DET
cblr-2931	572	5	broker	broker	NOUN
cblr-2931	572	6	-	-	PUNCT
cblr-2931	572	7	dealer	dealer	NOUN
cblr-2931	572	8	has	have	AUX
cblr-2931	572	9	established	establish	VERB
cblr-2931	572	10	a	a	DET
cblr-2931	572	11	customer	customer	NOUN
cblr-2931	572	12	relationship	relationship	NOUN
cblr-2931	572	13	based	base	VERB
cblr-2931	572	14	upon	upon	SCONJ
cblr-2931	572	15	trust	trust	NOUN
cblr-2931	572	16	and	and	CCONJ
cblr-2931	572	17	confidence	confidence	NOUN
cblr-2931	572	18	,	,	PUNCT
cblr-2931	572	19	and	and	CCONJ
cblr-2931	572	20	the	the	DET
cblr-2931	572	21	customer	customer	NOUN
cblr-2931	572	22	depends	depend	VERB
cblr-2931	572	23	upon	upon	SCONJ
cblr-2931	572	24	and	and	CCONJ
cblr-2931	572	25	follows	follow	VERB
cblr-2931	572	26	the	the	DET
cblr-2931	572	27	broker	broker	NOUN
cblr-2931	572	28	-	-	PUNCT
cblr-2931	572	29	dealer	dealer	NOUN
cblr-2931	572	30	's	's	PART
cblr-2931	572	31	advice	advice	NOUN
cblr-2931	572	32	,	,	PUNCT
cblr-2931	572	33	a	a	DET
cblr-2931	572	34	fiduciary	fiduciary	ADJ
cblr-2931	572	35	relationship	relationship	NOUN
cblr-2931	572	36	is	be	AUX
cblr-2931	572	37	established	establish	VERB
cblr-2931	572	38	between	between	ADP
cblr-2931	572	39	the	the	DET
cblr-2931	572	40	broker	broker	NOUN
cblr-2931	572	41	-	-	PUNCT
cblr-2931	572	42	dealer	dealer	NOUN
cblr-2931	572	43	and	and	CCONJ
cblr-2931	572	44	customer	customer	NOUN
cblr-2931	572	45	.	.	PUNCT
cblr-2931	573	1	as	as	ADP
cblr-2931	573	2	a	a	DET
cblr-2931	573	3	fiduciary	fiduciary	NOUN
cblr-2931	573	4	,	,	PUNCT
cblr-2931	573	5	the	the	DET
cblr-2931	573	6	broker	broker	NOUN
cblr-2931	573	7	-	-	PUNCT
cblr-2931	573	8	dealer	dealer	NOUN
cblr-2931	573	9	is	be	AUX
cblr-2931	573	10	also	also	ADV
cblr-2931	573	11	obligated	obligate	VERB
cblr-2931	573	12	to	to	PART
cblr-2931	573	13	disclose	disclose	VERB
cblr-2931	573	14	all	all	DET
cblr-2931	573	15	the	the	DET
cblr-2931	573	16	material	material	ADJ
cblr-2931	573	17	facts	fact	NOUN
cblr-2931	573	18	of	of	ADP
cblr-2931	573	19	a	a	DET
cblr-2931	573	20	customer	customer	NOUN
cblr-2931	573	21	's	's	PART
cblr-2931	573	22	transaction	transaction	NOUN
cblr-2931	573	23	.	.	PUNCT
cblr-2931	573	24	.	.	PUNCT
cblr-2931	574	1	.	.	PUNCT
cblr-2931	574	2	.	.	PUNCT
cblr-2931	575	1	closely	closely	ADV
cblr-2931	575	2	related	relate	VERB
cblr-2931	575	3	to	to	ADP
cblr-2931	575	4	the	the	DET
cblr-2931	575	5	fiduciary	fiduciary	ADJ
cblr-2931	575	6	theory	theory	NOUN
cblr-2931	575	7	is	be	AUX
cblr-2931	575	8	a	a	DET
cblr-2931	575	9	duty	duty	NOUN
cblr-2931	575	10	to	to	ADP
cblr-2931	575	11	the	the	DET
cblr-2931	575	12	customer	customer	NOUN
cblr-2931	575	13	established	establish	VERB
cblr-2931	575	14	by	by	ADP
cblr-2931	575	15	the	the	DET
cblr-2931	575	16	"	"	PUNCT
cblr-2931	575	17	shingle	shingle	NOUN
cblr-2931	575	18	theory	theory	NOUN
cblr-2931	575	19	.	.	PUNCT
cblr-2931	575	20	"	"	PUNCT
cblr-2931	576	1	according	accord	VERB
cblr-2931	576	2	to	to	ADP
cblr-2931	576	3	the	the	DET
cblr-2931	576	4	shingle	shingle	NOUN
cblr-2931	576	5	theory	theory	NOUN
cblr-2931	576	6	,	,	PUNCT
cblr-2931	576	7	a	a	DET
cblr-2931	576	8	broker	broker	NOUN
cblr-2931	576	9	-	-	PUNCT
cblr-2931	576	10	dealer	dealer	NOUN
cblr-2931	576	11	impliedly	impliedly	ADV
cblr-2931	576	12	represents	represent	VERB
cblr-2931	576	13	at	at	ADP
cblr-2931	576	14	the	the	DET
cblr-2931	576	15	outset	outset	NOUN
cblr-2931	576	16	of	of	ADP
cblr-2931	576	17	a	a	DET
cblr-2931	576	18	securities	security	NOUN
cblr-2931	576	19	transaction	transaction	NOUN
cblr-2931	576	20	that	that	SCONJ
cblr-2931	576	21	it	it	PRON
cblr-2931	576	22	will	will	AUX
cblr-2931	576	23	deal	deal	VERB
cblr-2931	576	24	with	with	ADP
cblr-2931	576	25	its	its	PRON
cblr-2931	576	26	customers	customer	NOUN
cblr-2931	576	27	fairly	fairly	ADV
cblr-2931	576	28	and	and	CCONJ
cblr-2931	576	29	in	in	ADP
cblr-2931	576	30	accordance	accordance	NOUN
cblr-2931	576	31	with	with	ADP
cblr-2931	576	32	the	the	DET
cblr-2931	576	33	standards	standard	NOUN
cblr-2931	576	34	of	of	ADP
cblr-2931	576	35	the	the	DET
cblr-2931	576	36	industry	industry	NOUN
cblr-2931	576	37	.	.	PUNCT
cblr-2931	577	1	the	the	DET
cblr-2931	577	2	shingle	shingle	NOUN
cblr-2931	577	3	theory	theory	NOUN
cblr-2931	577	4	is	be	AUX
cblr-2931	577	5	discussed	discuss	VERB
cblr-2931	577	6	in	in	ADP
cblr-2931	577	7	bissell	bissell	NOUN
cblr-2931	577	8	,	,	PUNCT
cblr-2931	577	9	infra	infra	NOUN
cblr-2931	577	10	note	note	VERB
cblr-2931	577	11	174	174	NUM
cblr-2931	577	12	,	,	PUNCT
cblr-2931	577	13	at	at	ADP
cblr-2931	577	14	246	246	NUM
cblr-2931	577	15	.	.	PUNCT
cblr-2931	578	1	739	739	NUM
cblr-2931	578	2	representing	represent	VERB
cblr-2931	578	3	that	that	SCONJ
cblr-2931	578	4	it	it	PRON
cblr-2931	578	5	will	will	AUX
cblr-2931	578	6	act	act	VERB
cblr-2931	578	7	in	in	ADP
cblr-2931	578	8	the	the	DET
cblr-2931	578	9	customer	customer	NOUN
cblr-2931	578	10	's	's	PART
cblr-2931	578	11	best	good	ADJ
cblr-2931	578	12	interests	interest	NOUN
cblr-2931	578	13	.	.	PUNCT
cblr-2931	578	14	'3	'3	X
cblr-2931	578	15	6	6	NUM
cblr-2931	578	16	additionally	additionally	ADV
cblr-2931	578	17	,	,	PUNCT
cblr-2931	578	18	when	when	SCONJ
cblr-2931	578	19	the	the	DET
cblr-2931	578	20	broker	broker	NOUN
cblr-2931	578	21	claims	claim	VERB
cblr-2931	578	22	to	to	PART
cblr-2931	578	23	have	have	VERB
cblr-2931	578	24	special	special	ADJ
cblr-2931	578	25	skills	skill	NOUN
cblr-2931	578	26	in	in	ADP
cblr-2931	578	27	handling	handle	VERB
cblr-2931	578	28	a	a	DET
cblr-2931	578	29	customer	customer	NOUN
cblr-2931	578	30	's	's	PART
cblr-2931	578	31	account	account	NOUN
cblr-2931	578	32	,	,	PUNCT
cblr-2931	578	33	'	'	PUNCT
cblr-2931	578	34	fiduciary	fiduciary	ADJ
cblr-2931	578	35	duties	duty	NOUN
cblr-2931	578	36	will	will	AUX
cblr-2931	578	37	attach	attach	VERB
cblr-2931	578	38	.	.	PUNCT
cblr-2931	579	1	"	"	PUNCT
cblr-2931	579	2	'	'	PUNCT
cblr-2931	579	3	even	even	ADV
cblr-2931	579	4	in	in	ADP
cblr-2931	579	5	the	the	DET
cblr-2931	579	6	context	context	NOUN
cblr-2931	579	7	of	of	ADP
cblr-2931	579	8	federal	federal	ADJ
cblr-2931	579	9	claims	claim	NOUN
cblr-2931	579	10	against	against	ADP
cblr-2931	579	11	a	a	DET
cblr-2931	579	12	broker	broker	NOUN
cblr-2931	579	13	-	-	PUNCT
cblr-2931	579	14	dealer	dealer	NOUN
cblr-2931	579	15	,	,	PUNCT
cblr-2931	579	16	the	the	DET
cblr-2931	579	17	federal	federal	ADJ
cblr-2931	579	18	court	court	NOUN
cblr-2931	579	19	may	may	AUX
cblr-2931	579	20	look	look	VERB
cblr-2931	579	21	to	to	ADP
cblr-2931	579	22	state	state	NOUN
cblr-2931	579	23	law	law	NOUN
cblr-2931	579	24	to	to	PART
cblr-2931	579	25	determine	determine	VERB
cblr-2931	579	26	whether	whether	SCONJ
cblr-2931	579	27	a	a	DET
cblr-2931	579	28	fiduciary	fiduciary	ADJ
cblr-2931	579	29	duty	duty	NOUN
cblr-2931	579	30	existed	exist	VERB
cblr-2931	579	31	.	.	PUNCT
cblr-2931	579	32	'	'	PUNCT
cblr-2931	580	1	in	in	ADP
cblr-2931	580	2	contrast	contrast	NOUN
cblr-2931	580	3	,	,	PUNCT
cblr-2931	580	4	a	a	DET
cblr-2931	580	5	few	few	ADJ
cblr-2931	580	6	courts	court	NOUN
cblr-2931	580	7	have	have	AUX
cblr-2931	580	8	spoken	speak	VERB
cblr-2931	580	9	in	in	ADP
cblr-2931	580	10	terms	term	NOUN
cblr-2931	580	11	of	of	ADP
cblr-2931	580	12	an	an	DET
cblr-2931	580	13	"	"	PUNCT
cblr-2931	580	14	inherent	inherent	ADJ
cblr-2931	580	15	"	"	PUNCT
cblr-2931	580	16	fiduciary	fiduciary	ADJ
cblr-2931	580	17	duty	duty	NOUN
cblr-2931	580	18	running	run	VERB
cblr-2931	580	19	from	from	ADP
cblr-2931	580	20	the	the	DET
cblr-2931	580	21	stock	stock	NOUN
cblr-2931	580	22	broker	broker	NOUN
cblr-2931	580	23	to	to	ADP
cblr-2931	580	24	the	the	DET
cblr-2931	580	25	customer	customer	NOUN
cblr-2931	580	26	.	.	PUNCT
cblr-2931	581	1	"	"	PUNCT
cblr-2931	581	2	'	'	PUNCT
cblr-2931	581	3	the	the	DET
cblr-2931	581	4	reasoning	reasoning	NOUN
cblr-2931	581	5	behind	behind	ADP
cblr-2931	581	6	the	the	DET
cblr-2931	581	7	inherent	inherent	ADJ
cblr-2931	581	8	fiduciary	fiduciary	ADJ
cblr-2931	581	9	duty	duty	NOUN
cblr-2931	581	10	approach	approach	NOUN
cblr-2931	581	11	is	be	AUX
cblr-2931	581	12	that	that	SCONJ
cblr-2931	581	13	the	the	DET
cblr-2931	581	14	brokerage	brokerage	NOUN
cblr-2931	581	15	relationship	relationship	NOUN
cblr-2931	581	16	is	be	AUX
cblr-2931	581	17	an	an	DET
cblr-2931	581	18	13	13	NUM
cblr-2931	581	19	see	see	NOUN
cblr-2931	581	20	in	in	ADP
cblr-2931	581	21	the	the	DET
cblr-2931	581	22	matter	matter	NOUN
cblr-2931	581	23	of	of	ADP
cblr-2931	581	24	d.e	d.e	PROPN
cblr-2931	581	25	.	.	PROPN
cblr-2931	581	26	wine	wine	PROPN
cblr-2931	581	27	investments	investments	PROPN
cblr-2931	581	28	,	,	PUNCT
cblr-2931	581	29	inc	inc	PROPN
cblr-2931	581	30	.	.	PROPN
cblr-2931	581	31	,	,	PUNCT
cblr-2931	582	1	administrative	administrative	ADJ
cblr-2931	582	2	proceeding	proceeding	NOUN
cblr-2931	582	3	file	file	NOUN
cblr-2931	582	4	no	no	NOUN
cblr-2931	582	5	.	.	NOUN
cblr-2931	583	1	3	3	NUM
cblr-2931	583	2	-	-	SYM
cblr-2931	583	3	8543	8543	NUM
cblr-2931	583	4	release	release	NOUN
cblr-2931	583	5	no	no	NOUN
cblr-2931	583	6	.	.	PUNCT
cblr-2931	584	1	id-134	id-134	PROPN
cblr-2931	584	2	,	,	PUNCT
cblr-2931	584	3	1999	1999	NUM
cblr-2931	584	4	wl	wl	PROPN
cblr-2931	584	5	373279	373279	NUM
cblr-2931	584	6	(	(	PUNCT
cblr-2931	584	7	sec	sec	PROPN
cblr-2931	584	8	initial	initial	ADJ
cblr-2931	584	9	decision	decision	NOUN
cblr-2931	584	10	june	june	PROPN
cblr-2931	584	11	9	9	NUM
cblr-2931	584	12	,	,	PUNCT
cblr-2931	584	13	1999	1999	NUM
cblr-2931	584	14	)	)	PUNCT
cblr-2931	584	15	,	,	PUNCT
cblr-2931	584	16	relying	rely	VERB
cblr-2931	584	17	on	on	ADP
cblr-2931	584	18	charles	charles	PROPN
cblr-2931	584	19	hughes	hughes	PROPN
cblr-2931	584	20	&	&	CCONJ
cblr-2931	584	21	co.	co.	PROPN
cblr-2931	584	22	v.	v.	ADP
cblr-2931	584	23	sec	sec	PROPN
cblr-2931	584	24	,	,	PUNCT
cblr-2931	584	25	139	139	NUM
cblr-2931	584	26	f.2d	f.2d	NOUN
cblr-2931	584	27	434	434	NUM
cblr-2931	584	28	,	,	PUNCT
cblr-2931	584	29	436	436	NUM
cblr-2931	584	30	-	-	SYM
cblr-2931	584	31	37	37	NUM
cblr-2931	584	32	(	(	PUNCT
cblr-2931	584	33	2d	2d	NUM
cblr-2931	584	34	cir	cir	NOUN
cblr-2931	584	35	.	.	PUNCT
cblr-2931	584	36	1943	1943	NUM
cblr-2931	584	37	)	)	PUNCT
cblr-2931	584	38	,	,	PUNCT
cblr-2931	584	39	cert	cert	PROPN
cblr-2931	584	40	.	.	PUNCT
cblr-2931	584	41	denied	deny	VERB
cblr-2931	584	42	,	,	PUNCT
cblr-2931	584	43	321	321	NUM
cblr-2931	584	44	u.s	u.s	PROPN
cblr-2931	584	45	.	.	PROPN
cblr-2931	584	46	786	786	NUM
cblr-2931	584	47	(	(	PUNCT
cblr-2931	584	48	1944	1944	NUM
cblr-2931	584	49	)	)	PUNCT
cblr-2931	584	50	;	;	PUNCT
cblr-2931	584	51	sec	sec	PROPN
cblr-2931	584	52	v.	v.	PROPN
cblr-2931	584	53	resch	resch	PROPN
cblr-2931	584	54	-	-	PUNCT
cblr-2931	584	55	cassin	cassin	PROPN
cblr-2931	584	56	&	&	CCONJ
cblr-2931	584	57	co.	co.	PROPN
cblr-2931	584	58	,	,	PUNCT
cblr-2931	584	59	362	362	NUM
cblr-2931	584	60	f.	f.	PROPN
cblr-2931	584	61	supp	supp	PROPN
cblr-2931	584	62	.	.	PUNCT
cblr-2931	585	1	964	964	NUM
cblr-2931	585	2	,	,	PUNCT
cblr-2931	585	3	978	978	NUM
cblr-2931	585	4	(	(	PUNCT
cblr-2931	585	5	s.d.n.y	s.d.n.y	PROPN
cblr-2931	585	6	.	.	PROPN
cblr-2931	585	7	1973	1973	NUM
cblr-2931	585	8	)	)	PUNCT
cblr-2931	585	9	;	;	PUNCT
cblr-2931	585	10	in	in	ADP
cblr-2931	585	11	the	the	DET
cblr-2931	585	12	matter	matter	NOUN
cblr-2931	585	13	of	of	ADP
cblr-2931	585	14	duker	duker	NOUN
cblr-2931	585	15	&	&	CCONJ
cblr-2931	585	16	duker	duker	PROPN
cblr-2931	585	17	,	,	PUNCT
cblr-2931	585	18	exchange	exchange	NOUN
cblr-2931	585	19	act	act	NOUN
cblr-2931	585	20	release	release	VERB
cblr-2931	585	21	no	no	NOUN
cblr-2931	585	22	.	.	NOUN
cblr-2931	585	23	34	34	NUM
cblr-2931	585	24	-	-	SYM
cblr-2931	585	25	2350	2350	NUM
cblr-2931	585	26	,	,	PUNCT
cblr-2931	585	27	6	6	NUM
cblr-2931	585	28	s.e.c	s.e.c	NOUN
cblr-2931	585	29	.	.	PUNCT
cblr-2931	586	1	386	386	NUM
cblr-2931	586	2	,	,	PUNCT
cblr-2931	586	3	388	388	NUM
cblr-2931	586	4	-	-	SYM
cblr-2931	586	5	89	89	NUM
cblr-2931	586	6	,	,	PUNCT
cblr-2931	586	7	1939	1939	NUM
cblr-2931	586	8	wl	wl	NOUN
cblr-2931	586	9	36426	36426	NUM
cblr-2931	586	10	(	(	PUNCT
cblr-2931	586	11	dec	dec	PROPN
cblr-2931	586	12	.	.	PROPN
cblr-2931	586	13	19	19	NUM
cblr-2931	586	14	,	,	PUNCT
cblr-2931	586	15	1939	1939	NUM
cblr-2931	586	16	)	)	PUNCT
cblr-2931	586	17	;	;	PUNCT
cblr-2931	586	18	see	see	VERB
cblr-2931	586	19	also	also	ADV
cblr-2931	586	20	,	,	PUNCT
cblr-2931	586	21	e.g.	e.g.	ADV
cblr-2931	586	22	,	,	PUNCT
cblr-2931	586	23	davis	davis	PROPN
cblr-2931	586	24	v.	v.	PROPN
cblr-2931	586	25	merrill	merrill	PROPN
cblr-2931	586	26	lynch	lynch	PROPN
cblr-2931	586	27	,	,	PUNCT
cblr-2931	586	28	pierce	pierce	PROPN
cblr-2931	586	29	,	,	PUNCT
cblr-2931	586	30	fenner	fenner	PROPN
cblr-2931	586	31	&	&	CCONJ
cblr-2931	586	32	smith	smith	PROPN
cblr-2931	586	33	,	,	PUNCT
cblr-2931	586	34	inc	inc	PROPN
cblr-2931	586	35	.	.	PROPN
cblr-2931	586	36	,	,	PUNCT
cblr-2931	586	37	906	906	NUM
cblr-2931	586	38	f.2d	f.2d	NOUN
cblr-2931	586	39	1206	1206	NUM
cblr-2931	586	40	,	,	PUNCT
cblr-2931	586	41	1215	1215	NUM
cblr-2931	586	42	(	(	PUNCT
cblr-2931	586	43	8th	8th	ADJ
cblr-2931	586	44	cir	cir	NOUN
cblr-2931	586	45	.	.	PUNCT
cblr-2931	586	46	1990	1990	NUM
cblr-2931	586	47	)	)	PUNCT
cblr-2931	586	48	.	.	PUNCT
cblr-2931	587	1	117	117	NUM
cblr-2931	587	2	see	see	VERB
cblr-2931	587	3	patsos	patsos	NOUN
cblr-2931	587	4	v.	v.	ADP
cblr-2931	587	5	first	first	PROPN
cblr-2931	587	6	albany	albany	PROPN
cblr-2931	587	7	corp	corp	PROPN
cblr-2931	587	8	.	.	PROPN
cblr-2931	587	9	,	,	PUNCT
cblr-2931	587	10	741	741	NUM
cblr-2931	587	11	n.e.2d	n.e.2d	NOUN
cblr-2931	587	12	841	841	NUM
cblr-2931	587	13	(	(	PUNCT
cblr-2931	587	14	mass	mass	PROPN
cblr-2931	587	15	.	.	PROPN
cblr-2931	587	16	2001	2001	NUM
cblr-2931	587	17	)	)	PUNCT
cblr-2931	587	18	,	,	PUNCT
cblr-2931	587	19	affirming	affirm	VERB
cblr-2931	587	20	719	719	NUM
cblr-2931	587	21	n.e.2d	n.e.2d	NOUN
cblr-2931	587	22	882	882	NUM
cblr-2931	587	23	(	(	PUNCT
cblr-2931	587	24	mass	mass	PROPN
cblr-2931	587	25	.	.	PUNCT
cblr-2931	588	1	app	app	PROPN
cblr-2931	588	2	.	.	PUNCT
cblr-2931	589	1	ct	ct	PROPN
cblr-2931	589	2	.	.	PROPN
cblr-2931	589	3	1999	1999	NUM
cblr-2931	589	4	)	)	PUNCT
cblr-2931	589	5	(	(	PUNCT
cblr-2931	589	6	a	a	DET
cblr-2931	589	7	fiduciary	fiduciary	ADJ
cblr-2931	589	8	relationship	relationship	NOUN
cblr-2931	589	9	existed	exist	VERB
cblr-2931	589	10	when	when	SCONJ
cblr-2931	589	11	the	the	DET
cblr-2931	589	12	broker	broker	NOUN
cblr-2931	589	13	approached	approach	VERB
cblr-2931	589	14	plaintiff	plaintiff	NOUN
cblr-2931	589	15	,	,	PUNCT
cblr-2931	589	16	offered	offer	VERB
cblr-2931	589	17	services	service	NOUN
cblr-2931	589	18	,	,	PUNCT
cblr-2931	589	19	and	and	CCONJ
cblr-2931	589	20	claimed	claim	VERB
cblr-2931	589	21	to	to	PART
cblr-2931	589	22	be	be	AUX
cblr-2931	589	23	experienced	experience	VERB
cblr-2931	589	24	in	in	ADP
cblr-2931	589	25	the	the	DET
cblr-2931	589	26	field	field	NOUN
cblr-2931	589	27	and	and	CCONJ
cblr-2931	589	28	uniquely	uniquely	ADV
cblr-2931	589	29	capable	capable	ADJ
cblr-2931	589	30	of	of	ADP
cblr-2931	589	31	handling	handle	VERB
cblr-2931	589	32	the	the	DET
cblr-2931	589	33	purchase	purchase	NOUN
cblr-2931	589	34	of	of	ADP
cblr-2931	589	35	certain	certain	ADJ
cblr-2931	589	36	stocks	stock	NOUN
cblr-2931	589	37	)	)	PUNCT
cblr-2931	589	38	;	;	PUNCT
cblr-2931	589	39	see	see	VERB
cblr-2931	589	40	also	also	ADV
cblr-2931	589	41	,	,	PUNCT
cblr-2931	589	42	e.g.	e.g.	ADV
cblr-2931	589	43	,	,	PUNCT
cblr-2931	589	44	stokes	stokes	PROPN
cblr-2931	589	45	v.	v.	PROPN
cblr-2931	589	46	henson	henson	PROPN
cblr-2931	589	47	,	,	PUNCT
cblr-2931	589	48	265	265	NUM
cblr-2931	589	49	cal	cal	NOUN
cblr-2931	589	50	.	.	PUNCT
cblr-2931	590	1	rptr	rptr	PROPN
cblr-2931	590	2	.	.	PUNCT
cblr-2931	591	1	836	836	NUM
cblr-2931	591	2	,	,	PUNCT
cblr-2931	591	3	839	839	NUM
cblr-2931	591	4	(	(	PUNCT
cblr-2931	591	5	cal	cal	PROPN
cblr-2931	591	6	.	.	PUNCT
cblr-2931	592	1	ct	ct	PROPN
cblr-2931	592	2	.	.	PUNCT
cblr-2931	592	3	app	app	PROPN
cblr-2931	592	4	.	.	PROPN
cblr-2931	592	5	1990	1990	NUM
cblr-2931	592	6	)	)	PUNCT
cblr-2931	592	7	.	.	PUNCT
cblr-2931	593	1	the	the	DET
cblr-2931	593	2	experience	experience	NOUN
cblr-2931	593	3	and	and	CCONJ
cblr-2931	593	4	sophistication	sophistication	NOUN
cblr-2931	593	5	of	of	ADP
cblr-2931	593	6	the	the	DET
cblr-2931	593	7	customer	customer	NOUN
cblr-2931	593	8	will	will	AUX
cblr-2931	593	9	be	be	AUX
cblr-2931	593	10	a	a	DET
cblr-2931	593	11	factor	factor	NOUN
cblr-2931	593	12	in	in	ADP
cblr-2931	593	13	judging	judge	VERB
cblr-2931	593	14	the	the	DET
cblr-2931	593	15	extent	extent	NOUN
cblr-2931	593	16	of	of	ADP
cblr-2931	593	17	the	the	DET
cblr-2931	593	18	broker	broker	NOUN
cblr-2931	593	19	's	's	PART
cblr-2931	593	20	fiduciary	fiduciary	ADJ
cblr-2931	593	21	duty	duty	NOUN
cblr-2931	593	22	.	.	PUNCT
cblr-2931	594	1	compare	compare	PROPN
cblr-2931	594	2	,	,	PUNCT
cblr-2931	594	3	e.g.	e.g.	ADV
cblr-2931	594	4	,	,	PUNCT
cblr-2931	594	5	mccracken	mccracken	PROPN
cblr-2931	594	6	v.	v.	PROPN
cblr-2931	594	7	edward	edward	PROPN
cblr-2931	594	8	d.	d.	PROPN
cblr-2931	594	9	jones	jones	PROPN
cblr-2931	594	10	&	&	CCONJ
cblr-2931	594	11	co.	co.	PROPN
cblr-2931	594	12	,	,	PUNCT
cblr-2931	594	13	445	445	NUM
cblr-2931	594	14	n.w.2d	n.w.2d	ADP
cblr-2931	594	15	375	375	NUM
cblr-2931	594	16	(	(	PUNCT
cblr-2931	594	17	iowa	iowa	PROPN
cblr-2931	594	18	ct	ct	PROPN
cblr-2931	594	19	.	.	PUNCT
cblr-2931	595	1	app	app	PROPN
cblr-2931	595	2	.	.	PROPN
cblr-2931	595	3	1989	1989	NUM
cblr-2931	595	4	)	)	PUNCT
cblr-2931	595	5	(	(	PUNCT
cblr-2931	595	6	broker	broker	NOUN
cblr-2931	595	7	owed	owe	VERB
cblr-2931	595	8	a	a	DET
cblr-2931	595	9	fiduciary	fiduciary	ADJ
cblr-2931	595	10	duty	duty	NOUN
cblr-2931	595	11	to	to	ADP
cblr-2931	595	12	the	the	DET
cblr-2931	595	13	customer	customer	NOUN
cblr-2931	595	14	,	,	PUNCT
cblr-2931	595	15	relying	rely	VERB
cblr-2931	595	16	in	in	ADP
cblr-2931	595	17	large	large	ADJ
cblr-2931	595	18	part	part	NOUN
cblr-2931	595	19	on	on	ADP
cblr-2931	595	20	the	the	DET
cblr-2931	595	21	customer	customer	NOUN
cblr-2931	595	22	's	's	PART
cblr-2931	595	23	inexperience	inexperience	NOUN
cblr-2931	595	24	)	)	PUNCT
cblr-2931	595	25	with	with	ADP
cblr-2931	595	26	williams	williams	PROPN
cblr-2931	595	27	v.	v.	PROPN
cblr-2931	595	28	edward	edward	PROPN
cblr-2931	595	29	d.	d.	PROPN
cblr-2931	595	30	jones	jones	PROPN
cblr-2931	595	31	&	&	CCONJ
cblr-2931	595	32	co.	co.	PROPN
cblr-2931	595	33	,	,	PUNCT
cblr-2931	595	34	556	556	NUM
cblr-2931	595	35	so	so	ADV
cblr-2931	595	36	.	.	PUNCT
cblr-2931	596	1	2d	2d	NOUN
cblr-2931	596	2	914	914	NUM
cblr-2931	596	3	(	(	PUNCT
cblr-2931	596	4	la	la	PROPN
cblr-2931	596	5	.	.	PUNCT
cblr-2931	597	1	ct	ct	PROPN
cblr-2931	597	2	.	.	PUNCT
cblr-2931	597	3	app	app	PROPN
cblr-2931	597	4	.	.	PROPN
cblr-2931	597	5	1990	1990	NUM
cblr-2931	597	6	)	)	PUNCT
cblr-2931	597	7	(	(	PUNCT
cblr-2931	597	8	finding	find	VERB
cblr-2931	597	9	no	no	DET
cblr-2931	597	10	breach	breach	NOUN
cblr-2931	597	11	of	of	ADP
cblr-2931	597	12	duty	duty	NOUN
cblr-2931	597	13	to	to	ADP
cblr-2931	597	14	a	a	DET
cblr-2931	597	15	sophisticated	sophisticated	ADJ
cblr-2931	597	16	customer	customer	NOUN
cblr-2931	597	17	)	)	PUNCT
cblr-2931	597	18	.	.	PUNCT
cblr-2931	598	1	138	138	NUM
cblr-2931	598	2	see	see	NOUN
cblr-2931	598	3	,	,	PUNCT
cblr-2931	598	4	e.g.	e.g.	ADV
cblr-2931	598	5	,	,	PUNCT
cblr-2931	598	6	press	press	NOUN
cblr-2931	598	7	v.	v.	ADP
cblr-2931	598	8	chem	chem	NOUN
cblr-2931	598	9	.	.	PUNCT
cblr-2931	599	1	inv	inv	VERB
cblr-2931	599	2	.	.	PUNCT
cblr-2931	600	1	servs	servs	PROPN
cblr-2931	600	2	.	.	PUNCT
cblr-2931	601	1	corp	corp	PROPN
cblr-2931	602	1	.	.	PROPN
cblr-2931	602	2	,	,	PUNCT
cblr-2931	602	3	166	166	NUM
cblr-2931	602	4	f.3d	f.3d	NUM
cblr-2931	602	5	529	529	NUM
cblr-2931	602	6	,	,	PUNCT
cblr-2931	602	7	536	536	NUM
cblr-2931	602	8	(	(	PUNCT
cblr-2931	602	9	2d	2d	NUM
cblr-2931	602	10	cir	cir	NOUN
cblr-2931	602	11	.	.	PROPN
cblr-2931	602	12	1999	1999	NUM
cblr-2931	602	13	)	)	PUNCT
cblr-2931	602	14	(	(	PUNCT
cblr-2931	602	15	in	in	ADP
cblr-2931	602	16	connection	connection	NOUN
cblr-2931	602	17	with	with	ADP
cblr-2931	602	18	10b-5	10b-5	NUM
cblr-2931	602	19	claims	claim	NOUN
cblr-2931	602	20	relating	relate	VERB
cblr-2931	602	21	to	to	ADP
cblr-2931	602	22	mark	mark	NOUN
cblr-2931	602	23	-	-	PUNCT
cblr-2931	602	24	ups	up	NOUN
cblr-2931	602	25	,	,	PUNCT
cblr-2931	602	26	finding	find	VERB
cblr-2931	602	27	no	no	DET
cblr-2931	602	28	fiduciary	fiduciary	ADJ
cblr-2931	602	29	duty	duty	NOUN
cblr-2931	602	30	under	under	ADP
cblr-2931	602	31	new	new	PROPN
cblr-2931	602	32	york	york	PROPN
cblr-2931	602	33	law	law	PROPN
cblr-2931	602	34	)	)	PUNCT
cblr-2931	602	35	;	;	PUNCT
cblr-2931	602	36	sec	sec	PROPN
cblr-2931	602	37	v.	v.	ADP
cblr-2931	602	38	pasternak	pasternak	PROPN
cblr-2931	602	39	,	,	PUNCT
cblr-2931	602	40	561	561	NUM
cblr-2931	602	41	f.	f.	PROPN
cblr-2931	602	42	supp	supp	PROPN
cblr-2931	602	43	.	.	PUNCT
cblr-2931	603	1	2d	2d	PROPN
cblr-2931	603	2	459	459	NUM
cblr-2931	603	3	,	,	PUNCT
cblr-2931	603	4	499	499	NUM
cblr-2931	603	5	(	(	PUNCT
cblr-2931	603	6	d.n.j	d.n.j	PROPN
cblr-2931	603	7	.	.	PROPN
cblr-2931	603	8	2008	2008	NUM
cblr-2931	603	9	)	)	PUNCT
cblr-2931	604	1	(	(	PUNCT
cblr-2931	604	2	"	"	PUNCT
cblr-2931	604	3	to	to	PART
cblr-2931	604	4	determine	determine	VERB
cblr-2931	604	5	the	the	DET
cblr-2931	604	6	existence	existence	NOUN
cblr-2931	604	7	of	of	ADP
cblr-2931	604	8	a	a	DET
cblr-2931	604	9	fiduciary	fiduciary	ADJ
cblr-2931	604	10	relationship	relationship	NOUN
cblr-2931	604	11	in	in	ADP
cblr-2931	604	12	federal	federal	ADJ
cblr-2931	604	13	securities	security	NOUN
cblr-2931	604	14	fraud	fraud	NOUN
cblr-2931	604	15	actions	action	NOUN
cblr-2931	604	16	,	,	PUNCT
cblr-2931	604	17	district	district	NOUN
cblr-2931	604	18	courts	court	NOUN
cblr-2931	604	19	generally	generally	ADV
cblr-2931	604	20	look	look	VERB
cblr-2931	604	21	to	to	ADP
cblr-2931	604	22	state	state	NOUN
cblr-2931	604	23	law	law	NOUN
cblr-2931	604	24	.	.	PUNCT
cblr-2931	605	1	"	"	PUNCT
cblr-2931	605	2	)	)	PUNCT
cblr-2931	605	3	.	.	PUNCT
cblr-2931	606	1	139	139	NUM
cblr-2931	606	2	see	see	VERB
cblr-2931	606	3	,	,	PUNCT
cblr-2931	606	4	e.g.	e.g.	ADV
cblr-2931	606	5	,	,	PUNCT
cblr-2931	606	6	french	french	ADJ
cblr-2931	606	7	v.	v.	PROPN
cblr-2931	606	8	first	first	PROPN
cblr-2931	606	9	union	union	PROPN
cblr-2931	606	10	sec	sec	PROPN
cblr-2931	606	11	.	.	PROPN
cblr-2931	606	12	,	,	PUNCT
cblr-2931	606	13	inc	inc	PROPN
cblr-2931	606	14	.	.	PROPN
cblr-2931	606	15	,	,	PUNCT
cblr-2931	606	16	209	209	NUM
cblr-2931	606	17	f.	f.	PROPN
cblr-2931	606	18	supp	supp	PROPN
cblr-2931	606	19	.	.	PUNCT
cblr-2931	607	1	2d	2d	PROPN
cblr-2931	607	2	818	818	NUM
cblr-2931	607	3	,	,	PUNCT
cblr-2931	607	4	825	825	NUM
cblr-2931	607	5	(	(	PUNCT
cblr-2931	607	6	m.d	m.d	PROPN
cblr-2931	607	7	.	.	PROPN
cblr-2931	607	8	tenn	tenn	PROPN
cblr-2931	607	9	.	.	PROPN
cblr-2931	607	10	2002	2002	NUM
cblr-2931	607	11	)	)	PUNCT
cblr-2931	608	1	(	(	PUNCT
cblr-2931	608	2	noting	note	VERB
cblr-2931	608	3	that	that	SCONJ
cblr-2931	608	4	"	"	PUNCT
cblr-2931	608	5	the	the	DET
cblr-2931	608	6	investor	investor	NOUN
cblr-2931	608	7	-	-	PUNCT
cblr-2931	608	8	stockbroker	stockbroker	NOUN
cblr-2931	608	9	relationship	relationship	NOUN
cblr-2931	608	10	is	be	AUX
cblr-2931	608	11	an	an	DET
cblr-2931	608	12	inherently	inherently	ADV
cblr-2931	608	13	fiduciary	fiduciary	ADJ
cblr-2931	608	14	relationship	relationship	NOUN
cblr-2931	608	15	"	"	PUNCT
cblr-2931	608	16	)	)	PUNCT
cblr-2931	608	17	(	(	PUNCT
cblr-2931	608	18	applying	apply	VERB
cblr-2931	608	19	tennessee	tennessee	PROPN
cblr-2931	608	20	law	law	PROPN
cblr-2931	608	21	)	)	PUNCT
cblr-2931	608	22	,	,	PUNCT
cblr-2931	608	23	relying	rely	VERB
cblr-2931	608	24	on	on	ADP
cblr-2931	608	25	street	street	NOUN
cblr-2931	608	26	v.	v.	ADP
cblr-2931	608	27	j.c	j.c	PROPN
cblr-2931	608	28	.	.	PROPN
cblr-2931	608	29	bradford	bradford	PROPN
cblr-2931	608	30	&	&	CCONJ
cblr-2931	608	31	co.	co.	PROPN
cblr-2931	608	32	,	,	PUNCT
cblr-2931	608	33	886	886	NUM
cblr-2931	608	34	f.2d	f.2d	NOUN
cblr-2931	608	35	1472	1472	NUM
cblr-2931	608	36	,	,	PUNCT
cblr-2931	608	37	1481	1481	NUM
cblr-2931	608	38	(	(	PUNCT
cblr-2931	608	39	6th	6th	ADJ
cblr-2931	608	40	cir	cir	NOUN
cblr-2931	608	41	.	.	PROPN
cblr-2931	608	42	1989	1989	NUM
cblr-2931	608	43	)	)	PUNCT
cblr-2931	608	44	;	;	PUNCT
cblr-2931	608	45	youngblood	youngblood	PROPN
cblr-2931	608	46	v.	v.	PROPN
cblr-2931	608	47	wall	wall	PROPN
cblr-2931	608	48	,	,	PUNCT
cblr-2931	608	49	815	815	NUM
cblr-2931	608	50	s.w.2d	s.w.2d	NUM
cblr-2931	608	51	512	512	NUM
cblr-2931	608	52	,	,	PUNCT
cblr-2931	608	53	516	516	NUM
cblr-2931	608	54	(	(	PUNCT
cblr-2931	608	55	tenn	tenn	PROPN
cblr-2931	608	56	.	.	PROPN
cblr-2931	609	1	ct	ct	PROPN
cblr-2931	609	2	.	.	PUNCT
cblr-2931	610	1	app	app	PROPN
cblr-2931	610	2	.	.	PROPN
cblr-2931	610	3	1991	1991	NUM
cblr-2931	610	4	)	)	PUNCT
cblr-2931	611	1	(	(	PUNCT
cblr-2931	611	2	dispute	dispute	NOUN
cblr-2931	611	3	involving	involve	VERB
cblr-2931	611	4	real	real	ADJ
cblr-2931	611	5	estate	estate	NOUN
cblr-2931	611	6	broker	broker	NOUN
cblr-2931	611	7	)	)	PUNCT
cblr-2931	611	8	.	.	PUNCT
cblr-2931	612	1	columibia	columibia	PROPN
cblr-2931	612	2	business	business	PROPN
cblr-2931	612	3	law	law	NOUN
cblr-2931	612	4	review	review	NOUN
cblr-2931	613	1	[	[	X
cblr-2931	613	2	vol	vol	NOUN
cblr-2931	613	3	.	.	PUNCT
cblr-2931	613	4	2010740	2010740	NUM
cblr-2931	613	5	no	no	NOUN
cblr-2931	613	6	.	.	PUNCT
cblr-2931	614	1	3:710	3:710	NUM
cblr-2931	614	2	]	]	PUNCT
cblr-2931	614	3	are	be	AUX
cblr-2931	614	4	existing	exist	VERB
cblr-2931	614	5	stock	stock	NOUN
cblr-2931	614	6	broker	broker	NOUN
cblr-2931	614	7	standards	standard	NOUN
cblr-2931	614	8	sufficient	sufficient	ADJ
cblr-2931	614	9	?	?	PUNCT
cblr-2931	615	1	agency	agency	NOUN
cblr-2931	615	2	relationship	relationship	NOUN
cblr-2931	615	3	,	,	PUNCT
cblr-2931	615	4	which	which	PRON
cblr-2931	615	5	by	by	ADP
cblr-2931	615	6	itself	itself	PRON
cblr-2931	615	7	is	be	AUX
cblr-2931	615	8	fiduciary	fiduciary	ADJ
cblr-2931	615	9	in	in	ADP
cblr-2931	615	10	nature	nature	NOUN
cblr-2931	615	11	.	.	PUNCT
cblr-2931	616	1	40	40	NUM
cblr-2931	616	2	however	however	ADV
cblr-2931	616	3	,	,	PUNCT
cblr-2931	616	4	that	that	SCONJ
cblr-2931	616	5	the	the	DET
cblr-2931	616	6	relationship	relationship	NOUN
cblr-2931	616	7	is	be	AUX
cblr-2931	616	8	fiduciary	fiduciary	ADJ
cblr-2931	616	9	in	in	ADP
cblr-2931	616	10	nature	nature	NOUN
cblr-2931	616	11	only	only	ADV
cblr-2931	616	12	takes	take	VERB
cblr-2931	616	13	one	one	NUM
cblr-2931	616	14	so	so	ADV
cblr-2931	616	15	far	far	ADV
cblr-2931	616	16	.	.	PUNCT
cblr-2931	617	1	the	the	DET
cblr-2931	617	2	key	key	ADJ
cblr-2931	617	3	question	question	NOUN
cblr-2931	617	4	is	be	AUX
cblr-2931	617	5	what	what	PRON
cblr-2931	617	6	actual	actual	ADJ
cblr-2931	617	7	duties	duty	NOUN
cblr-2931	617	8	arise	arise	VERB
cblr-2931	617	9	out	out	ADP
cblr-2931	617	10	of	of	ADP
cblr-2931	617	11	the	the	DET
cblr-2931	617	12	relationship	relationship	NOUN
cblr-2931	617	13	.	.	PUNCT
cblr-2931	618	1	the	the	DET
cblr-2931	618	2	answer	answer	NOUN
cblr-2931	618	3	depends	depend	VERB
cblr-2931	618	4	on	on	ADP
cblr-2931	618	5	the	the	DET
cblr-2931	618	6	particular	particular	ADJ
cblr-2931	618	7	broker	broker	NOUN
cblr-2931	618	8	-	-	PUNCT
cblr-2931	618	9	customer	customer	NOUN
cblr-2931	618	10	relationship	relationship	NOUN
cblr-2931	618	11	and	and	CCONJ
cblr-2931	618	12	the	the	DET
cblr-2931	618	13	functions	function	NOUN
cblr-2931	618	14	performed	perform	VERB
cblr-2931	618	15	by	by	ADP
cblr-2931	618	16	the	the	DET
cblr-2931	618	17	broker	broker	NOUN
cblr-2931	618	18	.	.	PUNCT
cblr-2931	619	1	thus	thus	ADV
cblr-2931	619	2	,	,	PUNCT
cblr-2931	619	3	for	for	ADP
cblr-2931	619	4	example	example	NOUN
cblr-2931	619	5	,	,	PUNCT
cblr-2931	619	6	a	a	DET
cblr-2931	619	7	clearing	clearing	NOUN
cblr-2931	619	8	broker	broker	NOUN
cblr-2931	619	9	that	that	PRON
cblr-2931	619	10	does	do	AUX
cblr-2931	619	11	not	not	PART
cblr-2931	619	12	perform	perform	VERB
cblr-2931	619	13	the	the	DET
cblr-2931	619	14	retail	retail	ADJ
cblr-2931	619	15	functions	function	NOUN
cblr-2931	619	16	normally	normally	ADV
cblr-2931	619	17	associated	associate	VERB
cblr-2931	619	18	with	with	ADP
cblr-2931	619	19	introducing	introduce	VERB
cblr-2931	619	20	brokers	broker	NOUN
cblr-2931	619	21	and	and	CCONJ
cblr-2931	619	22	full	full	ADJ
cblr-2931	619	23	-	-	PUNCT
cblr-2931	619	24	service	service	NOUN
cblr-2931	619	25	brokers	broker	NOUN
cblr-2931	619	26	has	have	AUX
cblr-2931	619	27	been	be	AUX
cblr-2931	619	28	said	say	VERB
cblr-2931	619	29	not	not	PART
cblr-2931	619	30	to	to	PART
cblr-2931	619	31	owe	owe	VERB
cblr-2931	619	32	fiduciary	fiduciary	ADJ
cblr-2931	619	33	duties	duty	NOUN
cblr-2931	619	34	to	to	ADP
cblr-2931	619	35	the	the	DET
cblr-2931	619	36	customer.14	customer.14	PROPN
cblr-2931	619	37	'	'	PUNCT
cblr-2931	619	38	where	where	SCONJ
cblr-2931	619	39	a	a	DET
cblr-2931	619	40	clearing	clearing	NOUN
cblr-2931	619	41	broker	broker	NOUN
cblr-2931	619	42	has	have	VERB
cblr-2931	619	43	reason	reason	NOUN
cblr-2931	619	44	to	to	PART
cblr-2931	619	45	know	know	VERB
cblr-2931	619	46	of	of	ADP
cblr-2931	619	47	wrongdoing	wrongdoing	NOUN
cblr-2931	619	48	by	by	ADP
cblr-2931	619	49	the	the	DET
cblr-2931	619	50	introducing	introduce	VERB
cblr-2931	619	51	broker	broker	NOUN
cblr-2931	619	52	,	,	PUNCT
cblr-2931	619	53	both	both	DET
cblr-2931	619	54	brokers	broker	NOUN
cblr-2931	619	55	can	can	AUX
cblr-2931	619	56	be	be	AUX
cblr-2931	619	57	held	hold	VERB
cblr-2931	619	58	accountable	accountable	ADJ
cblr-2931	619	59	.	.	PUNCT
cblr-2931	620	1	"	"	PUNCT
cblr-2931	620	2	'	'	PUNCT
cblr-2931	620	3	for	for	ADP
cblr-2931	620	4	similar	similar	ADJ
cblr-2931	620	5	reasons	reason	NOUN
cblr-2931	620	6	,	,	PUNCT
cblr-2931	620	7	a	a	DET
cblr-2931	620	8	prime	prime	ADJ
cblr-2931	620	9	brokerage	brokerage	NOUN
cblr-2931	620	10	operation	operation	NOUN
cblr-2931	620	11	4	4	NUM
cblr-2931	620	12	3	3	NUM
cblr-2931	620	13	servicing	service	VERB
cblr-2931	620	14	an	an	DET
cblr-2931	620	15	investment	investment	NOUN
cblr-2931	620	16	fund	fund	NOUN
cblr-2931	620	17	does	do	AUX
cblr-2931	620	18	not	not	PART
cblr-2931	620	19	ordinarily	ordinarily	ADV
cblr-2931	620	20	owe	owe	VERB
cblr-2931	620	21	duties	duty	NOUN
cblr-2931	620	22	directly	directly	ADV
cblr-2931	620	23	to	to	ADP
cblr-2931	620	24	the	the	DET
cblr-2931	620	25	fund	fund	NOUN
cblr-2931	620	26	's	's	PART
cblr-2931	620	27	participants	participant	NOUN
cblr-2931	620	28	.	.	PUNCT
cblr-2931	620	29	'	'	PUNCT
cblr-2931	621	1	"	"	PUNCT
cblr-2931	621	2	14	14	NUM
cblr-2931	621	3	french	french	NOUN
cblr-2931	621	4	,	,	PUNCT
cblr-2931	621	5	209	209	NUM
cblr-2931	621	6	f.	f.	PROPN
cblr-2931	621	7	supp	supp	PROPN
cblr-2931	621	8	.	.	PUNCT
cblr-2931	622	1	2d	2d	PROPN
cblr-2931	622	2	.	.	PUNCT
cblr-2931	623	1	at	at	ADP
cblr-2931	623	2	825	825	NUM
cblr-2931	623	3	.	.	PUNCT
cblr-2931	624	1	when	when	SCONJ
cblr-2931	624	2	applicable	applicable	ADJ
cblr-2931	624	3	,	,	PUNCT
cblr-2931	624	4	state	state	NOUN
cblr-2931	624	5	law	law	NOUN
cblr-2931	624	6	fiduciary	fiduciary	ADJ
cblr-2931	624	7	obligations	obligation	NOUN
cblr-2931	624	8	also	also	ADV
cblr-2931	624	9	heighten	heighten	VERB
cblr-2931	624	10	the	the	DET
cblr-2931	624	11	disclosure	disclosure	NOUN
cblr-2931	624	12	obligations	obligation	NOUN
cblr-2931	624	13	relating	relate	VERB
cblr-2931	624	14	to	to	ADP
cblr-2931	624	15	agreements	agreement	NOUN
cblr-2931	624	16	to	to	PART
cblr-2931	624	17	arbitrate	arbitrate	VERB
cblr-2931	624	18	broker	broker	NOUN
cblr-2931	624	19	-	-	PUNCT
cblr-2931	624	20	dealer	dealer	NOUN
cblr-2931	624	21	/	/	SYM
cblr-2931	624	22	customer	customer	NOUN
cblr-2931	624	23	disputes	dispute	NOUN
cblr-2931	624	24	.	.	PUNCT
cblr-2931	625	1	it	it	PRON
cblr-2931	625	2	has	have	AUX
cblr-2931	625	3	thus	thus	ADV
cblr-2931	625	4	been	be	AUX
cblr-2931	625	5	held	hold	VERB
cblr-2931	625	6	that	that	SCONJ
cblr-2931	625	7	a	a	DET
cblr-2931	625	8	failure	failure	NOUN
cblr-2931	625	9	to	to	PART
cblr-2931	625	10	adequately	adequately	ADV
cblr-2931	625	11	explain	explain	VERB
cblr-2931	625	12	the	the	DET
cblr-2931	625	13	arbitration	arbitration	NOUN
cblr-2931	625	14	clause	clause	NOUN
cblr-2931	625	15	can	can	AUX
cblr-2931	625	16	result	result	VERB
cblr-2931	625	17	in	in	ADP
cblr-2931	625	18	non	non	ADJ
cblr-2931	625	19	-	-	NOUN
cblr-2931	625	20	enforcement	enforcement	NOUN
cblr-2931	625	21	of	of	ADP
cblr-2931	625	22	the	the	DET
cblr-2931	625	23	pre	pre	ADJ
cblr-2931	625	24	-	-	ADJ
cblr-2931	625	25	dispute	dispute	ADJ
cblr-2931	625	26	arbitration	arbitration	NOUN
cblr-2931	625	27	agreement	agreement	NOUN
cblr-2931	625	28	.	.	PUNCT
cblr-2931	626	1	willems	willems	PROPN
cblr-2931	626	2	v.	v.	ADP
cblr-2931	626	3	u.s	u.s	PROPN
cblr-2931	626	4	.	.	PROPN
cblr-2931	626	5	bancorp	bancorp	PROPN
cblr-2931	626	6	piper	piper	PROPN
cblr-2931	626	7	jaffray	jaffray	PROPN
cblr-2931	626	8	,	,	PUNCT
cblr-2931	626	9	inc	inc	PROPN
cblr-2931	626	10	.	.	PROPN
cblr-2931	626	11	,	,	PUNCT
cblr-2931	626	12	107	107	NUM
cblr-2931	626	13	p.3d	p.3d	NUM
cblr-2931	626	14	465	465	NUM
cblr-2931	626	15	,	,	PUNCT
cblr-2931	626	16	470	470	NUM
cblr-2931	626	17	(	(	PUNCT
cblr-2931	626	18	mont	mont	NOUN
cblr-2931	626	19	.	.	PUNCT
cblr-2931	626	20	2005	2005	NUM
cblr-2931	626	21	)	)	PUNCT
cblr-2931	626	22	.	.	PUNCT
cblr-2931	627	1	brokerdealer	brokerdealer	NOUN
cblr-2931	627	2	arbitration	arbitration	NOUN
cblr-2931	627	3	is	be	AUX
cblr-2931	627	4	discussed	discuss	VERB
cblr-2931	627	5	in	in	ADP
cblr-2931	627	6	5	5	NUM
cblr-2931	627	7	hazen	hazen	NOUN
cblr-2931	627	8	,	,	PUNCT
cblr-2931	627	9	supra	supra	PROPN
cblr-2931	627	10	note	note	PROPN
cblr-2931	627	11	93	93	NUM
cblr-2931	627	12	,	,	PUNCT
cblr-2931	627	13	ch.15	ch.15	NOUN
cblr-2931	627	14	.	.	PUNCT
cblr-2931	628	1	141	141	NUM
cblr-2931	628	2	see	see	NOUN
cblr-2931	628	3	,	,	PUNCT
cblr-2931	628	4	e	e	NOUN
cblr-2931	628	5	..	..	PUNCT
cblr-2931	628	6	g.	g.	PROPN
cblr-2931	628	7	,	,	PUNCT
cblr-2931	628	8	lesavoy	lesavoy	PROPN
cblr-2931	628	9	v.	v.	ADP
cblr-2931	628	10	lane	lane	PROPN
cblr-2931	628	11	,	,	PUNCT
cblr-2931	628	12	304	304	NUM
cblr-2931	628	13	f.	f.	PROPN
cblr-2931	628	14	supp	supp	PROPN
cblr-2931	628	15	.	.	PUNCT
cblr-2931	629	1	2d	2d	PROPN
cblr-2931	629	2	520	520	NUM
cblr-2931	629	3	,	,	PUNCT
cblr-2931	629	4	526	526	NUM
cblr-2931	629	5	(	(	PUNCT
cblr-2931	629	6	s.d.n.y	s.d.n.y	PROPN
cblr-2931	629	7	.	.	NOUN
cblr-2931	629	8	2004	2004	NUM
cblr-2931	629	9	)	)	PUNCT
cblr-2931	630	1	(	(	PUNCT
cblr-2931	630	2	applying	apply	VERB
cblr-2931	630	3	new	new	PROPN
cblr-2931	630	4	york	york	PROPN
cblr-2931	630	5	law	law	PROPN
cblr-2931	630	6	)	)	PUNCT
cblr-2931	630	7	;	;	PUNCT
cblr-2931	631	1	rozsa	rozsa	NOUN
cblr-2931	631	2	v.	v.	PROPN
cblr-2931	631	3	may	may	AUX
cblr-2931	631	4	davis	davis	PROPN
cblr-2931	631	5	grp	grp	PROPN
cblr-2931	631	6	.	.	PROPN
cblr-2931	631	7	,	,	PUNCT
cblr-2931	631	8	inc	inc	PROPN
cblr-2931	631	9	.	.	PROPN
cblr-2931	631	10	,	,	PUNCT
cblr-2931	631	11	187	187	NUM
cblr-2931	631	12	f.	f.	PROPN
cblr-2931	631	13	supp	supp	PROPN
cblr-2931	631	14	.	.	PUNCT
cblr-2931	632	1	2d	2d	NOUN
cblr-2931	632	2	123	123	NUM
cblr-2931	632	3	,	,	PUNCT
cblr-2931	632	4	129	129	NUM
cblr-2931	632	5	(	(	PUNCT
cblr-2931	632	6	s.d.n.y	s.d.n.y	PROPN
cblr-2931	632	7	.	.	PROPN
cblr-2931	632	8	2002	2002	NUM
cblr-2931	632	9	)	)	PUNCT
cblr-2931	632	10	;	;	PUNCT
cblr-2931	632	11	in	in	ADP
cblr-2931	632	12	re	re	X
cblr-2931	632	13	adler	adler	PROPN
cblr-2931	632	14	coleman	coleman	PROPN
cblr-2931	632	15	clearing	clearing	PROPN
cblr-2931	632	16	corp	corp	PROPN
cblr-2931	632	17	.	.	PROPN
cblr-2931	632	18	,	,	PUNCT
cblr-2931	632	19	198	198	NUM
cblr-2931	632	20	b.r	b.r	PROPN
cblr-2931	632	21	.	.	PROPN
cblr-2931	632	22	70	70	NUM
cblr-2931	632	23	,	,	PUNCT
cblr-2931	632	24	73	73	NUM
cblr-2931	632	25	(	(	PUNCT
cblr-2931	632	26	bankr	bankr	PROPN
cblr-2931	632	27	.	.	PUNCT
cblr-2931	633	1	s.d.n.y	s.d.n.y	PROPN
cblr-2931	633	2	.	.	PROPN
cblr-2931	633	3	1996	1996	NUM
cblr-2931	633	4	)	)	PUNCT
cblr-2931	633	5	(	(	PUNCT
cblr-2931	633	6	"	"	PUNCT
cblr-2931	633	7	as	as	ADP
cblr-2931	633	8	a	a	DET
cblr-2931	633	9	general	general	ADJ
cblr-2931	633	10	rule	rule	NOUN
cblr-2931	633	11	,	,	PUNCT
cblr-2931	633	12	a	a	DET
cblr-2931	633	13	clearing	clearing	NOUN
cblr-2931	633	14	firm	firm	NOUN
cblr-2931	633	15	is	be	AUX
cblr-2931	633	16	not	not	PART
cblr-2931	633	17	liable	liable	ADJ
cblr-2931	633	18	for	for	ADP
cblr-2931	633	19	losses	loss	NOUN
cblr-2931	633	20	occasioned	occasion	VERB
cblr-2931	633	21	by	by	ADP
cblr-2931	633	22	an	an	DET
cblr-2931	633	23	introducing	introduce	VERB
cblr-2931	633	24	broker	broker	NOUN
cblr-2931	633	25	because	because	SCONJ
cblr-2931	633	26	the	the	DET
cblr-2931	633	27	clearing	clearing	NOUN
cblr-2931	633	28	firm	firm	NOUN
cblr-2931	633	29	does	do	AUX
cblr-2931	633	30	not	not	PART
cblr-2931	633	31	have	have	VERB
cblr-2931	633	32	a	a	DET
cblr-2931	633	33	fiduciary	fiduciary	ADJ
cblr-2931	633	34	relationship	relationship	NOUN
cblr-2931	633	35	with	with	ADP
cblr-2931	633	36	the	the	DET
cblr-2931	633	37	customers	customer	NOUN
cblr-2931	633	38	of	of	ADP
cblr-2931	633	39	that	that	DET
cblr-2931	633	40	broker	broker	NOUN
cblr-2931	633	41	.	.	PUNCT
cblr-2931	633	42	"	"	PUNCT
cblr-2931	633	43	)	)	PUNCT
cblr-2931	633	44	.	.	PUNCT
cblr-2931	634	1	142	142	NUM
cblr-2931	634	2	see	see	VERB
cblr-2931	634	3	,	,	PUNCT
cblr-2931	634	4	e.g.	e.g.	ADV
cblr-2931	634	5	,	,	PUNCT
cblr-2931	634	6	fezzani	fezzani	PROPN
cblr-2931	634	7	v.	v.	PROPN
cblr-2931	634	8	bear	bear	PROPN
cblr-2931	634	9	,	,	PUNCT
cblr-2931	634	10	stearns	stearns	PROPN
cblr-2931	634	11	&	&	CCONJ
cblr-2931	634	12	co.	co.	PROPN
cblr-2931	634	13	,	,	PUNCT
cblr-2931	634	14	384	384	NUM
cblr-2931	634	15	f.	f.	PROPN
cblr-2931	634	16	supp	supp	PROPN
cblr-2931	634	17	.	.	PUNCT
cblr-2931	635	1	2d	2d	NOUN
cblr-2931	635	2	.	.	PUNCT
cblr-2931	636	1	618	618	NUM
cblr-2931	636	2	(	(	PUNCT
cblr-2931	636	3	s.d.n.y	s.d.n.y	PROPN
cblr-2931	636	4	.	.	NOUN
cblr-2931	636	5	2004	2004	NUM
cblr-2931	636	6	)	)	PUNCT
cblr-2931	636	7	.	.	PUNCT
cblr-2931	637	1	"	"	PUNCT
cblr-2931	637	2	4	4	NUM
cblr-2931	637	3	prime	prime	ADJ
cblr-2931	637	4	brokerage	brokerage	NOUN
cblr-2931	637	5	refers	refer	VERB
cblr-2931	637	6	to	to	ADP
cblr-2931	637	7	the	the	DET
cblr-2931	637	8	services	service	NOUN
cblr-2931	637	9	offered	offer	VERB
cblr-2931	637	10	by	by	ADP
cblr-2931	637	11	broker	broker	NOUN
cblr-2931	637	12	-	-	PUNCT
cblr-2931	637	13	dealer	dealer	NOUN
cblr-2931	637	14	firms	firm	NOUN
cblr-2931	637	15	to	to	ADP
cblr-2931	637	16	institutional	institutional	ADJ
cblr-2931	637	17	investors	investor	NOUN
cblr-2931	637	18	,	,	PUNCT
cblr-2931	637	19	including	include	VERB
cblr-2931	637	20	hedge	hedge	NOUN
cblr-2931	637	21	funds	fund	NOUN
cblr-2931	637	22	.	.	PUNCT
cblr-2931	638	1	prime	prime	ADJ
cblr-2931	638	2	brokerage	brokerage	NOUN
cblr-2931	638	3	services	service	NOUN
cblr-2931	638	4	include	include	VERB
cblr-2931	638	5	lending	lend	VERB
cblr-2931	638	6	securities	security	NOUN
cblr-2931	638	7	and	and	CCONJ
cblr-2931	638	8	extending	extend	VERB
cblr-2931	638	9	credit	credit	NOUN
cblr-2931	638	10	to	to	PART
cblr-2931	638	11	facilitate	facilitate	VERB
cblr-2931	638	12	the	the	DET
cblr-2931	638	13	fund	fund	NOUN
cblr-2931	638	14	's	's	PART
cblr-2931	638	15	ability	ability	NOUN
cblr-2931	638	16	to	to	PART
cblr-2931	638	17	invest	invest	VERB
cblr-2931	638	18	on	on	ADP
cblr-2931	638	19	a	a	DET
cblr-2931	638	20	leveraged	leveraged	ADJ
cblr-2931	638	21	basis	basis	NOUN
cblr-2931	638	22	.	.	PUNCT
cblr-2931	639	1	a	a	DET
cblr-2931	639	2	prime	prime	ADJ
cblr-2931	639	3	broker	broker	NOUN
cblr-2931	639	4	typically	typically	ADV
cblr-2931	639	5	also	also	ADV
cblr-2931	639	6	provides	provide	VERB
cblr-2931	639	7	a	a	DET
cblr-2931	639	8	clearing	clearing	NOUN
cblr-2931	639	9	facility	facility	NOUN
cblr-2931	639	10	for	for	ADP
cblr-2931	639	11	its	its	PRON
cblr-2931	639	12	customers	customer	NOUN
cblr-2931	639	13	.	.	PUNCT
cblr-2931	640	1	'	'	PUNCT
cblr-2931	640	2	"	"	PUNCT
cblr-2931	640	3	see	see	VERB
cblr-2931	640	4	eurycleia	eurycleia	NOUN
cblr-2931	640	5	partners	partner	NOUN
cblr-2931	640	6	lp	lp	ADP
cblr-2931	640	7	v.	v.	PROPN
cblr-2931	640	8	ubs	ubs	PROPN
cblr-2931	640	9	sec	sec	PROPN
cblr-2931	640	10	.	.	PROPN
cblr-2931	640	11	,	,	PUNCT
cblr-2931	640	12	llc	llc	PROPN
cblr-2931	640	13	,	,	PUNCT
cblr-2931	640	14	600874/2007	600874/2007	NUM
cblr-2931	640	15	(	(	PUNCT
cblr-2931	640	16	n.y	n.y	PROPN
cblr-2931	640	17	.	.	PROPN
cblr-2931	640	18	sup	sup	PROPN
cblr-2931	640	19	.	.	PUNCT
cblr-2931	641	1	ct	ct	PROPN
cblr-2931	641	2	.	.	PUNCT
cblr-2931	642	1	july	july	PROPN
cblr-2931	642	2	1	1	NUM
cblr-2931	642	3	,	,	PUNCT
cblr-2931	642	4	2008	2008	NUM
cblr-2931	642	5	)	)	PUNCT
cblr-2931	643	1	,	,	PUNCT
cblr-2931	643	2	as	as	SCONJ
cblr-2931	643	3	reported	report	VERB
cblr-2931	643	4	in	in	ADP
cblr-2931	643	5	case	case	NOUN
cblr-2931	643	6	against	against	ADP
cblr-2931	643	7	ubs	ubs	PROPN
cblr-2931	643	8	securities	securities	PROPN
cblr-2931	643	9	dismissed	dismiss	VERB
cblr-2931	643	10	,	,	PUNCT
cblr-2931	643	11	n.y	n.y	PROPN
cblr-2931	643	12	.	.	PROPN
cblr-2931	643	13	court	court	PROPN
cblr-2931	643	14	finds	find	VERB
cblr-2931	643	15	no	no	DET
cblr-2931	643	16	fiduciary	fiduciary	ADJ
cblr-2931	643	17	obligation	obligation	NOUN
cblr-2931	643	18	,	,	PUNCT
cblr-2931	643	19	sec	sec	PROPN
cblr-2931	643	20	.	.	PROPN
cblr-2931	643	21	l.	l.	PROPN
cblr-2931	643	22	daily	daily	PROPN
cblr-2931	643	23	(	(	PUNCT
cblr-2931	643	24	bna	bna	PROPN
cblr-2931	643	25	)	)	PUNCT
cblr-2931	643	26	(	(	PUNCT
cblr-2931	643	27	aug	aug	PROPN
cblr-2931	643	28	.	.	PROPN
cblr-2931	643	29	1	1	NUM
cblr-2931	643	30	,	,	PUNCT
cblr-2931	643	31	2008	2008	NUM
cblr-2931	643	32	)	)	PUNCT
cblr-2931	643	33	,	,	PUNCT
cblr-2931	643	34	available	available	ADJ
cblr-2931	643	35	at	at	ADP
cblr-2931	643	36	http://pubs.bna.com/ip/bnalsld.nsf/eh/aob6w9	http://pubs.bna.com/ip/bnalsld.nsf/eh/aob6w9	ADV
cblr-2931	643	37	g6ho	g6ho	PROPN
cblr-2931	643	38	;	;	PUNCT
cblr-2931	643	39	see	see	VERB
cblr-2931	643	40	also	also	ADV
cblr-2931	643	41	investor	investor	NOUN
cblr-2931	643	42	suit	suit	NOUN
cblr-2931	643	43	against	against	ADP
cblr-2931	643	44	ubs	ubs	PROPN
cblr-2931	643	45	over	over	ADP
cblr-2931	643	46	hedge	hedge	NOUN
cblr-2931	643	47	fund	fund	NOUN
cblr-2931	643	48	dismissed	dismiss	VERB
cblr-2931	643	49	by	by	ADP
cblr-2931	643	50	judge	judge	NOUN
cblr-2931	643	51	,	,	PUNCT
cblr-2931	643	52	bloomberg.com	bloomberg.com	X
cblr-2931	643	53	(	(	PUNCT
cblr-2931	643	54	july	july	PROPN
cblr-2931	643	55	29	29	NUM
cblr-2931	643	56	,	,	PUNCT
cblr-2931	643	57	2008	2008	NUM
cblr-2931	643	58	)	)	PUNCT
cblr-2931	643	59	,	,	PUNCT
cblr-2931	643	60	http://www.bloomberg.com/	http://www.bloomberg.com/	NOUN
cblr-2931	643	61	apps	app	NOUN
cblr-2931	643	62	/	/	SYM
cblr-2931	643	63	news?pid=20601127&sid	news?pid=20601127&sid	PROPN
cblr-2931	643	64	=	=	NOUN
cblr-2931	643	65	awkfyvfrx1ho&refer	awkfyvfrx1ho&refer	PART
cblr-2931	643	66	=	=	NOUN
cblr-2931	643	67	law	law	NOUN
cblr-2931	643	68	.	.	PUNCT
cblr-2931	644	1	741	741	NUM
cblr-2931	644	2	although	although	SCONJ
cblr-2931	644	3	there	there	PRON
cblr-2931	644	4	is	be	VERB
cblr-2931	644	5	authority	authority	NOUN
cblr-2931	644	6	to	to	ADP
cblr-2931	644	7	the	the	DET
cblr-2931	644	8	contrary	contrary	NOUN
cblr-2931	644	9	,	,	PUNCT
cblr-2931	644	10	"	"	PUNCT
cblr-2931	644	11	"	"	PUNCT
cblr-2931	644	12	the	the	DET
cblr-2931	644	13	apparent	apparent	ADJ
cblr-2931	644	14	majority	majority	NOUN
cblr-2931	644	15	view	view	NOUN
cblr-2931	644	16	of	of	ADP
cblr-2931	644	17	the	the	DET
cblr-2931	644	18	cases	case	NOUN
cblr-2931	644	19	applying	apply	VERB
cblr-2931	644	20	state	state	NOUN
cblr-2931	644	21	common	common	ADJ
cblr-2931	644	22	law	law	NOUN
cblr-2931	644	23	is	be	AUX
cblr-2931	644	24	that	that	SCONJ
cblr-2931	644	25	there	there	PRON
cblr-2931	644	26	is	be	VERB
cblr-2931	644	27	no	no	DET
cblr-2931	644	28	blanket	blanket	NOUN
cblr-2931	644	29	fiduciary	fiduciary	ADJ
cblr-2931	644	30	relationship4	relationship4	NOUN
cblr-2931	644	31	6	6	NUM
cblr-2931	644	32	between	between	ADP
cblr-2931	644	33	a	a	DET
cblr-2931	644	34	broker	broker	NOUN
cblr-2931	644	35	-	-	PUNCT
cblr-2931	644	36	dealer	dealer	NOUN
cblr-2931	644	37	and	and	CCONJ
cblr-2931	644	38	a	a	DET
cblr-2931	644	39	client	client	NOUN
cblr-2931	644	40	as	as	ADP
cblr-2931	644	41	a	a	DET
cblr-2931	644	42	matter	matter	NOUN
cblr-2931	644	43	of	of	ADP
cblr-2931	644	44	law,147	law,147	NOUN
cblr-2931	645	1	"	"	PUNCT
cblr-2931	645	2	o	o	NOUN
cblr-2931	645	3	there	there	PRON
cblr-2931	645	4	are	be	VERB
cblr-2931	645	5	a	a	DET
cblr-2931	645	6	number	number	NOUN
cblr-2931	645	7	of	of	ADP
cblr-2931	645	8	cases	case	NOUN
cblr-2931	645	9	stating	state	VERB
cblr-2931	645	10	that	that	SCONJ
cblr-2931	645	11	a	a	DET
cblr-2931	645	12	securities	security	NOUN
cblr-2931	645	13	broker	broker	NOUN
cblr-2931	645	14	is	be	AUX
cblr-2931	645	15	a	a	DET
cblr-2931	645	16	fiduciary	fiduciary	ADJ
cblr-2931	645	17	and	and	CCONJ
cblr-2931	645	18	is	be	AUX
cblr-2931	645	19	subject	subject	ADJ
cblr-2931	645	20	to	to	ADP
cblr-2931	645	21	fiduciary	fiduciary	ADJ
cblr-2931	645	22	duties	duty	NOUN
cblr-2931	645	23	.	.	PUNCT
cblr-2931	646	1	see	see	VERB
cblr-2931	646	2	conway	conway	PROPN
cblr-2931	646	3	v.	v.	PROPN
cblr-2931	646	4	icahn	icahn	PROPN
cblr-2931	646	5	&	&	CCONJ
cblr-2931	646	6	co.	co.	PROPN
cblr-2931	646	7	,	,	PUNCT
cblr-2931	646	8	16	16	NUM
cblr-2931	646	9	f.3d	f.3d	NUM
cblr-2931	646	10	504	504	NUM
cblr-2931	646	11	(	(	PUNCT
cblr-2931	646	12	2d	2d	NUM
cblr-2931	646	13	cir	cir	NOUN
cblr-2931	646	14	.	.	PROPN
cblr-2931	646	15	1994	1994	NUM
cblr-2931	646	16	)	)	PUNCT
cblr-2931	647	1	(	(	PUNCT
cblr-2931	647	2	applying	apply	VERB
cblr-2931	647	3	new	new	PROPN
cblr-2931	647	4	york	york	PROPN
cblr-2931	647	5	law	law	PROPN
cblr-2931	647	6	)	)	PUNCT
cblr-2931	647	7	;	;	PUNCT
cblr-2931	647	8	gochnauer	gochnauer	PROPN
cblr-2931	647	9	v.	v.	PROPN
cblr-2931	647	10	a.g	a.g	PROPN
cblr-2931	647	11	.	.	PROPN
cblr-2931	647	12	edwards	edwards	PROPN
cblr-2931	647	13	&	&	CCONJ
cblr-2931	647	14	sons	sons	PROPN
cblr-2931	647	15	,	,	PUNCT
cblr-2931	647	16	inc	inc	PROPN
cblr-2931	647	17	.	.	PROPN
cblr-2931	647	18	,	,	PUNCT
cblr-2931	647	19	810	810	NUM
cblr-2931	647	20	f.2d	f.2d	X
cblr-2931	647	21	1042	1042	NUM
cblr-2931	647	22	(	(	PUNCT
cblr-2931	647	23	11th	11th	ADJ
cblr-2931	647	24	cir	cir	NOUN
cblr-2931	647	25	.	.	PUNCT
cblr-2931	647	26	1987	1987	NUM
cblr-2931	647	27	)	)	PUNCT
cblr-2931	647	28	(	(	PUNCT
cblr-2931	647	29	applying	apply	VERB
cblr-2931	647	30	florida	florida	PROPN
cblr-2931	647	31	law	law	NOUN
cblr-2931	647	32	)	)	PUNCT
cblr-2931	647	33	;	;	PUNCT
cblr-2931	647	34	leuzinger	leuzinger	NOUN
cblr-2931	647	35	v.	v.	ADP
cblr-2931	647	36	merrill	merrill	PROPN
cblr-2931	647	37	lynch	lynch	PROPN
cblr-2931	647	38	,	,	PUNCT
cblr-2931	647	39	pierce	pierce	PROPN
cblr-2931	647	40	,	,	PUNCT
cblr-2931	647	41	fenner	fenner	PROPN
cblr-2931	647	42	&	&	CCONJ
cblr-2931	647	43	smith	smith	PROPN
cblr-2931	647	44	,	,	PUNCT
cblr-2931	647	45	inc	inc	PROPN
cblr-2931	647	46	.	.	PROPN
cblr-2931	647	47	,	,	PUNCT
cblr-2931	647	48	396	396	NUM
cblr-2931	647	49	s.w.2d	s.w.2d	NUM
cblr-2931	647	50	570	570	NUM
cblr-2931	647	51	(	(	PUNCT
cblr-2931	647	52	mo	mo	PROPN
cblr-2931	647	53	.	.	PROPN
cblr-2931	647	54	1965	1965	NUM
cblr-2931	647	55	)	)	PUNCT
cblr-2931	647	56	(	(	PUNCT
cblr-2931	647	57	broker	broker	NOUN
cblr-2931	647	58	is	be	AUX
cblr-2931	647	59	functionally	functionally	ADV
cblr-2931	647	60	a	a	DET
cblr-2931	647	61	trustee	trustee	NOUN
cblr-2931	647	62	)	)	PUNCT
cblr-2931	647	63	.	.	PUNCT
cblr-2931	648	1	seeking	seek	VERB
cblr-2931	648	2	a	a	DET
cblr-2931	648	3	doctrinal	doctrinal	ADJ
cblr-2931	648	4	basis	basis	NOUN
cblr-2931	648	5	for	for	ADP
cblr-2931	648	6	such	such	DET
cblr-2931	648	7	a	a	DET
cblr-2931	648	8	holding	holding	NOUN
cblr-2931	648	9	,	,	PUNCT
cblr-2931	648	10	some	some	DET
cblr-2931	648	11	courts	court	NOUN
cblr-2931	648	12	have	have	AUX
cblr-2931	648	13	relied	rely	VERB
cblr-2931	648	14	on	on	ADP
cblr-2931	648	15	the	the	DET
cblr-2931	648	16	traditional	traditional	ADJ
cblr-2931	648	17	duties	duty	NOUN
cblr-2931	648	18	of	of	ADP
cblr-2931	648	19	an	an	DET
cblr-2931	648	20	agent	agent	NOUN
cblr-2931	648	21	to	to	ADP
cblr-2931	648	22	a	a	DET
cblr-2931	648	23	principal	principal	NOUN
cblr-2931	648	24	.	.	PUNCT
cblr-2931	649	1	see	see	VERB
cblr-2931	649	2	farmland	farmland	NOUN
cblr-2931	649	3	indus	indus	PROPN
cblr-2931	649	4	.	.	PUNCT
cblr-2931	650	1	v.	v.	ADP
cblr-2931	650	2	frazier	frazier	PROPN
cblr-2931	650	3	-	-	PUNCT
cblr-2931	650	4	parrott	parrott	PROPN
cblr-2931	650	5	commodities	commodity	NOUN
cblr-2931	650	6	,	,	PUNCT
cblr-2931	650	7	871	871	NUM
cblr-2931	650	8	f.2d	f.2d	NUM
cblr-2931	650	9	1402	1402	NUM
cblr-2931	650	10	(	(	PUNCT
cblr-2931	650	11	8th	8th	ADJ
cblr-2931	650	12	cir	cir	NOUN
cblr-2931	650	13	.	.	PROPN
cblr-2931	650	14	1989	1989	NUM
cblr-2931	650	15	)	)	PUNCT
cblr-2931	650	16	(	(	PUNCT
cblr-2931	650	17	applying	apply	VERB
cblr-2931	650	18	missouri	missouri	PROPN
cblr-2931	650	19	law	law	PROPN
cblr-2931	650	20	)	)	PUNCT
cblr-2931	650	21	;	;	PUNCT
cblr-2931	650	22	thropp	thropp	PROPN
cblr-2931	650	23	v.	v.	ADP
cblr-2931	650	24	bache	bache	PROPN
cblr-2931	650	25	halsey	halsey	PROPN
cblr-2931	650	26	stuart	stuart	PROPN
cblr-2931	650	27	shields	shields	PROPN
cblr-2931	650	28	,	,	PUNCT
cblr-2931	650	29	inc	inc	PROPN
cblr-2931	650	30	.	.	PROPN
cblr-2931	650	31	,	,	PUNCT
cblr-2931	650	32	650	650	NUM
cblr-2931	650	33	f.2d	f.2d	NOUN
cblr-2931	650	34	817	817	NUM
cblr-2931	650	35	(	(	PUNCT
cblr-2931	650	36	6th	6th	ADJ
cblr-2931	650	37	cir	cir	NOUN
cblr-2931	650	38	.	.	PROPN
cblr-2931	650	39	1981	1981	NUM
cblr-2931	650	40	)	)	PUNCT
cblr-2931	650	41	(	(	PUNCT
cblr-2931	650	42	applying	apply	VERB
cblr-2931	650	43	ohio	ohio	PROPN
cblr-2931	650	44	law	law	NOUN
cblr-2931	650	45	)	)	PUNCT
cblr-2931	650	46	;	;	PUNCT
cblr-2931	650	47	merrill	merrill	PROPN
cblr-2931	650	48	lynch	lynch	PROPN
cblr-2931	650	49	,	,	PUNCT
cblr-2931	650	50	pierce	pierce	PROPN
cblr-2931	650	51	,	,	PUNCT
cblr-2931	650	52	fenner	fenner	PROPN
cblr-2931	650	53	&	&	CCONJ
cblr-2931	650	54	smith	smith	PROPN
cblr-2931	650	55	,	,	PUNCT
cblr-2931	650	56	inc	inc	PROPN
cblr-2931	650	57	.	.	PROPN
cblr-2931	650	58	v.	v.	ADP
cblr-2931	650	59	perelle	perelle	PROPN
cblr-2931	650	60	,	,	PUNCT
cblr-2931	650	61	514	514	NUM
cblr-2931	650	62	a.2d	a.2d	NUM
cblr-2931	650	63	552	552	NUM
cblr-2931	650	64	,	,	PUNCT
cblr-2931	650	65	560	560	NUM
cblr-2931	650	66	-	-	SYM
cblr-2931	650	67	61	61	NUM
cblr-2931	650	68	(	(	PUNCT
cblr-2931	650	69	pa	pa	PROPN
cblr-2931	650	70	.	.	PUNCT
cblr-2931	650	71	super	super	PROPN
cblr-2931	650	72	.	.	PUNCT
cblr-2931	651	1	ct	ct	PROPN
cblr-2931	651	2	.	.	PROPN
cblr-2931	651	3	1986	1986	NUM
cblr-2931	651	4	)	)	PUNCT
cblr-2931	652	1	(	(	PUNCT
cblr-2931	652	2	citing	cite	VERB
cblr-2931	652	3	restatement	restatement	NOUN
cblr-2931	652	4	(	(	PUNCT
cblr-2931	652	5	second	second	ADJ
cblr-2931	652	6	)	)	PUNCT
cblr-2931	652	7	of	of	ADP
cblr-2931	652	8	agency	agency	NOUN
cblr-2931	652	9	)	)	PUNCT
cblr-2931	652	10	;	;	PUNCT
cblr-2931	652	11	merrill	merrill	PROPN
cblr-2931	652	12	lynch	lynch	PROPN
cblr-2931	652	13	,	,	PUNCT
cblr-2931	652	14	pierce	pierce	PROPN
cblr-2931	652	15	,	,	PUNCT
cblr-2931	652	16	fenner	fenner	PROPN
cblr-2931	652	17	&	&	CCONJ
cblr-2931	652	18	smith	smith	PROPN
cblr-2931	652	19	,	,	PUNCT
cblr-2931	652	20	inc	inc	PROPN
cblr-2931	652	21	.	.	PROPN
cblr-2931	652	22	v.	v.	PROPN
cblr-2931	652	23	cole	cole	PROPN
cblr-2931	652	24	,	,	PUNCT
cblr-2931	652	25	457	457	NUM
cblr-2931	652	26	a.2d	a.2d	SYM
cblr-2931	652	27	656	656	NUM
cblr-2931	652	28	(	(	PUNCT
cblr-2931	652	29	conn	conn	PROPN
cblr-2931	652	30	.	.	PROPN
cblr-2931	652	31	1983	1983	NUM
cblr-2931	652	32	)	)	PUNCT
cblr-2931	652	33	;	;	PUNCT
cblr-2931	652	34	reinhart	reinhart	PROPN
cblr-2931	652	35	v.	v.	PROPN
cblr-2931	652	36	rauscher	rauscher	PROPN
cblr-2931	652	37	pierce	pierce	PROPN
cblr-2931	652	38	sec	sec	PROPN
cblr-2931	652	39	.	.	PROPN
cblr-2931	652	40	corp	corp	PROPN
cblr-2931	652	41	.	.	PROPN
cblr-2931	652	42	,	,	PUNCT
cblr-2931	652	43	490	490	NUM
cblr-2931	652	44	p.2d	p.2d	SYM
cblr-2931	652	45	240	240	NUM
cblr-2931	652	46	(	(	PUNCT
cblr-2931	652	47	n.m	n.m	PROPN
cblr-2931	652	48	.	.	PROPN
cblr-2931	652	49	ct	ct	PROPN
cblr-2931	652	50	.	.	PUNCT
cblr-2931	652	51	app	app	PROPN
cblr-2931	652	52	.	.	PROPN
cblr-2931	652	53	1971	1971	NUM
cblr-2931	652	54	)	)	PUNCT
cblr-2931	652	55	;	;	PUNCT
cblr-2931	652	56	see	see	VERB
cblr-2931	652	57	also	also	ADV
cblr-2931	652	58	gregory	gregory	PROPN
cblr-2931	652	59	a.	a.	PROPN
cblr-2931	652	60	hicks	hicks	PROPN
cblr-2931	652	61	,	,	PUNCT
cblr-2931	652	62	defining	define	VERB
cblr-2931	652	63	the	the	DET
cblr-2931	652	64	scope	scope	NOUN
cblr-2931	652	65	of	of	ADP
cblr-2931	652	66	broker	broker	NOUN
cblr-2931	652	67	and	and	CCONJ
cblr-2931	652	68	dealer	dealer	NOUN
cblr-2931	652	69	duties	duty	NOUN
cblr-2931	652	70	-	-	PUNCT
cblr-2931	652	71	some	some	DET
cblr-2931	652	72	problems	problem	NOUN
cblr-2931	652	73	in	in	ADP
cblr-2931	652	74	adjudicating	adjudicate	VERB
cblr-2931	652	75	the	the	DET
cblr-2931	652	76	responsibilities	responsibility	NOUN
cblr-2931	652	77	of	of	ADP
cblr-2931	652	78	securities	security	NOUN
cblr-2931	652	79	and	and	CCONJ
cblr-2931	652	80	commodities	commodity	NOUN
cblr-2931	652	81	professionals	professional	NOUN
cblr-2931	652	82	,	,	PUNCT
cblr-2931	652	83	39	39	NUM
cblr-2931	652	84	depaul	depaul	PROPN
cblr-2931	652	85	l.	l.	PROPN
cblr-2931	652	86	rev	rev	PROPN
cblr-2931	652	87	.	.	PROPN
cblr-2931	653	1	709	709	NUM
cblr-2931	653	2	(	(	PUNCT
cblr-2931	653	3	1990	1990	NUM
cblr-2931	653	4	)	)	PUNCT
cblr-2931	653	5	;	;	PUNCT
cblr-2931	654	1	randall	randall	PROPN
cblr-2931	654	2	w.	w.	PROPN
cblr-2931	654	3	quinn	quinn	PROPN
cblr-2931	654	4	,	,	PUNCT
cblr-2931	654	5	deja	deja	NOUN
cblr-2931	654	6	vu	vu	NOUN
cblr-2931	654	7	all	all	ADV
cblr-2931	654	8	over	over	ADV
cblr-2931	654	9	again	again	ADV
cblr-2931	654	10	:	:	PUNCT
cblr-2931	654	11	the	the	DET
cblr-2931	654	12	sec	sec	PROPN
cblr-2931	654	13	's	's	PART
cblr-2931	654	14	return	return	NOUN
cblr-2931	654	15	to	to	ADP
cblr-2931	654	16	agency	agency	NOUN
cblr-2931	654	17	theory	theory	NOUN
cblr-2931	654	18	in	in	ADP
cblr-2931	654	19	regulating	regulate	VERB
cblr-2931	654	20	broker	broker	NOUN
cblr-2931	654	21	-	-	PUNCT
cblr-2931	654	22	dealers	dealer	NOUN
cblr-2931	654	23	,	,	PUNCT
cblr-2931	654	24	1990	1990	NUM
cblr-2931	654	25	colum	colum	NOUN
cblr-2931	654	26	.	.	PUNCT
cblr-2931	655	1	bus	bus	NOUN
cblr-2931	655	2	.	.	PUNCT
cblr-2931	656	1	l.	l.	PROPN
cblr-2931	656	2	rev	rev	PROPN
cblr-2931	656	3	.	.	PROPN
cblr-2931	656	4	61	61	NUM
cblr-2931	656	5	(	(	PUNCT
cblr-2931	656	6	1990	1990	NUM
cblr-2931	656	7	)	)	PUNCT
cblr-2931	656	8	.	.	PUNCT
cblr-2931	657	1	"	"	PUNCT
cblr-2931	657	2	'	'	PUNCT
cblr-2931	657	3	see	see	VERB
cblr-2931	657	4	,	,	PUNCT
cblr-2931	657	5	e.g.	e.g.	ADV
cblr-2931	657	6	,	,	PUNCT
cblr-2931	657	7	press	press	NOUN
cblr-2931	657	8	v.	v.	ADP
cblr-2931	657	9	chem	chem	NOUN
cblr-2931	657	10	.	.	PUNCT
cblr-2931	658	1	inv	inv	VERB
cblr-2931	658	2	.	.	PUNCT
cblr-2931	659	1	servs	servs	PROPN
cblr-2931	659	2	.	.	PUNCT
cblr-2931	660	1	corp	corp	PROPN
cblr-2931	660	2	.	.	PROPN
cblr-2931	660	3	,	,	PUNCT
cblr-2931	660	4	166	166	NUM
cblr-2931	660	5	f.3d	f.3d	NUM
cblr-2931	660	6	529	529	NUM
cblr-2931	660	7	(	(	PUNCT
cblr-2931	660	8	2d	2d	NUM
cblr-2931	660	9	cir	cir	NOUN
cblr-2931	660	10	.	.	PROPN
cblr-2931	660	11	1999	1999	NUM
cblr-2931	660	12	)	)	PUNCT
cblr-2931	660	13	,	,	PUNCT
cblr-2931	660	14	affirming	affirm	VERB
cblr-2931	660	15	988	988	NUM
cblr-2931	660	16	f.	f.	PROPN
cblr-2931	660	17	supp	supp	PROPN
cblr-2931	660	18	.	.	PUNCT
cblr-2931	661	1	375	375	NUM
cblr-2931	661	2	,	,	PUNCT
cblr-2931	661	3	386	386	NUM
cblr-2931	661	4	-	-	SYM
cblr-2931	661	5	87	87	NUM
cblr-2931	661	6	(	(	PUNCT
cblr-2931	661	7	s.d.n.y	s.d.n.y	PROPN
cblr-2931	661	8	.	.	PROPN
cblr-2931	661	9	1997	1997	NUM
cblr-2931	661	10	)	)	PUNCT
cblr-2931	661	11	(	(	PUNCT
cblr-2931	661	12	"	"	PUNCT
cblr-2931	661	13	naked	naked	ADJ
cblr-2931	661	14	allegation	allegation	NOUN
cblr-2931	661	15	"	"	PUNCT
cblr-2931	661	16	that	that	SCONJ
cblr-2931	661	17	broker	broker	NOUN
cblr-2931	661	18	was	be	AUX
cblr-2931	661	19	a	a	DET
cblr-2931	661	20	fiduciary	fiduciary	NOUN
cblr-2931	661	21	of	of	ADP
cblr-2931	661	22	customer	customer	NOUN
cblr-2931	661	23	was	be	AUX
cblr-2931	661	24	insufficient	insufficient	ADJ
cblr-2931	661	25	)	)	PUNCT
cblr-2931	661	26	.	.	PUNCT
cblr-2931	662	1	7	7	NUM
cblr-2931	662	2	see	see	VERB
cblr-2931	662	3	associated	associated	PROPN
cblr-2931	662	4	randall	randall	PROPN
cblr-2931	662	5	bank	bank	PROPN
cblr-2931	662	6	v.	v.	PROPN
cblr-2931	662	7	griffin	griffin	PROPN
cblr-2931	662	8	,	,	PUNCT
cblr-2931	662	9	kubik	kubik	PROPN
cblr-2931	662	10	,	,	PUNCT
cblr-2931	662	11	stephens	stephens	PROPN
cblr-2931	662	12	&	&	CCONJ
cblr-2931	662	13	thompson	thompson	PROPN
cblr-2931	662	14	,	,	PUNCT
cblr-2931	662	15	inc	inc	PROPN
cblr-2931	662	16	.	.	PROPN
cblr-2931	662	17	,	,	PUNCT
cblr-2931	662	18	3	3	NUM
cblr-2931	662	19	f.3d	f.3d	NUM
cblr-2931	662	20	208	208	NUM
cblr-2931	662	21	(	(	PUNCT
cblr-2931	662	22	7th	7th	ADJ
cblr-2931	662	23	cir	cir	NOUN
cblr-2931	662	24	.	.	PUNCT
cblr-2931	662	25	1993	1993	NUM
cblr-2931	662	26	)	)	PUNCT
cblr-2931	662	27	(	(	PUNCT
cblr-2931	662	28	applying	apply	VERB
cblr-2931	662	29	wisconsin	wisconsin	PROPN
cblr-2931	662	30	law	law	PROPN
cblr-2931	662	31	)	)	PUNCT
cblr-2931	662	32	;	;	PUNCT
cblr-2931	662	33	burdett	burdett	PROPN
cblr-2931	662	34	v.	v.	PROPN
cblr-2931	662	35	miller	miller	PROPN
cblr-2931	662	36	,	,	PUNCT
cblr-2931	662	37	957	957	NUM
cblr-2931	662	38	f.2d	f.2d	NOUN
cblr-2931	662	39	1375	1375	NUM
cblr-2931	662	40	,	,	PUNCT
cblr-2931	662	41	1381	1381	NUM
cblr-2931	662	42	-	-	SYM
cblr-2931	662	43	82	82	NUM
cblr-2931	662	44	(	(	PUNCT
cblr-2931	662	45	7th	7th	ADJ
cblr-2931	662	46	cir	cir	NOUN
cblr-2931	662	47	.	.	PROPN
cblr-2931	662	48	1992	1992	NUM
cblr-2931	662	49	)	)	PUNCT
cblr-2931	662	50	(	(	PUNCT
cblr-2931	662	51	investment	investment	NOUN
cblr-2931	662	52	adviser	adviser	NOUN
cblr-2931	662	53	not	not	PART
cblr-2931	662	54	per	per	ADP
cblr-2931	662	55	se	se	X
cblr-2931	662	56	fiduciary	fiduciary	ADJ
cblr-2931	662	57	,	,	PUNCT
cblr-2931	662	58	but	but	CCONJ
cblr-2931	662	59	could	could	AUX
cblr-2931	662	60	be	be	AUX
cblr-2931	662	61	shown	show	VERB
cblr-2931	662	62	to	to	PART
cblr-2931	662	63	be	be	AUX
cblr-2931	662	64	by	by	ADP
cblr-2931	662	65	clear	clear	ADJ
cblr-2931	662	66	and	and	CCONJ
cblr-2931	662	67	convincing	convincing	ADJ
cblr-2931	662	68	evidence	evidence	NOUN
cblr-2931	662	69	)	)	PUNCT
cblr-2931	662	70	(	(	PUNCT
cblr-2931	662	71	applying	apply	VERB
cblr-2931	662	72	illinois	illinois	PROPN
cblr-2931	662	73	law	law	PROPN
cblr-2931	662	74	)	)	PUNCT
cblr-2931	662	75	;	;	PUNCT
cblr-2931	662	76	greenwood	greenwood	PROPN
cblr-2931	662	77	v.	v.	ADP
cblr-2931	662	78	dittmer	dittmer	PROPN
cblr-2931	662	79	,	,	PUNCT
cblr-2931	662	80	776	776	NUM
cblr-2931	662	81	f.2d	f.2d	ADP
cblr-2931	662	82	785	785	NUM
cblr-2931	662	83	(	(	PUNCT
cblr-2931	662	84	8th	8th	ADJ
cblr-2931	662	85	cir	cir	NOUN
cblr-2931	662	86	.	.	PUNCT
cblr-2931	662	87	1985	1985	NUM
cblr-2931	662	88	)	)	PUNCT
cblr-2931	662	89	(	(	PUNCT
cblr-2931	662	90	commodities	commodity	NOUN
cblr-2931	662	91	broker	broker	NOUN
cblr-2931	662	92	)	)	PUNCT
cblr-2931	662	93	(	(	PUNCT
cblr-2931	662	94	applying	apply	VERB
cblr-2931	662	95	arkansas	arkansas	PROPN
cblr-2931	662	96	law	law	NOUN
cblr-2931	662	97	)	)	PUNCT
cblr-2931	662	98	;	;	PUNCT
cblr-2931	662	99	ray	ray	PROPN
cblr-2931	662	100	e.	e.	PROPN
cblr-2931	662	101	friedman	friedman	PROPN
cblr-2931	662	102	&	&	CCONJ
cblr-2931	662	103	co.	co.	PROPN
cblr-2931	662	104	v.	v.	ADP
cblr-2931	662	105	jenkins	jenkins	PROPN
cblr-2931	662	106	,	,	PUNCT
cblr-2931	662	107	738	738	NUM
cblr-2931	662	108	f.2d	f.2d	X
cblr-2931	662	109	251	251	NUM
cblr-2931	662	110	(	(	PUNCT
cblr-2931	662	111	8th	8th	ADJ
cblr-2931	662	112	cir	cir	NOUN
cblr-2931	662	113	.	.	PUNCT
cblr-2931	662	114	1984	1984	NUM
cblr-2931	662	115	)	)	PUNCT
cblr-2931	662	116	(	(	PUNCT
cblr-2931	662	117	commodities	commodity	NOUN
cblr-2931	662	118	broker	broker	NOUN
cblr-2931	662	119	)	)	PUNCT
cblr-2931	662	120	(	(	PUNCT
cblr-2931	662	121	applying	apply	VERB
cblr-2931	662	122	north	north	NOUN
cblr-2931	662	123	dakota	dakota	PROPN
cblr-2931	662	124	law	law	NOUN
cblr-2931	662	125	)	)	PUNCT
cblr-2931	662	126	;	;	PUNCT
cblr-2931	662	127	lesavoy	lesavoy	PROPN
cblr-2931	662	128	v.	v.	ADP
cblr-2931	662	129	lane	lane	PROPN
cblr-2931	662	130	,	,	PUNCT
cblr-2931	662	131	304	304	NUM
cblr-2931	662	132	f.	f.	PROPN
cblr-2931	662	133	supp	supp	PROPN
cblr-2931	662	134	.	.	PUNCT
cblr-2931	663	1	2d	2d	PROPN
cblr-2931	663	2	520	520	NUM
cblr-2931	663	3	,	,	PUNCT
cblr-2931	663	4	526	526	NUM
cblr-2931	663	5	(	(	PUNCT
cblr-2931	663	6	s.d.n.y	s.d.n.y	PROPN
cblr-2931	663	7	.	.	NOUN
cblr-2931	663	8	2004	2004	NUM
cblr-2931	663	9	)	)	PUNCT
cblr-2931	664	1	(	(	PUNCT
cblr-2931	664	2	clearing	clear	VERB
cblr-2931	664	3	broker	broker	NOUN
cblr-2931	664	4	's	's	PART
cblr-2931	664	5	obligations	obligation	NOUN
cblr-2931	664	6	related	relate	VERB
cblr-2931	664	7	only	only	ADV
cblr-2931	664	8	to	to	ADP
cblr-2931	664	9	execution	execution	NOUN
cblr-2931	664	10	of	of	ADP
cblr-2931	664	11	orders	order	NOUN
cblr-2931	664	12	and	and	CCONJ
cblr-2931	664	13	did	do	AUX
cblr-2931	664	14	not	not	PART
cblr-2931	664	15	create	create	VERB
cblr-2931	664	16	fiduciary	fiduciary	ADJ
cblr-2931	664	17	duties	duty	NOUN
cblr-2931	664	18	)	)	PUNCT
cblr-2931	664	19	(	(	PUNCT
cblr-2931	664	20	applying	apply	VERB
cblr-2931	664	21	new	new	PROPN
cblr-2931	664	22	york	york	PROPN
cblr-2931	664	23	law	law	PROPN
cblr-2931	664	24	)	)	PUNCT
cblr-2931	664	25	;	;	PUNCT
cblr-2931	664	26	stephenson	stephenson	PROPN
cblr-2931	664	27	v.	v.	PROPN
cblr-2931	664	28	deutsche	deutsche	PROPN
cblr-2931	664	29	bank	bank	PROPN
cblr-2931	664	30	ag	ag	PROPN
cblr-2931	664	31	,	,	PUNCT
cblr-2931	664	32	282	282	NUM
cblr-2931	664	33	f.	f.	PROPN
cblr-2931	664	34	supp	supp	PROPN
cblr-2931	664	35	.	.	PUNCT
cblr-2931	665	1	2d	2d	NOUN
cblr-2931	665	2	1032	1032	NUM
cblr-2931	665	3	,	,	PUNCT
cblr-2931	665	4	1061	1061	NUM
cblr-2931	665	5	(	(	PUNCT
cblr-2931	665	6	d.	d.	PROPN
cblr-2931	665	7	minn	minn	PROPN
cblr-2931	665	8	.	.	PROPN
cblr-2931	665	9	2003	2003	NUM
cblr-2931	665	10	)	)	PUNCT
cblr-2931	666	1	(	(	PUNCT
cblr-2931	666	2	broker	broker	NOUN
cblr-2931	666	3	did	do	AUX
cblr-2931	666	4	not	not	PART
cblr-2931	666	5	owe	owe	VERB
cblr-2931	666	6	duty	duty	NOUN
cblr-2931	666	7	of	of	ADP
cblr-2931	666	8	care	care	NOUN
cblr-2931	666	9	to	to	ADP
cblr-2931	666	10	sophisticated	sophisticated	ADJ
cblr-2931	666	11	investor	investor	NOUN
cblr-2931	666	12	so	so	SCONJ
cblr-2931	666	13	as	as	SCONJ
cblr-2931	666	14	to	to	PART
cblr-2931	666	15	trigger	trigger	VERB
cblr-2931	666	16	liability	liability	NOUN
cblr-2931	666	17	for	for	ADP
cblr-2931	666	18	negligent	negligent	ADJ
cblr-2931	666	19	misrepresentation	misrepresentation	NOUN
cblr-2931	666	20	)	)	PUNCT
cblr-2931	666	21	;	;	PUNCT
cblr-2931	666	22	shamsi	shamsi	PROPN
cblr-2931	666	23	v.	v.	PROPN
cblr-2931	666	24	dean	dean	PROPN
cblr-2931	666	25	witter	witter	PROPN
cblr-2931	666	26	reynolds	reynolds	PROPN
cblr-2931	666	27	,	,	PUNCT
cblr-2931	666	28	inc	inc	PROPN
cblr-2931	666	29	.	.	PROPN
cblr-2931	666	30	,	,	PUNCT
cblr-2931	666	31	743	743	NUM
cblr-2931	666	32	f.	f.	PROPN
cblr-2931	666	33	supp	supp	PROPN
cblr-2931	666	34	.	.	PUNCT
cblr-2931	667	1	87	87	NUM
cblr-2931	667	2	(	(	PUNCT
cblr-2931	667	3	d.	d.	PROPN
cblr-2931	667	4	mass	mass	PROPN
cblr-2931	667	5	.	.	PROPN
cblr-2931	667	6	1989	1989	NUM
cblr-2931	667	7	)	)	PUNCT
cblr-2931	667	8	;	;	PUNCT
cblr-2931	667	9	paine	paine	PROPN
cblr-2931	667	10	,	,	PUNCT
cblr-2931	667	11	webber	webber	PROPN
cblr-2931	667	12	,	,	PUNCT
cblr-2931	667	13	jackson	jackson	PROPN
cblr-2931	667	14	&	&	CCONJ
cblr-2931	667	15	curtis	curtis	PROPN
cblr-2931	667	16	,	,	PUNCT
cblr-2931	667	17	inc	inc	PROPN
cblr-2931	667	18	.	.	PROPN
cblr-2931	668	1	v.	v.	PROPN
cblr-2931	668	2	adams	adams	PROPN
cblr-2931	668	3	,	,	PUNCT
cblr-2931	668	4	718	718	NUM
cblr-2931	668	5	p.2d	p.2d	NUM
cblr-2931	668	6	508	508	NUM
cblr-2931	668	7	(	(	PUNCT
cblr-2931	668	8	colo	colo	PROPN
cblr-2931	668	9	.	.	PUNCT
cblr-2931	668	10	1986	1986	NUM
cblr-2931	668	11	)	)	PUNCT
cblr-2931	668	12	;	;	PUNCT
cblr-2931	668	13	rude	rude	ADJ
cblr-2931	668	14	v.	v.	PROPN
cblr-2931	668	15	larson	larson	PROPN
cblr-2931	668	16	,	,	PUNCT
cblr-2931	668	17	207	207	NUM
cblr-2931	668	18	n.w.2d	n.w.2d	CCONJ
cblr-2931	668	19	709	709	NUM
cblr-2931	668	20	(	(	PUNCT
cblr-2931	668	21	minn	minn	PROPN
cblr-2931	668	22	.	.	PROPN
cblr-2931	668	23	1973	1973	NUM
cblr-2931	668	24	)	)	PUNCT
cblr-2931	668	25	;	;	PUNCT
cblr-2931	668	26	desciose	desciose	VERB
cblr-2931	668	27	v.	v.	PROPN
cblr-2931	668	28	chiles	chile	NOUN
cblr-2931	668	29	,	,	PUNCT
cblr-2931	668	30	heider	heider	NOUN
cblr-2931	668	31	&	&	CCONJ
cblr-2931	668	32	co.	co.	PROPN
cblr-2931	668	33	,	,	PUNCT
cblr-2931	668	34	476	476	NUM
cblr-2931	668	35	n.w.2d	n.w.2d	NUM
cblr-2931	668	36	200	200	NUM
cblr-2931	668	37	(	(	PUNCT
cblr-2931	668	38	neb	neb	PROPN
cblr-2931	668	39	.	.	PROPN
cblr-2931	668	40	1991	1991	NUM
cblr-2931	668	41	)	)	PUNCT
cblr-2931	668	42	;	;	PUNCT
cblr-2931	668	43	in	in	ADP
cblr-2931	668	44	re	re	PROPN
cblr-2931	668	45	dean	dean	PROPN
cblr-2931	668	46	witter	witter	PROPN
cblr-2931	668	47	managed	manage	VERB
cblr-2931	668	48	futures	futures	PROPN
cblr-2931	668	49	ltd	ltd	PROPN
cblr-2931	668	50	.	.	PROPN
cblr-2931	669	1	.[vol	.[vol	PROPN
cblr-2931	669	2	.	.	PUNCT
cblr-2931	670	1	20	20	NUM
cblr-2931	670	2	10742	10742	NUM
cblr-2931	670	3	col	col	PROPN
cblr-2931	670	4	umbia	umbia	PROPN
cblr-2931	670	5	b	b	PROPN
cblr-2931	670	6	usiness	usiness	PROPN
cblr-2931	670	7	la	la	PROPN
cblr-2931	670	8	w	w	PROPN
cblr-2931	670	9	re	re	PROPN
cblr-2931	670	10	vie	vie	PROPN
cblr-2931	670	11	w	w	PROPN
cblr-2931	670	12	no	no	PROPN
cblr-2931	670	13	.	.	PUNCT
cblr-2931	671	1	3:710	3:710	NUM
cblr-2931	671	2	]	]	PUNCT
cblr-2931	671	3	are	be	AUX
cblr-2931	671	4	existing	exist	VERB
cblr-2931	671	5	stock	stock	NOUN
cblr-2931	671	6	broker	broker	NOUN
cblr-2931	671	7	standards	standard	NOUN
cblr-2931	671	8	sufficient	sufficient	ADJ
cblr-2931	671	9	?	?	PUNCT
cblr-2931	672	1	but	but	CCONJ
cblr-2931	672	2	that	that	SCONJ
cblr-2931	672	3	the	the	DET
cblr-2931	672	4	surrounding	surround	VERB
cblr-2931	672	5	circumstances	circumstance	NOUN
cblr-2931	672	6	can	can	AUX
cblr-2931	672	7	suffice	suffice	VERB
cblr-2931	672	8	to	to	PART
cblr-2931	672	9	create	create	VERB
cblr-2931	672	10	a	a	DET
cblr-2931	672	11	fiduciary	fiduciary	ADJ
cblr-2931	672	12	duty	duty	NOUN
cblr-2931	672	13	.	.	PUNCT
cblr-2931	673	1	"	"	PUNCT
cblr-2931	673	2	's	's	AUX
cblr-2931	673	3	chief	chief	NOUN
cblr-2931	673	4	among	among	ADP
cblr-2931	673	5	these	these	DET
cblr-2931	673	6	factors	factor	NOUN
cblr-2931	673	7	that	that	PRON
cblr-2931	673	8	may	may	AUX
cblr-2931	673	9	create	create	VERB
cblr-2931	673	10	a	a	DET
cblr-2931	673	11	fiduciary	fiduciary	ADJ
cblr-2931	673	12	relationship	relationship	NOUN
cblr-2931	673	13	is	be	AUX
cblr-2931	673	14	"	"	PUNCT
cblr-2931	673	15	a	a	DET
cblr-2931	673	16	reposing	reposing	NOUN
cblr-2931	673	17	of	of	ADP
cblr-2931	673	18	faith	faith	NOUN
cblr-2931	673	19	,	,	PUNCT
cblr-2931	673	20	confidence	confidence	NOUN
cblr-2931	673	21	and	and	CCONJ
cblr-2931	673	22	trust	trust	NOUN
cblr-2931	673	23	,	,	PUNCT
cblr-2931	673	24	"	"	PUNCT
cblr-2931	673	25	'	'	AUX
cblr-2931	673	26	often	often	ADV
cblr-2931	673	27	evidenced	evidence	VERB
cblr-2931	673	28	by	by	ADP
cblr-2931	673	29	a	a	DET
cblr-2931	673	30	broker	broker	NOUN
cblr-2931	673	31	-	-	PUNCT
cblr-2931	673	32	dealer	dealer	NOUN
cblr-2931	673	33	having	have	VERB
cblr-2931	673	34	either	either	CCONJ
cblr-2931	673	35	prior	prior	ADJ
cblr-2931	673	36	authorization	authorization	NOUN
cblr-2931	673	37	to	to	PART
cblr-2931	673	38	trade	trade	VERB
cblr-2931	673	39	for	for	ADP
cblr-2931	673	40	the	the	DET
cblr-2931	673	41	client	client	NOUN
cblr-2931	673	42	's	's	PART
cblr-2931	673	43	account	account	NOUN
cblr-2931	673	44	on	on	ADP
cblr-2931	673	45	a	a	DET
cblr-2931	673	46	discretionary	discretionary	ADJ
cblr-2931	673	47	basis	basis	NOUN
cblr-2931	673	48	,	,	PUNCT
cblr-2931	673	49	or	or	CCONJ
cblr-2931	673	50	de	de	X
cblr-2931	673	51	facto	facto	X
cblr-2931	673	52	control	control	NOUN
cblr-2931	673	53	of	of	ADP
cblr-2931	673	54	the	the	DET
cblr-2931	673	55	account	account	NOUN
cblr-2931	673	56	.	.	PUNCT
cblr-2931	674	1	1o	1o	NUM
cblr-2931	674	2	representing	represent	VERB
cblr-2931	674	3	oneself	oneself	PRON
cblr-2931	674	4	to	to	PART
cblr-2931	674	5	have	have	VERB
cblr-2931	674	6	investment	investment	NOUN
cblr-2931	674	7	and	and	CCONJ
cblr-2931	674	8	p'ship	p'ship	NOUN
cblr-2931	674	9	litig	litig	PROPN
cblr-2931	674	10	.	.	PUNCT
cblr-2931	675	1	,	,	PUNCT
cblr-2931	675	2	282	282	NUM
cblr-2931	675	3	a.d.2d	a.d.2d	SYM
cblr-2931	675	4	271	271	NUM
cblr-2931	675	5	,	,	PUNCT
cblr-2931	675	6	724	724	NUM
cblr-2931	675	7	n.y.s.2d	n.y.s.2d	NUM
cblr-2931	675	8	149	149	NUM
cblr-2931	675	9	,	,	PUNCT
cblr-2931	675	10	(	(	PUNCT
cblr-2931	675	11	n.y	n.y	PROPN
cblr-2931	675	12	.	.	PROPN
cblr-2931	675	13	app	app	PROPN
cblr-2931	675	14	.	.	PUNCT
cblr-2931	676	1	div	div	PROPN
cblr-2931	676	2	.	.	PROPN
cblr-2931	676	3	2001	2001	NUM
cblr-2931	676	4	)	)	PUNCT
cblr-2931	677	1	;	;	PUNCT
cblr-2931	677	2	berki	berki	ADP
cblr-2931	677	3	v.	v.	PROPN
cblr-2931	677	4	reynolds	reynolds	PROPN
cblr-2931	677	5	sec	sec	PROPN
cblr-2931	677	6	.	.	PROPN
cblr-2931	677	7	,	,	PUNCT
cblr-2931	677	8	inc	inc	PROPN
cblr-2931	677	9	.	.	PROPN
cblr-2931	677	10	,	,	PUNCT
cblr-2931	677	11	560	560	NUM
cblr-2931	677	12	p.2d	p.2d	SYM
cblr-2931	677	13	282	282	NUM
cblr-2931	677	14	(	(	PUNCT
cblr-2931	677	15	or	or	CCONJ
cblr-2931	677	16	.	.	PUNCT
cblr-2931	677	17	1977	1977	NUM
cblr-2931	677	18	)	)	PUNCT
cblr-2931	677	19	.	.	PUNCT
cblr-2931	678	1	14	14	NUM
cblr-2931	678	2	see	see	VERB
cblr-2931	678	3	,	,	PUNCT
cblr-2931	678	4	e.g.	e.g.	ADV
cblr-2931	678	5	,	,	PUNCT
cblr-2931	678	6	press	press	NOUN
cblr-2931	678	7	v.	v.	ADP
cblr-2931	678	8	chem	chem	NOUN
cblr-2931	678	9	.	.	PUNCT
cblr-2931	679	1	inv	inv	VERB
cblr-2931	679	2	.	.	PUNCT
cblr-2931	680	1	servs	servs	PROPN
cblr-2931	680	2	.	.	PUNCT
cblr-2931	681	1	corp	corp	PROPN
cblr-2931	682	1	.	.	PROPN
cblr-2931	682	2	,	,	PUNCT
cblr-2931	682	3	166	166	NUM
cblr-2931	682	4	f.3d	f.3d	NUM
cblr-2931	682	5	529	529	NUM
cblr-2931	682	6	(	(	PUNCT
cblr-2931	682	7	2d	2d	NUM
cblr-2931	682	8	cir	cir	NOUN
cblr-2931	682	9	.	.	PROPN
cblr-2931	682	10	1999	1999	NUM
cblr-2931	682	11	)	)	PUNCT
cblr-2931	682	12	(	(	PUNCT
cblr-2931	682	13	new	new	PROPN
cblr-2931	682	14	york	york	PROPN
cblr-2931	682	15	law	law	PROPN
cblr-2931	682	16	)	)	PUNCT
cblr-2931	682	17	;	;	PUNCT
cblr-2931	682	18	indep	indep	NOUN
cblr-2931	682	19	.	.	PUNCT
cblr-2931	683	1	order	order	NOUN
cblr-2931	683	2	of	of	ADP
cblr-2931	683	3	foresters	forester	NOUN
cblr-2931	683	4	v.	v.	ADP
cblr-2931	683	5	donald	donald	PROPN
cblr-2931	683	6	,	,	PUNCT
cblr-2931	683	7	lufkin	lufkin	PROPN
cblr-2931	683	8	&	&	CCONJ
cblr-2931	683	9	jenrette	jenrette	PROPN
cblr-2931	683	10	,	,	PUNCT
cblr-2931	683	11	inc	inc	PROPN
cblr-2931	683	12	.	.	PROPN
cblr-2931	683	13	,	,	PUNCT
cblr-2931	683	14	157	157	NUM
cblr-2931	683	15	f.3d	f.3d	NUM
cblr-2931	683	16	933	933	NUM
cblr-2931	683	17	,	,	PUNCT
cblr-2931	683	18	940	940	NUM
cblr-2931	683	19	(	(	PUNCT
cblr-2931	683	20	2d	2d	NUM
cblr-2931	683	21	cir	cir	NOUN
cblr-2931	683	22	.	.	PUNCT
cblr-2931	683	23	1998	1998	NUM
cblr-2931	683	24	)	)	PUNCT
cblr-2931	683	25	(	(	PUNCT
cblr-2931	683	26	new	new	PROPN
cblr-2931	683	27	york	york	PROPN
cblr-2931	683	28	law	law	PROPN
cblr-2931	683	29	)	)	PUNCT
cblr-2931	683	30	;	;	PUNCT
cblr-2931	683	31	kwiatkowski	kwiatkowski	VERB
cblr-2931	683	32	v.	v.	ADP
cblr-2931	683	33	bear	bear	PROPN
cblr-2931	683	34	,	,	PUNCT
cblr-2931	683	35	stearns	stearns	PROPN
cblr-2931	683	36	&	&	CCONJ
cblr-2931	683	37	co.	co.	PROPN
cblr-2931	683	38	,	,	PUNCT
cblr-2931	683	39	no	no	INTJ
cblr-2931	683	40	.	.	NOUN
cblr-2931	683	41	96	96	NUM
cblr-2931	683	42	civ	civ	NOUN
cblr-2931	683	43	.	.	PROPN
cblr-2931	683	44	4798	4798	NUM
cblr-2931	683	45	,	,	PUNCT
cblr-2931	683	46	1999	1999	NUM
cblr-2931	683	47	wl	wl	NOUN
cblr-2931	683	48	1277245	1277245	NUM
cblr-2931	683	49	,	,	PUNCT
cblr-2931	683	50	at	at	ADP
cblr-2931	683	51	*	*	PROPN
cblr-2931	683	52	7	7	NUM
cblr-2931	683	53	-	-	SYM
cblr-2931	683	54	8	8	NUM
cblr-2931	683	55	(	(	PUNCT
cblr-2931	683	56	s.d.n.y	s.d.n.y	PROPN
cblr-2931	683	57	.	.	PUNCT
cblr-2931	683	58	nov	nov	PROPN
cblr-2931	683	59	.	.	PROPN
cblr-2931	683	60	29	29	NUM
cblr-2931	683	61	,	,	PUNCT
cblr-2931	683	62	1999	1999	NUM
cblr-2931	683	63	)	)	PUNCT
cblr-2931	683	64	;	;	PUNCT
cblr-2931	683	65	perl	perl	NOUN
cblr-2931	683	66	v.	v.	ADP
cblr-2931	683	67	smith	smith	PROPN
cblr-2931	683	68	barney	barney	PROPN
cblr-2931	683	69	,	,	PUNCT
cblr-2931	683	70	inc	inc	PROPN
cblr-2931	683	71	.	.	PROPN
cblr-2931	683	72	,	,	PUNCT
cblr-2931	683	73	230	230	NUM
cblr-2931	683	74	a.d.2d	a.d.2d	SYM
cblr-2931	683	75	664	664	NUM
cblr-2931	683	76	,	,	PUNCT
cblr-2931	683	77	666	666	NUM
cblr-2931	683	78	,	,	PUNCT
cblr-2931	683	79	646	646	NUM
cblr-2931	683	80	n.y.s.2d	n.y.s.2d	NUM
cblr-2931	683	81	678	678	NUM
cblr-2931	683	82	,	,	PUNCT
cblr-2931	683	83	680	680	NUM
cblr-2931	683	84	(	(	PUNCT
cblr-2931	683	85	n.y	n.y	PROPN
cblr-2931	683	86	.	.	PROPN
cblr-2931	683	87	app	app	PROPN
cblr-2931	683	88	.	.	PUNCT
cblr-2931	684	1	div	div	PROPN
cblr-2931	684	2	.	.	PROPN
cblr-2931	684	3	1996	1996	NUM
cblr-2931	684	4	)	)	PUNCT
cblr-2931	684	5	;	;	PUNCT
cblr-2931	684	6	cf	cf	NOUN
cblr-2931	684	7	ongstad	ongstad	NOUN
cblr-2931	684	8	v.	v.	ADP
cblr-2931	684	9	piper	piper	PROPN
cblr-2931	684	10	jaffray	jaffray	PROPN
cblr-2931	684	11	&	&	CCONJ
cblr-2931	684	12	co.	co.	PROPN
cblr-2931	684	13	,	,	PUNCT
cblr-2931	684	14	407	407	NUM
cblr-2931	684	15	f.	f.	PROPN
cblr-2931	684	16	supp	supp	PROPN
cblr-2931	684	17	.	.	PUNCT
cblr-2931	685	1	2d	2d	NOUN
cblr-2931	685	2	1085	1085	NUM
cblr-2931	685	3	(	(	PUNCT
cblr-2931	685	4	d.n.d	d.n.d	NOUN
cblr-2931	685	5	.	.	PUNCT
cblr-2931	685	6	2006	2006	NUM
cblr-2931	685	7	)	)	PUNCT
cblr-2931	685	8	(	(	PUNCT
cblr-2931	685	9	state	state	NOUN
cblr-2931	685	10	law	law	NOUN
cblr-2931	685	11	claim	claim	NOUN
cblr-2931	685	12	for	for	ADP
cblr-2931	685	13	breach	breach	NOUN
cblr-2931	685	14	of	of	ADP
cblr-2931	685	15	fiduciary	fiduciary	ADJ
cblr-2931	685	16	duty	duty	NOUN
cblr-2931	685	17	,	,	PUNCT
cblr-2931	685	18	including	include	VERB
cblr-2931	685	19	unauthorized	unauthorized	ADJ
cblr-2931	685	20	trading	trading	NOUN
cblr-2931	685	21	,	,	PUNCT
cblr-2931	685	22	was	be	AUX
cblr-2931	685	23	not	not	PART
cblr-2931	685	24	removable	removable	ADJ
cblr-2931	685	25	to	to	ADP
cblr-2931	685	26	federal	federal	ADJ
cblr-2931	685	27	court	court	NOUN
cblr-2931	685	28	under	under	ADP
cblr-2931	685	29	the	the	DET
cblr-2931	685	30	class	class	NOUN
cblr-2931	685	31	action	action	NOUN
cblr-2931	685	32	fairness	fairness	NOUN
cblr-2931	685	33	act	act	NOUN
cblr-2931	685	34	of	of	ADP
cblr-2931	685	35	2005	2005	NUM
cblr-2931	685	36	(	(	PUNCT
cblr-2931	685	37	28	28	NUM
cblr-2931	685	38	u.s.c.a	u.s.c.a	PROPN
cblr-2931	685	39	.	.	PUNCT
cblr-2931	685	40	§	§	PROPN
cblr-2931	685	41	1332	1332	NUM
cblr-2931	685	42	)	)	PUNCT
cblr-2931	685	43	)	)	PUNCT
cblr-2931	685	44	.	.	PUNCT
cblr-2931	686	1	but	but	CCONJ
cblr-2931	686	2	cf	cf	INTJ
cblr-2931	686	3	.	.	PUNCT
cblr-2931	687	1	cordova	cordova	PROPN
cblr-2931	687	2	v.	v.	PROPN
cblr-2931	687	3	lehman	lehman	PROPN
cblr-2931	687	4	bros	bros	PROPN
cblr-2931	687	5	.	.	PROPN
cblr-2931	687	6	,	,	PUNCT
cblr-2931	687	7	413	413	NUM
cblr-2931	687	8	f.	f.	PROPN
cblr-2931	687	9	supp	supp	PROPN
cblr-2931	687	10	.	.	PUNCT
cblr-2931	688	1	2d	2d	NUM
cblr-2931	688	2	1309	1309	NUM
cblr-2931	688	3	(	(	PUNCT
cblr-2931	688	4	s.d	s.d	PROPN
cblr-2931	688	5	.	.	PROPN
cblr-2931	688	6	fla	fla	PROPN
cblr-2931	688	7	.	.	PUNCT
cblr-2931	689	1	2006	2006	NUM
cblr-2931	689	2	)	)	PUNCT
cblr-2931	690	1	(	(	PUNCT
cblr-2931	690	2	slusa	slusa	NOUN
cblr-2931	690	3	preempted	preempt	VERB
cblr-2931	690	4	state	state	NOUN
cblr-2931	690	5	law	law	NOUN
cblr-2931	690	6	claims	claim	NOUN
cblr-2931	690	7	against	against	ADP
cblr-2931	690	8	financial	financial	ADJ
cblr-2931	690	9	institutions	institution	NOUN
cblr-2931	690	10	,	,	PUNCT
cblr-2931	690	11	which	which	PRON
cblr-2931	690	12	provided	provide	VERB
cblr-2931	690	13	custodial	custodial	ADJ
cblr-2931	690	14	and	and	CCONJ
cblr-2931	690	15	trustee	trustee	NOUN
cblr-2931	690	16	services	service	NOUN
cblr-2931	690	17	with	with	ADP
cblr-2931	690	18	respect	respect	NOUN
cblr-2931	690	19	to	to	ADP
cblr-2931	690	20	their	their	PRON
cblr-2931	690	21	retirement	retirement	NOUN
cblr-2931	690	22	trusts	trust	NOUN
cblr-2931	690	23	,	,	PUNCT
cblr-2931	690	24	for	for	ADP
cblr-2931	690	25	aiding	aid	VERB
cblr-2931	690	26	and	and	CCONJ
cblr-2931	690	27	abetting	abet	VERB
cblr-2931	690	28	common	common	ADJ
cblr-2931	690	29	law	law	NOUN
cblr-2931	690	30	fraud	fraud	NOUN
cblr-2931	690	31	,	,	PUNCT
cblr-2931	690	32	aiding	aid	VERB
cblr-2931	690	33	and	and	CCONJ
cblr-2931	690	34	abetting	abet	VERB
cblr-2931	690	35	breach	breach	NOUN
cblr-2931	690	36	of	of	ADP
cblr-2931	690	37	fiduciary	fiduciary	ADJ
cblr-2931	690	38	duty	duty	NOUN
cblr-2931	690	39	and	and	CCONJ
cblr-2931	690	40	breach	breach	NOUN
cblr-2931	690	41	of	of	ADP
cblr-2931	690	42	fiduciary	fiduciary	ADJ
cblr-2931	690	43	duty	duty	NOUN
cblr-2931	690	44	)	)	PUNCT
cblr-2931	690	45	.	.	PUNCT
cblr-2931	691	1	14	14	NUM
cblr-2931	691	2	mccracken	mccracken	PROPN
cblr-2931	691	3	v.	v.	PROPN
cblr-2931	691	4	edward	edward	PROPN
cblr-2931	691	5	d.	d.	PROPN
cblr-2931	691	6	jones	jones	PROPN
cblr-2931	691	7	&	&	CCONJ
cblr-2931	691	8	co.	co.	PROPN
cblr-2931	691	9	,	,	PUNCT
cblr-2931	691	10	445	445	NUM
cblr-2931	691	11	n.w.2d	n.w.2d	ADP
cblr-2931	691	12	375	375	NUM
cblr-2931	691	13	,	,	PUNCT
cblr-2931	691	14	381	381	NUM
cblr-2931	691	15	(	(	PUNCT
cblr-2931	691	16	iowa	iowa	PROPN
cblr-2931	691	17	ct	ct	PROPN
cblr-2931	691	18	.	.	PUNCT
cblr-2931	691	19	app	app	PROPN
cblr-2931	691	20	.	.	PROPN
cblr-2931	691	21	1989	1989	NUM
cblr-2931	691	22	)	)	PUNCT
cblr-2931	691	23	(	(	PUNCT
cblr-2931	691	24	quoting	quote	VERB
cblr-2931	691	25	kurth	kurth	PROPN
cblr-2931	691	26	v.	v.	PROPN
cblr-2931	691	27	van	van	PROPN
cblr-2931	691	28	horn	horn	NOUN
cblr-2931	691	29	,	,	PUNCT
cblr-2931	691	30	380	380	NUM
cblr-2931	691	31	n.w.2d	n.w.2d	ADP
cblr-2931	691	32	693	693	NUM
cblr-2931	691	33	,	,	PUNCT
cblr-2931	691	34	695	695	NUM
cblr-2931	691	35	-	-	SYM
cblr-2931	691	36	96	96	NUM
cblr-2931	691	37	(	(	PUNCT
cblr-2931	691	38	iowa	iowa	PROPN
cblr-2931	691	39	1986	1986	NUM
cblr-2931	691	40	)	)	PUNCT
cblr-2931	691	41	)	)	PUNCT
cblr-2931	691	42	.	.	PUNCT
cblr-2931	692	1	150	150	NUM
cblr-2931	692	2	united	united	PROPN
cblr-2931	692	3	states	states	PROPN
cblr-2931	692	4	v.	v.	ADP
cblr-2931	692	5	skelly	skelly	PROPN
cblr-2931	692	6	,	,	PUNCT
cblr-2931	692	7	442	442	NUM
cblr-2931	692	8	f.3d	f.3d	NUM
cblr-2931	692	9	94	94	NUM
cblr-2931	692	10	,	,	PUNCT
cblr-2931	692	11	98	98	NUM
cblr-2931	692	12	(	(	PUNCT
cblr-2931	692	13	2d	2d	NUM
cblr-2931	692	14	cir	cir	NOUN
cblr-2931	692	15	.	.	PUNCT
cblr-2931	692	16	2006	2006	NUM
cblr-2931	692	17	)	)	PUNCT
cblr-2931	692	18	(	(	PUNCT
cblr-2931	692	19	while	while	SCONJ
cblr-2931	692	20	there	there	PRON
cblr-2931	692	21	is	be	VERB
cblr-2931	692	22	no	no	DET
cblr-2931	692	23	inherent	inherent	ADJ
cblr-2931	692	24	fiduciary	fiduciary	ADJ
cblr-2931	692	25	duty	duty	NOUN
cblr-2931	692	26	arising	arise	VERB
cblr-2931	692	27	out	out	ADP
cblr-2931	692	28	of	of	ADP
cblr-2931	692	29	the	the	DET
cblr-2931	692	30	brokerage	brokerage	NOUN
cblr-2931	692	31	relationship	relationship	NOUN
cblr-2931	692	32	,	,	PUNCT
cblr-2931	692	33	fiduciary	fiduciary	ADJ
cblr-2931	692	34	duties	duty	NOUN
cblr-2931	692	35	do	do	AUX
cblr-2931	692	36	arise	arise	VERB
cblr-2931	692	37	out	out	ADP
cblr-2931	692	38	of	of	ADP
cblr-2931	692	39	a	a	DET
cblr-2931	692	40	discretionary	discretionary	ADJ
cblr-2931	692	41	account	account	NOUN
cblr-2931	692	42	)	)	PUNCT
cblr-2931	692	43	,	,	PUNCT
cblr-2931	692	44	relying	rely	VERB
cblr-2931	692	45	on	on	ADP
cblr-2931	692	46	united	united	PROPN
cblr-2931	692	47	states	states	PROPN
cblr-2931	692	48	v.	v.	PROPN
cblr-2931	692	49	szur	szur	PROPN
cblr-2931	692	50	,	,	PUNCT
cblr-2931	692	51	289	289	NUM
cblr-2931	692	52	f.3d	f.3d	NUM
cblr-2931	692	53	200	200	NUM
cblr-2931	692	54	,	,	PUNCT
cblr-2931	692	55	211	211	NUM
cblr-2931	692	56	(	(	PUNCT
cblr-2931	692	57	2d	2d	NUM
cblr-2931	692	58	cir	cir	NOUN
cblr-2931	692	59	.	.	PUNCT
cblr-2931	692	60	2002	2002	NUM
cblr-2931	692	61	)	)	PUNCT
cblr-2931	692	62	(	(	PUNCT
cblr-2931	692	63	"	"	PUNCT
cblr-2931	692	64	[	[	X
cblr-2931	692	65	a	a	X
cblr-2931	692	66	]	]	X
cblr-2931	692	67	relationship	relationship	NOUN
cblr-2931	692	68	of	of	ADP
cblr-2931	692	69	trust	trust	NOUN
cblr-2931	692	70	and	and	CCONJ
cblr-2931	692	71	confidence	confidence	NOUN
cblr-2931	692	72	does	do	AUX
cblr-2931	692	73	exist	exist	VERB
cblr-2931	692	74	between	between	ADP
cblr-2931	692	75	a	a	DET
cblr-2931	692	76	broker	broker	NOUN
cblr-2931	692	77	and	and	CCONJ
cblr-2931	692	78	a	a	DET
cblr-2931	692	79	customer	customer	NOUN
cblr-2931	692	80	with	with	ADP
cblr-2931	692	81	respect	respect	NOUN
cblr-2931	692	82	to	to	ADP
cblr-2931	692	83	those	those	DET
cblr-2931	692	84	matters	matter	NOUN
cblr-2931	692	85	that	that	PRON
cblr-2931	692	86	have	have	AUX
cblr-2931	692	87	been	be	AUX
cblr-2931	692	88	entrusted	entrust	VERB
cblr-2931	692	89	to	to	ADP
cblr-2931	692	90	the	the	DET
cblr-2931	692	91	broker	broker	NOUN
cblr-2931	692	92	.	.	PUNCT
cblr-2931	692	93	"	"	PUNCT
cblr-2931	692	94	)	)	PUNCT
cblr-2931	692	95	;	;	PUNCT
cblr-2931	692	96	tapia	tapia	PROPN
cblr-2931	692	97	v.	v.	PROPN
cblr-2931	692	98	chase	chase	PROPN
cblr-2931	692	99	manhattan	manhattan	PROPN
cblr-2931	692	100	bank	bank	PROPN
cblr-2931	692	101	,	,	PUNCT
cblr-2931	692	102	n.a	n.a	PROPN
cblr-2931	692	103	.	.	PROPN
cblr-2931	692	104	,	,	PUNCT
cblr-2931	692	105	149	149	NUM
cblr-2931	692	106	f.3d	f.3d	NUM
cblr-2931	692	107	404	404	NUM
cblr-2931	692	108	,	,	PUNCT
cblr-2931	692	109	412	412	NUM
cblr-2931	692	110	(	(	PUNCT
cblr-2931	692	111	5th	5th	ADJ
cblr-2931	692	112	cir	cir	NOUN
cblr-2931	692	113	.	.	PUNCT
cblr-2931	692	114	1998	1998	NUM
cblr-2931	692	115	)	)	PUNCT
cblr-2931	692	116	(	(	PUNCT
cblr-2931	692	117	"	"	PUNCT
cblr-2931	692	118	[	[	X
cblr-2931	692	119	w]here	w]here	X
cblr-2931	692	120	the	the	DET
cblr-2931	692	121	investor	investor	NOUN
cblr-2931	692	122	controls	control	VERB
cblr-2931	692	123	a	a	DET
cblr-2931	692	124	nondiscretionary	nondiscretionary	ADJ
cblr-2931	692	125	account	account	NOUN
cblr-2931	692	126	and	and	CCONJ
cblr-2931	692	127	retains	retain	VERB
cblr-2931	692	128	the	the	DET
cblr-2931	692	129	ability	ability	NOUN
cblr-2931	692	130	to	to	PART
cblr-2931	692	131	make	make	VERB
cblr-2931	692	132	investment	investment	NOUN
cblr-2931	692	133	decisions	decision	NOUN
cblr-2931	692	134	,	,	PUNCT
cblr-2931	692	135	the	the	DET
cblr-2931	692	136	scope	scope	NOUN
cblr-2931	692	137	of	of	ADP
cblr-2931	692	138	any	any	DET
cblr-2931	692	139	duties	duty	NOUN
cblr-2931	692	140	owed	owe	VERB
cblr-2931	692	141	by	by	ADP
cblr-2931	692	142	the	the	DET
cblr-2931	692	143	broker	broker	NOUN
cblr-2931	692	144	will	will	AUX
cblr-2931	692	145	generally	generally	ADV
cblr-2931	692	146	be	be	AUX
cblr-2931	692	147	confined	confine	VERB
cblr-2931	692	148	to	to	ADP
cblr-2931	692	149	executing	execute	VERB
cblr-2931	692	150	the	the	DET
cblr-2931	692	151	investor	investor	NOUN
cblr-2931	692	152	's	's	PART
cblr-2931	692	153	order	order	NOUN
cblr-2931	692	154	.	.	PUNCT
cblr-2931	692	155	"	"	PUNCT
cblr-2931	692	156	)	)	PUNCT
cblr-2931	692	157	;	;	PUNCT
cblr-2931	692	158	indep	indep	NOUN
cblr-2931	692	159	.	.	PUNCT
cblr-2931	693	1	order	order	NOUN
cblr-2931	693	2	of	of	ADP
cblr-2931	693	3	foresters	forester	NOUN
cblr-2931	693	4	v.	v.	ADP
cblr-2931	693	5	donald	donald	PROPN
cblr-2931	693	6	,	,	PUNCT
cblr-2931	693	7	lufkin	lufkin	PROPN
cblr-2931	693	8	&	&	CCONJ
cblr-2931	693	9	jenrette	jenrette	PROPN
cblr-2931	693	10	,	,	PUNCT
cblr-2931	693	11	inc	inc	PROPN
cblr-2931	693	12	.	.	PROPN
cblr-2931	693	13	,	,	PUNCT
cblr-2931	693	14	157	157	NUM
cblr-2931	693	15	f.3d	f.3d	NUM
cblr-2931	693	16	933	933	NUM
cblr-2931	693	17	,	,	PUNCT
cblr-2931	693	18	940	940	NUM
cblr-2931	693	19	(	(	PUNCT
cblr-2931	693	20	2d	2d	NUM
cblr-2931	693	21	cir	cir	NOUN
cblr-2931	693	22	.	.	PUNCT
cblr-2931	693	23	1998	1998	NUM
cblr-2931	693	24	)	)	PUNCT
cblr-2931	693	25	.	.	PUNCT
cblr-2931	694	1	cf	cf	NOUN
cblr-2931	694	2	.	.	PUNCT
cblr-2931	695	1	trumball	trumball	PROPN
cblr-2931	695	2	invs	invs	PROPN
cblr-2931	695	3	.	.	PUNCT
cblr-2931	696	1	ltd	ltd	PROPN
cblr-2931	696	2	.	.	PROPN
cblr-2931	697	1	v.	v.	PROPN
cblr-2931	697	2	wachovia	wachovia	PROPN
cblr-2931	697	3	bank	bank	PROPN
cblr-2931	697	4	,	,	PUNCT
cblr-2931	697	5	n.a	n.a	PROPN
cblr-2931	697	6	.	.	PROPN
cblr-2931	697	7	,	,	PUNCT
cblr-2931	697	8	436	436	NUM
cblr-2931	697	9	f.3d	f.3d	NUM
cblr-2931	697	10	443	443	NUM
cblr-2931	697	11	,	,	PUNCT
cblr-2931	697	12	447	447	NUM
cblr-2931	697	13	(	(	PUNCT
cblr-2931	697	14	4th	4th	ADJ
cblr-2931	697	15	cir	cir	NOUN
cblr-2931	697	16	.	.	PUNCT
cblr-2931	697	17	2006	2006	NUM
cblr-2931	697	18	)	)	PUNCT
cblr-2931	698	1	(	(	PUNCT
cblr-2931	698	2	"	"	PUNCT
cblr-2931	698	3	[	[	X
cblr-2931	698	4	tlhe	tlhe	NOUN
cblr-2931	698	5	plain	plain	ADJ
cblr-2931	698	6	meaning	meaning	NOUN
cblr-2931	698	7	of	of	ADP
cblr-2931	698	8	the	the	DET
cblr-2931	698	9	phrase	phrase	NOUN
cblr-2931	698	10	'	'	PUNCT
cblr-2931	698	11	shall	shall	AUX
cblr-2931	698	12	in	in	ADP
cblr-2931	698	13	its	its	PRON
cblr-2931	698	14	discretion	discretion	NOUN
cblr-2931	698	15	'	'	PUNCT
cblr-2931	698	16	allows	allow	VERB
cblr-2931	698	17	first	first	ADJ
cblr-2931	698	18	union	union	NOUN
cblr-2931	698	19	to	to	PART
cblr-2931	698	20	use	use	VERB
cblr-2931	698	21	its	its	PRON
cblr-2931	698	22	expert	expert	ADJ
cblr-2931	698	23	judgment	judgment	NOUN
cblr-2931	698	24	.	.	PUNCT
cblr-2931	699	1	(	(	PUNCT
cblr-2931	699	2	applying	apply	VERB
cblr-2931	699	3	virginia	virginia	PROPN
cblr-2931	699	4	law	law	NOUN
cblr-2931	699	5	)	)	PUNCT
cblr-2931	699	6	)	)	PUNCT
cblr-2931	699	7	.	.	PUNCT
cblr-2931	700	1	see	see	VERB
cblr-2931	700	2	also	also	ADV
cblr-2931	700	3	the	the	DET
cblr-2931	700	4	random	random	ADJ
cblr-2931	700	5	house	house	NOUN
cblr-2931	700	6	dictionary	dictionary	NOUN
cblr-2931	700	7	of	of	ADP
cblr-2931	700	8	the	the	DET
cblr-2931	700	9	english	english	PROPN
cblr-2931	700	10	language	language	NOUN
cblr-2931	700	11	563	563	NUM
cblr-2931	700	12	(	(	PUNCT
cblr-2931	700	13	2d	2d	NUM
cblr-2931	700	14	ed	ed	NOUN
cblr-2931	700	15	.	.	PROPN
cblr-2931	700	16	1987	1987	NUM
cblr-2931	700	17	)	)	PUNCT
cblr-2931	700	18	(	(	PUNCT
cblr-2931	700	19	defining	define	VERB
cblr-2931	700	20	discretion	discretion	NOUN
cblr-2931	700	21	as	as	ADP
cblr-2931	700	22	"	"	PUNCT
cblr-2931	700	23	the	the	DET
cblr-2931	700	24	power	power	NOUN
cblr-2931	700	25	or	or	CCONJ
cblr-2931	700	26	right	right	ADJ
cblr-2931	700	27	to	to	PART
cblr-2931	700	28	decide	decide	VERB
cblr-2931	700	29	or	or	CCONJ
cblr-2931	700	30	act	act	VERB
cblr-2931	700	31	according	accord	VERB
cblr-2931	700	32	to	to	ADP
cblr-2931	700	33	one	one	PRON
cblr-2931	700	34	's	's	PART
cblr-2931	700	35	own	own	ADJ
cblr-2931	700	36	judgment	judgment	NOUN
cblr-2931	700	37	;	;	PUNCT
cblr-2931	700	38	freedom	freedom	NOUN
cblr-2931	700	39	of	of	ADP
cblr-2931	700	40	judgment	judgment	NOUN
cblr-2931	700	41	or	or	CCONJ
cblr-2931	700	42	choice	choice	NOUN
cblr-2931	700	43	"	"	PUNCT
cblr-2931	700	44	)	)	PUNCT
cblr-2931	700	45	.	.	PUNCT
cblr-2931	701	1	743	743	NUM
cblr-2931	701	2	advisory	advisory	ADJ
cblr-2931	701	3	expertise	expertise	NOUN
cblr-2931	701	4	will	will	AUX
cblr-2931	701	5	give	give	VERB
cblr-2931	701	6	rise	rise	NOUN
cblr-2931	701	7	to	to	ADP
cblr-2931	701	8	fiduciary	fiduciary	ADJ
cblr-2931	701	9	obligations	obligation	NOUN
cblr-2931	701	10	.	.	PUNCT
cblr-2931	702	1	"	"	PUNCT
cblr-2931	702	2	'	'	PUNCT
cblr-2931	702	3	when	when	SCONJ
cblr-2931	702	4	a	a	DET
cblr-2931	702	5	broker	broker	NOUN
cblr-2931	702	6	makes	make	VERB
cblr-2931	702	7	investment	investment	NOUN
cblr-2931	702	8	recommendations	recommendation	NOUN
cblr-2931	702	9	to	to	ADP
cblr-2931	702	10	a	a	DET
cblr-2931	702	11	customer	customer	NOUN
cblr-2931	702	12	,	,	PUNCT
cblr-2931	702	13	the	the	DET
cblr-2931	702	14	broker	broker	NOUN
cblr-2931	702	15	is	be	AUX
cblr-2931	702	16	acting	act	VERB
cblr-2931	702	17	in	in	ADP
cblr-2931	702	18	a	a	DET
cblr-2931	702	19	position	position	NOUN
cblr-2931	702	20	of	of	ADP
cblr-2931	702	21	trust	trust	NOUN
cblr-2931	702	22	vis	vis	X
cblr-2931	702	23	-	-	PUNCT
cblr-2931	702	24	a	a	X
cblr-2931	702	25	-	-	PUNCT
cblr-2931	702	26	vis	vis	X
cblr-2931	702	27	the	the	DET
cblr-2931	702	28	customer	customer	NOUN
cblr-2931	702	29	,	,	PUNCT
cblr-2931	702	30	and	and	CCONJ
cblr-2931	702	31	as	as	SCONJ
cblr-2931	702	32	such	such	ADJ
cblr-2931	702	33	is	be	AUX
cblr-2931	702	34	acting	act	VERB
cblr-2931	702	35	as	as	ADP
cblr-2931	702	36	a	a	DET
cblr-2931	702	37	fiduciary.1	fiduciary.1	PROPN
cblr-2931	702	38	52	52	NUM
cblr-2931	702	39	a	a	DET
cblr-2931	702	40	broker	broker	NOUN
cblr-2931	702	41	who	who	PRON
cblr-2931	702	42	misrepresents	misrepresent	VERB
cblr-2931	702	43	his	his	PRON
cblr-2931	702	44	or	or	CCONJ
cblr-2931	702	45	her	her	PRON
cblr-2931	702	46	expertise	expertise	NOUN
cblr-2931	702	47	is	be	AUX
cblr-2931	702	48	guilty	guilty	ADJ
cblr-2931	702	49	of	of	ADP
cblr-2931	702	50	a	a	DET
cblr-2931	702	51	material	material	ADJ
cblr-2931	702	52	misrepresentation	misrepresentation	NOUN
cblr-2931	702	53	.	.	PUNCT
cblr-2931	702	54	'	'	PUNCT
cblr-2931	703	1	some	some	DET
cblr-2931	703	2	courts	court	NOUN
cblr-2931	703	3	treat	treat	VERB
cblr-2931	703	4	the	the	DET
cblr-2931	703	5	question	question	NOUN
cblr-2931	703	6	of	of	ADP
cblr-2931	703	7	whether	whether	SCONJ
cblr-2931	703	8	the	the	DET
cblr-2931	703	9	account	account	NOUN
cblr-2931	703	10	was	be	AUX
cblr-2931	703	11	discretionary	discretionary	ADJ
cblr-2931	703	12	or	or	CCONJ
cblr-2931	703	13	nondiscretionary	nondiscretionary	ADJ
cblr-2931	703	14	as	as	ADP
cblr-2931	703	15	dispositive	dispositive	NOUN
cblr-2931	703	16	on	on	ADP
cblr-2931	703	17	the	the	DET
cblr-2931	703	18	issue	issue	NOUN
cblr-2931	703	19	of	of	ADP
cblr-2931	703	20	fiduciary	fiduciary	ADJ
cblr-2931	703	21	duty	duty	NOUN
cblr-2931	703	22	.	.	PUNCT
cblr-2931	704	1	see	see	VERB
cblr-2931	704	2	,	,	PUNCT
cblr-2931	704	3	e.g.	e.g.	ADV
cblr-2931	704	4	,	,	PUNCT
cblr-2931	704	5	mcadam	mcadam	PROPN
cblr-2931	704	6	v.	v.	PROPN
cblr-2931	704	7	dean	dean	PROPN
cblr-2931	704	8	witter	witter	PROPN
cblr-2931	704	9	reynolds	reynolds	PROPN
cblr-2931	704	10	,	,	PUNCT
cblr-2931	704	11	inc	inc	PROPN
cblr-2931	704	12	.	.	PROPN
cblr-2931	704	13	,	,	PUNCT
cblr-2931	704	14	896	896	NUM
cblr-2931	704	15	f.2d	f.2d	SYM
cblr-2931	704	16	750	750	NUM
cblr-2931	704	17	,	,	PUNCT
cblr-2931	704	18	766	766	NUM
cblr-2931	704	19	-	-	SYM
cblr-2931	704	20	67	67	NUM
cblr-2931	704	21	(	(	PUNCT
cblr-2931	704	22	3d	3d	NUM
cblr-2931	704	23	cir	cir	NOUN
cblr-2931	704	24	.	.	PROPN
cblr-2931	704	25	1990	1990	NUM
cblr-2931	704	26	)	)	PUNCT
cblr-2931	704	27	(	(	PUNCT
cblr-2931	704	28	applying	apply	VERB
cblr-2931	704	29	new	new	ADJ
cblr-2931	704	30	jersey	jersey	PROPN
cblr-2931	704	31	law	law	PROPN
cblr-2931	704	32	)	)	PUNCT
cblr-2931	704	33	;	;	PUNCT
cblr-2931	704	34	caravan	caravan	NOUN
cblr-2931	704	35	mobile	mobile	PROPN
cblr-2931	704	36	home	home	NOUN
cblr-2931	704	37	sales	sale	NOUN
cblr-2931	704	38	,	,	PUNCT
cblr-2931	704	39	inc	inc	PROPN
cblr-2931	704	40	.	.	PROPN
cblr-2931	704	41	v.	v.	PROPN
cblr-2931	704	42	lehman	lehman	PROPN
cblr-2931	704	43	bros	bros	PROPN
cblr-2931	704	44	.	.	PROPN
cblr-2931	704	45	kuhn	kuhn	PROPN
cblr-2931	704	46	loeb	loeb	PROPN
cblr-2931	704	47	,	,	PUNCT
cblr-2931	704	48	inc	inc	PROPN
cblr-2931	704	49	.	.	PROPN
cblr-2931	704	50	,	,	PUNCT
cblr-2931	704	51	769	769	NUM
cblr-2931	704	52	f.2d	f.2d	NUM
cblr-2931	704	53	561	561	NUM
cblr-2931	704	54	,	,	PUNCT
cblr-2931	704	55	567	567	NUM
cblr-2931	704	56	-	-	SYM
cblr-2931	704	57	68	68	NUM
cblr-2931	704	58	(	(	PUNCT
cblr-2931	704	59	9th	9th	ADJ
cblr-2931	704	60	cir	cir	NOUN
cblr-2931	704	61	.	.	PROPN
cblr-2931	704	62	1985	1985	NUM
cblr-2931	704	63	)	)	PUNCT
cblr-2931	704	64	(	(	PUNCT
cblr-2931	704	65	applying	apply	VERB
cblr-2931	704	66	california	california	PROPN
cblr-2931	704	67	law	law	NOUN
cblr-2931	704	68	)	)	PUNCT
cblr-2931	704	69	;	;	PUNCT
cblr-2931	705	1	chor	chor	PROPN
cblr-2931	705	2	v.	v.	PROPN
cblr-2931	705	3	piper	piper	PROPN
cblr-2931	705	4	,	,	PUNCT
cblr-2931	705	5	jaffray	jaffray	PROPN
cblr-2931	705	6	&	&	CCONJ
cblr-2931	705	7	hopwood	hopwood	PROPN
cblr-2931	705	8	,	,	PUNCT
cblr-2931	705	9	inc	inc	PROPN
cblr-2931	705	10	.	.	PROPN
cblr-2931	705	11	,	,	PUNCT
cblr-2931	705	12	862	862	NUM
cblr-2931	705	13	p.2d	p.2d	SYM
cblr-2931	705	14	26	26	NUM
cblr-2931	705	15	,	,	PUNCT
cblr-2931	705	16	32	32	NUM
cblr-2931	705	17	(	(	PUNCT
cblr-2931	705	18	mont	mont	NOUN
cblr-2931	705	19	.	.	PUNCT
cblr-2931	705	20	1993	1993	NUM
cblr-2931	705	21	)	)	PUNCT
cblr-2931	705	22	.	.	PUNCT
cblr-2931	706	1	cf	cf	PROPN
cblr-2931	706	2	allen	allen	PROPN
cblr-2931	706	3	d.	d.	PROPN
cblr-2931	706	4	madison	madison	PROPN
cblr-2931	706	5	,	,	PUNCT
cblr-2931	706	6	derivatives	derivative	NOUN
cblr-2931	706	7	regulation	regulation	NOUN
cblr-2931	706	8	in	in	ADP
cblr-2931	706	9	the	the	DET
cblr-2931	706	10	context	context	NOUN
cblr-2931	706	11	of	of	ADP
cblr-2931	706	12	the	the	DET
cblr-2931	706	13	shingle	shingle	NOUN
cblr-2931	706	14	theory	theory	NOUN
cblr-2931	706	15	,	,	PUNCT
cblr-2931	706	16	1999	1999	NUM
cblr-2931	706	17	colum	colum	NOUN
cblr-2931	706	18	.	.	PUNCT
cblr-2931	707	1	bus	bus	NOUN
cblr-2931	707	2	.	.	PUNCT
cblr-2931	708	1	l.	l.	PROPN
cblr-2931	708	2	rev	rev	PROPN
cblr-2931	708	3	.	.	PROPN
cblr-2931	708	4	271	271	NUM
cblr-2931	708	5	(	(	PUNCT
cblr-2931	708	6	1999	1999	NUM
cblr-2931	708	7	)	)	PUNCT
cblr-2931	708	8	.	.	PUNCT
cblr-2931	709	1	however	however	ADV
cblr-2931	709	2	,	,	PUNCT
cblr-2931	709	3	courts	court	NOUN
cblr-2931	709	4	have	have	AUX
cblr-2931	709	5	rejected	reject	VERB
cblr-2931	709	6	the	the	DET
cblr-2931	709	7	notion	notion	NOUN
cblr-2931	709	8	that	that	SCONJ
cblr-2931	709	9	the	the	DET
cblr-2931	709	10	"	"	PUNCT
cblr-2931	709	11	discretionarynondiscretionary	discretionarynondiscretionary	ADJ
cblr-2931	709	12	dichotomy	dichotomy	NOUN
cblr-2931	709	13	[	[	X
cblr-2931	709	14	is	be	AUX
cblr-2931	709	15	a	a	DET
cblr-2931	709	16	]	]	X
cblr-2931	709	17	shibboleth	shibboleth	NOUN
cblr-2931	709	18	.	.	PUNCT
cblr-2931	709	19	.	.	PUNCT
cblr-2931	709	20	.	.	PUNCT
cblr-2931	709	21	.	.	PUNCT
cblr-2931	709	22	"	"	PUNCT
cblr-2931	710	1	baker	baker	PROPN
cblr-2931	710	2	v.	v.	PROPN
cblr-2931	710	3	wheat	wheat	PROPN
cblr-2931	710	4	first	first	PROPN
cblr-2931	710	5	sec	sec	PROPN
cblr-2931	710	6	.	.	PROPN
cblr-2931	710	7	,	,	PUNCT
cblr-2931	710	8	643	643	NUM
cblr-2931	710	9	f.	f.	PROPN
cblr-2931	710	10	supp	supp	PROPN
cblr-2931	710	11	.	.	PUNCT
cblr-2931	711	1	1420	1420	NUM
cblr-2931	711	2	,	,	PUNCT
cblr-2931	711	3	1428	1428	NUM
cblr-2931	711	4	(	(	PUNCT
cblr-2931	711	5	s.d.w	s.d.w	NOUN
cblr-2931	711	6	.	.	PUNCT
cblr-2931	712	1	va	va	PROPN
cblr-2931	712	2	.	.	PROPN
cblr-2931	712	3	1986	1986	NUM
cblr-2931	712	4	)	)	PUNCT
cblr-2931	713	1	(	(	PUNCT
cblr-2931	713	2	applying	apply	VERB
cblr-2931	713	3	west	west	PROPN
cblr-2931	713	4	virginia	virginia	PROPN
cblr-2931	713	5	law	law	PROPN
cblr-2931	713	6	)	)	PUNCT
cblr-2931	713	7	.	.	PUNCT
cblr-2931	714	1	the	the	DET
cblr-2931	714	2	latter	latter	ADJ
cblr-2931	714	3	view	view	NOUN
cblr-2931	714	4	is	be	AUX
cblr-2931	714	5	more	more	ADV
cblr-2931	714	6	common	common	ADJ
cblr-2931	714	7	.	.	PUNCT
cblr-2931	715	1	see	see	VERB
cblr-2931	715	2	,	,	PUNCT
cblr-2931	715	3	e.g.	e.g.	ADV
cblr-2931	715	4	,	,	PUNCT
cblr-2931	715	5	davis	davis	PROPN
cblr-2931	715	6	v.	v.	PROPN
cblr-2931	715	7	merrill	merrill	PROPN
cblr-2931	715	8	lynch	lynch	PROPN
cblr-2931	715	9	,	,	PUNCT
cblr-2931	715	10	pierce	pierce	PROPN
cblr-2931	715	11	,	,	PUNCT
cblr-2931	715	12	fenner	fenner	PROPN
cblr-2931	715	13	&	&	CCONJ
cblr-2931	715	14	smith	smith	PROPN
cblr-2931	715	15	,	,	PUNCT
cblr-2931	715	16	inc	inc	PROPN
cblr-2931	715	17	.	.	PROPN
cblr-2931	715	18	,	,	PUNCT
cblr-2931	715	19	906	906	NUM
cblr-2931	715	20	f.2d	f.2d	NOUN
cblr-2931	715	21	1206	1206	NUM
cblr-2931	715	22	,	,	PUNCT
cblr-2931	715	23	1217	1217	NUM
cblr-2931	715	24	(	(	PUNCT
cblr-2931	715	25	8th	8th	ADJ
cblr-2931	715	26	cir	cir	NOUN
cblr-2931	715	27	.	.	PROPN
cblr-2931	715	28	1990	1990	NUM
cblr-2931	715	29	)	)	PUNCT
cblr-2931	715	30	(	(	PUNCT
cblr-2931	715	31	applying	apply	VERB
cblr-2931	715	32	south	south	ADJ
cblr-2931	715	33	dakota	dakota	PROPN
cblr-2931	715	34	law	law	NOUN
cblr-2931	715	35	)	)	PUNCT
cblr-2931	715	36	;	;	PUNCT
cblr-2931	715	37	midamerica	midamerica	PROPN
cblr-2931	715	38	fed	fed	PROPN
cblr-2931	715	39	.	.	PUNCT
cblr-2931	716	1	s	s	PROPN
cblr-2931	716	2	&	&	CCONJ
cblr-2931	716	3	l	l	PROPN
cblr-2931	716	4	ass'n	ass'n	PROPN
cblr-2931	716	5	.	.	PUNCT
cblr-2931	717	1	v.	v.	ADP
cblr-2931	717	2	shearson	shearson	PROPN
cblr-2931	717	3	/	/	SYM
cblr-2931	717	4	american	american	PROPN
cblr-2931	717	5	express	express	PROPN
cblr-2931	717	6	,	,	PUNCT
cblr-2931	717	7	inc	inc	PROPN
cblr-2931	717	8	.	.	PROPN
cblr-2931	717	9	,	,	PUNCT
cblr-2931	717	10	886	886	NUM
cblr-2931	717	11	f.2d	f.2d	NUM
cblr-2931	717	12	1249	1249	NUM
cblr-2931	717	13	,	,	PUNCT
cblr-2931	717	14	1258	1258	NUM
cblr-2931	717	15	(	(	PUNCT
cblr-2931	717	16	10th	10th	ADJ
cblr-2931	717	17	cir	cir	NOUN
cblr-2931	717	18	.	.	PROPN
cblr-2931	717	19	1989	1989	NUM
cblr-2931	717	20	)	)	PUNCT
cblr-2931	718	1	(	(	PUNCT
cblr-2931	718	2	fiduciary	fiduciary	ADJ
cblr-2931	718	3	duty	duty	NOUN
cblr-2931	718	4	arises	arise	VERB
cblr-2931	718	5	from	from	ADP
cblr-2931	718	6	doctrine	doctrine	NOUN
cblr-2931	718	7	of	of	ADP
cblr-2931	718	8	"	"	PUNCT
cblr-2931	718	9	holding	hold	VERB
cblr-2931	718	10	out	out	ADP
cblr-2931	718	11	"	"	PUNCT
cblr-2931	718	12	)	)	PUNCT
cblr-2931	718	13	(	(	PUNCT
cblr-2931	718	14	applying	apply	VERB
cblr-2931	718	15	oklahoma	oklahoma	PROPN
cblr-2931	718	16	law	law	PROPN
cblr-2931	718	17	)	)	PUNCT
cblr-2931	718	18	;	;	PUNCT
cblr-2931	718	19	leboce	leboce	PROPN
cblr-2931	718	20	,	,	PUNCT
cblr-2931	718	21	s.a	s.a	PROPN
cblr-2931	718	22	.	.	PROPN
cblr-2931	719	1	v.	v.	PROPN
cblr-2931	719	2	merrill	merrill	PROPN
cblr-2931	719	3	lynch	lynch	PROPN
cblr-2931	719	4	,	,	PUNCT
cblr-2931	719	5	pierce	pierce	PROPN
cblr-2931	719	6	,	,	PUNCT
cblr-2931	719	7	fenner	fenner	PROPN
cblr-2931	719	8	&	&	CCONJ
cblr-2931	719	9	smith	smith	PROPN
cblr-2931	719	10	,	,	PUNCT
cblr-2931	719	11	inc	inc	PROPN
cblr-2931	719	12	.	.	PROPN
cblr-2931	719	13	,	,	PUNCT
cblr-2931	719	14	709	709	NUM
cblr-2931	719	15	f.2d	f.2d	SYM
cblr-2931	719	16	605	605	NUM
cblr-2931	719	17	,	,	PUNCT
cblr-2931	719	18	607	607	NUM
cblr-2931	719	19	(	(	PUNCT
cblr-2931	719	20	9th	9th	ADJ
cblr-2931	719	21	cir	cir	NOUN
cblr-2931	719	22	.	.	PROPN
cblr-2931	719	23	1983	1983	NUM
cblr-2931	719	24	)	)	PUNCT
cblr-2931	719	25	(	(	PUNCT
cblr-2931	719	26	applying	apply	VERB
cblr-2931	719	27	california	california	PROPN
cblr-2931	719	28	law	law	NOUN
cblr-2931	719	29	)	)	PUNCT
cblr-2931	719	30	;	;	PUNCT
cblr-2931	719	31	merrill	merrill	PROPN
cblr-2931	719	32	lynch	lynch	PROPN
cblr-2931	719	33	,	,	PUNCT
cblr-2931	719	34	pierce	pierce	PROPN
cblr-2931	719	35	,	,	PUNCT
cblr-2931	719	36	fenner	fenner	PROPN
cblr-2931	719	37	&	&	CCONJ
cblr-2931	719	38	smith	smith	PROPN
cblr-2931	719	39	,	,	PUNCT
cblr-2931	719	40	inc	inc	PROPN
cblr-2931	719	41	.	.	PROPN
cblr-2931	720	1	v.	v.	PROPN
cblr-2931	720	2	cheng	cheng	PROPN
cblr-2931	720	3	,	,	PUNCT
cblr-2931	720	4	697	697	NUM
cblr-2931	720	5	f.	f.	PROPN
cblr-2931	720	6	supp	supp	PROPN
cblr-2931	720	7	.	.	PUNCT
cblr-2931	721	1	1224	1224	NUM
cblr-2931	721	2	,	,	PUNCT
cblr-2931	721	3	1226	1226	NUM
cblr-2931	721	4	-	-	SYM
cblr-2931	721	5	27	27	NUM
cblr-2931	721	6	(	(	PUNCT
cblr-2931	721	7	d.d.c	d.d.c	PROPN
cblr-2931	721	8	.	.	PROPN
cblr-2931	721	9	1988	1988	NUM
cblr-2931	721	10	)	)	PUNCT
cblr-2931	721	11	;	;	PUNCT
cblr-2931	721	12	leib	leib	PROPN
cblr-2931	721	13	v.	v.	PROPN
cblr-2931	721	14	merrill	merrill	PROPN
cblr-2931	721	15	lynch	lynch	PROPN
cblr-2931	721	16	,	,	PUNCT
cblr-2931	721	17	pierce	pierce	PROPN
cblr-2931	721	18	,	,	PUNCT
cblr-2931	721	19	fenner	fenner	PROPN
cblr-2931	721	20	&	&	CCONJ
cblr-2931	721	21	smith	smith	PROPN
cblr-2931	721	22	,	,	PUNCT
cblr-2931	721	23	inc	inc	PROPN
cblr-2931	721	24	.	.	PROPN
cblr-2931	721	25	,	,	PUNCT
cblr-2931	721	26	461	461	NUM
cblr-2931	721	27	f.	f.	PROPN
cblr-2931	721	28	supp	supp	PROPN
cblr-2931	721	29	.	.	PUNCT
cblr-2931	722	1	951	951	NUM
cblr-2931	722	2	,	,	PUNCT
cblr-2931	722	3	952	952	NUM
cblr-2931	722	4	(	(	PUNCT
cblr-2931	722	5	e.d	e.d	PROPN
cblr-2931	722	6	.	.	PROPN
cblr-2931	722	7	mich	mich	PROPN
cblr-2931	722	8	.	.	PROPN
cblr-2931	722	9	1978	1978	NUM
cblr-2931	722	10	)	)	PUNCT
cblr-2931	722	11	(	(	PUNCT
cblr-2931	722	12	churning	churn	VERB
cblr-2931	722	13	case	case	NOUN
cblr-2931	722	14	)	)	PUNCT
cblr-2931	722	15	;	;	PUNCT
cblr-2931	723	1	duffy	duffy	PROPN
cblr-2931	723	2	v.	v.	PROPN
cblr-2931	723	3	cavalier	cavalier	PROPN
cblr-2931	723	4	,	,	PUNCT
cblr-2931	723	5	259	259	NUM
cblr-2931	723	6	cal	cal	NOUN
cblr-2931	723	7	.	.	PUNCT
cblr-2931	724	1	rptr	rptr	PROPN
cblr-2931	724	2	.	.	PUNCT
cblr-2931	725	1	162	162	NUM
cblr-2931	725	2	,	,	PUNCT
cblr-2931	725	3	172	172	NUM
cblr-2931	725	4	-	-	SYM
cblr-2931	725	5	73	73	NUM
cblr-2931	725	6	(	(	PUNCT
cblr-2931	725	7	cal	cal	PROPN
cblr-2931	725	8	.	.	PUNCT
cblr-2931	726	1	ct	ct	PROPN
cblr-2931	726	2	.	.	PUNCT
cblr-2931	727	1	app	app	PROPN
cblr-2931	727	2	.	.	PROPN
cblr-2931	727	3	1989	1989	NUM
cblr-2931	727	4	)	)	PUNCT
cblr-2931	727	5	,	,	PUNCT
cblr-2931	728	1	review	review	NOUN
cblr-2931	728	2	granted	grant	VERB
cblr-2931	728	3	and	and	CCONJ
cblr-2931	728	4	cause	cause	AUX
cblr-2931	728	5	transferred	transfer	VERB
cblr-2931	728	6	,	,	PUNCT
cblr-2931	728	7	262	262	NUM
cblr-2931	728	8	cal	cal	NOUN
cblr-2931	728	9	.	.	PUNCT
cblr-2931	729	1	rptr	rptr	PROPN
cblr-2931	729	2	.	.	PUNCT
cblr-2931	730	1	195	195	NUM
cblr-2931	730	2	(	(	PUNCT
cblr-2931	730	3	1989	1989	NUM
cblr-2931	730	4	)	)	PUNCT
cblr-2931	730	5	.	.	PUNCT
cblr-2931	731	1	15	15	NUM
cblr-2931	731	2	see	see	VERB
cblr-2931	731	3	,	,	PUNCT
cblr-2931	731	4	e.g.	e.g.	ADV
cblr-2931	731	5	,	,	PUNCT
cblr-2931	731	6	burdett	burdett	PROPN
cblr-2931	731	7	v.	v.	PROPN
cblr-2931	731	8	miller	miller	PROPN
cblr-2931	731	9	,	,	PUNCT
cblr-2931	731	10	957	957	NUM
cblr-2931	731	11	f.2d	f.2d	NOUN
cblr-2931	731	12	1375	1375	NUM
cblr-2931	731	13	,	,	PUNCT
cblr-2931	731	14	1381	1381	NUM
cblr-2931	731	15	-	-	SYM
cblr-2931	731	16	82	82	NUM
cblr-2931	731	17	(	(	PUNCT
cblr-2931	731	18	7th	7th	ADJ
cblr-2931	731	19	cir	cir	NOUN
cblr-2931	731	20	.	.	PROPN
cblr-2931	731	21	1992	1992	NUM
cblr-2931	731	22	)	)	PUNCT
cblr-2931	731	23	.	.	PUNCT
cblr-2931	732	1	152	152	NUM
cblr-2931	732	2	see	see	VERB
cblr-2931	732	3	united	united	PROPN
cblr-2931	732	4	states	states	PROPN
cblr-2931	732	5	v.	v.	PROPN
cblr-2931	732	6	laurienti	laurienti	PROPN
cblr-2931	732	7	,	,	PUNCT
cblr-2931	732	8	611	611	NUM
cblr-2931	732	9	f.3d	f.3d	NUM
cblr-2931	732	10	530	530	NUM
cblr-2931	732	11	,	,	PUNCT
cblr-2931	732	12	540	540	NUM
cblr-2931	732	13	(	(	PUNCT
cblr-2931	732	14	9th	9th	ADJ
cblr-2931	732	15	cir	cir	NOUN
cblr-2931	732	16	.	.	PUNCT
cblr-2931	732	17	2010	2010	NUM
cblr-2931	732	18	)	)	PUNCT
cblr-2931	732	19	(	(	PUNCT
cblr-2931	732	20	holding	hold	VERB
cblr-2931	732	21	that	that	SCONJ
cblr-2931	732	22	a	a	DET
cblr-2931	732	23	broker	broker	NOUN
cblr-2931	732	24	making	make	VERB
cblr-2931	732	25	recommendations	recommendation	NOUN
cblr-2931	732	26	in	in	ADP
cblr-2931	732	27	a	a	DET
cblr-2931	732	28	pump	pump	NOUN
cblr-2931	732	29	and	and	CCONJ
cblr-2931	732	30	dump	dump	NOUN
cblr-2931	732	31	scheme	scheme	NOUN
cblr-2931	732	32	had	have	VERB
cblr-2931	732	33	a	a	DET
cblr-2931	732	34	fiduciary	fiduciary	ADJ
cblr-2931	732	35	duty	duty	NOUN
cblr-2931	732	36	which	which	PRON
cblr-2931	732	37	required	require	VERB
cblr-2931	732	38	disclosure	disclosure	NOUN
cblr-2931	732	39	of	of	ADP
cblr-2931	732	40	bonus	bonus	NOUN
cblr-2931	732	41	commissions	commission	NOUN
cblr-2931	732	42	)	)	PUNCT
cblr-2931	732	43	;	;	PUNCT
cblr-2931	732	44	united	united	PROPN
cblr-2931	732	45	states	states	PROPN
cblr-2931	732	46	v.	v.	ADP
cblr-2931	732	47	hart	hart	PROPN
cblr-2931	732	48	,	,	PUNCT
cblr-2931	732	49	273	273	NUM
cblr-2931	732	50	f.3d	f.3d	NUM
cblr-2931	732	51	363	363	NUM
cblr-2931	732	52	,	,	PUNCT
cblr-2931	732	53	376	376	NUM
cblr-2931	732	54	(	(	PUNCT
cblr-2931	732	55	3d	3d	PROPN
cblr-2931	732	56	cir	cir	NOUN
cblr-2931	732	57	.	.	PROPN
cblr-2931	732	58	2001	2001	NUM
cblr-2931	732	59	)	)	PUNCT
cblr-2931	732	60	(	(	PUNCT
cblr-2931	732	61	citing	cite	VERB
cblr-2931	732	62	with	with	ADP
cblr-2931	732	63	approval	approval	NOUN
cblr-2931	732	64	united	united	PROPN
cblr-2931	732	65	states	states	PROPN
cblr-2931	732	66	v.	v.	PROPN
cblr-2931	732	67	hussey	hussey	PROPN
cblr-2931	732	68	,	,	PUNCT
cblr-2931	732	69	254	254	NUM
cblr-2931	732	70	f.3d	f.3d	NUM
cblr-2931	732	71	428	428	NUM
cblr-2931	732	72	(	(	PUNCT
cblr-2931	732	73	2d	2d	NUM
cblr-2931	732	74	cir	cir	NOUN
cblr-2931	732	75	.	.	PUNCT
cblr-2931	732	76	2001	2001	NUM
cblr-2931	732	77	)	)	PUNCT
cblr-2931	732	78	)	)	PUNCT
cblr-2931	732	79	;	;	PUNCT
cblr-2931	732	80	louros	louro	NOUN
cblr-2931	732	81	v.	v.	ADP
cblr-2931	732	82	kreicas	kreica	NOUN
cblr-2931	732	83	,	,	PUNCT
cblr-2931	732	84	367	367	NUM
cblr-2931	732	85	f.	f.	PROPN
cblr-2931	732	86	supp	supp	PROPN
cblr-2931	732	87	.	.	PUNCT
cblr-2931	733	1	2d	2d	PROPN
cblr-2931	733	2	572	572	NUM
cblr-2931	733	3	,	,	PUNCT
cblr-2931	733	4	595	595	NUM
cblr-2931	733	5	-	-	SYM
cblr-2931	733	6	96	96	NUM
cblr-2931	733	7	(	(	PUNCT
cblr-2931	733	8	s.d.n.y	s.d.n.y	PROPN
cblr-2931	733	9	.	.	PROPN
cblr-2931	733	10	2005	2005	NUM
cblr-2931	733	11	)	)	PUNCT
cblr-2931	733	12	(	(	PUNCT
cblr-2931	733	13	holding	hold	VERB
cblr-2931	733	14	that	that	SCONJ
cblr-2931	733	15	allegations	allegation	NOUN
cblr-2931	733	16	of	of	ADP
cblr-2931	733	17	fraud	fraud	NOUN
cblr-2931	733	18	involving	involve	VERB
cblr-2931	733	19	recommendation	recommendation	NOUN
cblr-2931	733	20	of	of	ADP
cblr-2931	733	21	option	option	NOUN
cblr-2931	733	22	strategies	strategy	NOUN
cblr-2931	733	23	were	be	AUX
cblr-2931	733	24	not	not	PART
cblr-2931	733	25	preempted	preempt	VERB
cblr-2931	733	26	by	by	ADP
cblr-2931	733	27	new	new	PROPN
cblr-2931	733	28	york	york	PROPN
cblr-2931	733	29	's	's	PART
cblr-2931	733	30	blue	blue	ADJ
cblr-2931	733	31	sky	sky	NOUN
cblr-2931	733	32	law	law	NOUN
cblr-2931	733	33	(	(	PUNCT
cblr-2931	733	34	"	"	PUNCT
cblr-2931	733	35	the	the	DET
cblr-2931	733	36	martin	martin	PROPN
cblr-2931	733	37	act	act	PROPN
cblr-2931	733	38	"	"	PUNCT
cblr-2931	733	39	)	)	PUNCT
cblr-2931	733	40	)	)	PUNCT
cblr-2931	733	41	.	.	PUNCT
cblr-2931	733	42	"	"	PUNCT
cblr-2931	734	1	see	see	VERB
cblr-2931	734	2	misleading	mislead	VERB
cblr-2931	734	3	communications	communication	NOUN
cblr-2931	734	4	about	about	ADP
cblr-2931	734	5	expertise	expertise	NOUN
cblr-2931	734	6	,	,	PUNCT
cblr-2931	734	7	finra	finra	PROPN
cblr-2931	734	8	notice	notice	VERB
cblr-2931	734	9	08	08	NUM
cblr-2931	734	10	-	-	SYM
cblr-2931	734	11	27	27	NUM
cblr-2931	734	12	,	,	PUNCT
cblr-2931	734	13	2008	2008	NUM
cblr-2931	734	14	wl	wl	NOUN
cblr-2931	734	15	2583019	2583019	NUM
cblr-2931	734	16	(	(	PUNCT
cblr-2931	734	17	may	may	PROPN
cblr-2931	734	18	20	20	NUM
cblr-2931	734	19	,	,	PUNCT
cblr-2931	734	20	2008	2008	NUM
cblr-2931	734	21	)	)	PUNCT
cblr-2931	734	22	;	;	PUNCT
cblr-2931	734	23	nasd	nasd	NOUN
cblr-2931	734	24	manual	manual	NOUN
cblr-2931	734	25	rule	rule	NOUN
cblr-2931	734	26	2210	2210	NUM
cblr-2931	734	27	(	(	PUNCT
cblr-2931	734	28	prohibiting	prohibit	VERB
cblr-2931	734	29	false	false	ADJ
cblr-2931	734	30	,	,	PUNCT
cblr-2931	734	31	misleading	misleading	ADJ
cblr-2931	734	32	,	,	PUNCT
cblr-2931	734	33	or	or	CCONJ
cblr-2931	734	34	exaggerated	exaggerated	ADJ
cblr-2931	734	35	communications	communication	NOUN
cblr-2931	734	36	with	with	ADP
cblr-2931	734	37	the	the	DET
cblr-2931	734	38	public	public	NOUN
cblr-2931	734	39	and	and	CCONJ
cblr-2931	734	40	the	the	DET
cblr-2931	734	41	omission	omission	NOUN
cblr-2931	734	42	of	of	ADP
cblr-2931	734	43	material	material	NOUN
cblr-2931	734	44	facts	fact	NOUN
cblr-2931	734	45	or	or	CCONJ
cblr-2931	734	46	qualifications	qualification	NOUN
cblr-2931	734	47	that	that	PRON
cblr-2931	734	48	would	would	AUX
cblr-2931	734	49	cause	cause	VERB
cblr-2931	734	50	a	a	DET
cblr-2931	734	51	communication	communication	NOUN
cblr-2931	734	52	to	to	PART
cblr-2931	734	53	be	be	AUX
cblr-2931	734	54	misleading	misleading	ADJ
cblr-2931	734	55	)	)	PUNCT
cblr-2931	734	56	.	.	PUNCT
cblr-2931	735	1	this	this	PRON
cblr-2931	735	2	can	can	AUX
cblr-2931	735	3	apply	apply	VERB
cblr-2931	735	4	to	to	ADP
cblr-2931	735	5	an	an	DET
cblr-2931	735	6	omission	omission	NOUN
cblr-2931	735	7	col	col	PROPN
cblr-2931	735	8	umbia	umbia	PROPN
cblr-2931	735	9	b	b	PROPN
cblr-2931	736	1	usiness	usiness	PROPN
cblr-2931	736	2	la	la	PROPN
cblr-2931	736	3	w	w	PROPN
cblr-2931	736	4	re	re	PROPN
cblr-2931	736	5	vie	vie	PROPN
cblr-2931	736	6	w	w	PROPN
cblr-2931	737	1	[	[	X
cblr-2931	737	2	vol	vol	NOUN
cblr-2931	737	3	.	.	PUNCT
cblr-2931	737	4	2010744	2010744	NUM
cblr-2931	737	5	no	no	NOUN
cblr-2931	737	6	.	.	PUNCT
cblr-2931	738	1	3:710	3:710	NUM
cblr-2931	738	2	]	]	PUNCT
cblr-2931	738	3	are	be	AUX
cblr-2931	738	4	existing	exist	VERB
cblr-2931	738	5	stock	stock	NOUN
cblr-2931	738	6	broker	broker	NOUN
cblr-2931	738	7	standards	standard	NOUN
cblr-2931	738	8	sufficient	sufficient	ADJ
cblr-2931	738	9	?	?	PUNCT
cblr-2931	739	1	in	in	ADP
cblr-2931	739	2	reviewing	review	VERB
cblr-2931	739	3	the	the	DET
cblr-2931	739	4	relevant	relevant	ADJ
cblr-2931	739	5	state	state	NOUN
cblr-2931	739	6	law	law	NOUN
cblr-2931	739	7	decisions	decision	NOUN
cblr-2931	739	8	,	,	PUNCT
cblr-2931	739	9	some	some	DET
cblr-2931	739	10	generalizations	generalization	NOUN
cblr-2931	739	11	can	can	AUX
cblr-2931	739	12	be	be	AUX
cblr-2931	739	13	made	make	VERB
cblr-2931	739	14	about	about	ADP
cblr-2931	739	15	the	the	DET
cblr-2931	739	16	treatment	treatment	NOUN
cblr-2931	739	17	of	of	ADP
cblr-2931	739	18	securities	security	NOUN
cblr-2931	739	19	broker	broker	NOUN
cblr-2931	739	20	-	-	PUNCT
cblr-2931	739	21	dealers	dealer	NOUN
cblr-2931	739	22	.	.	PUNCT
cblr-2931	740	1	a	a	DET
cblr-2931	740	2	broker	broker	NOUN
cblr-2931	740	3	-	-	PUNCT
cblr-2931	740	4	dealer	dealer	NOUN
cblr-2931	740	5	is	be	AUX
cblr-2931	740	6	more	more	ADV
cblr-2931	740	7	likely	likely	ADJ
cblr-2931	740	8	to	to	PART
cblr-2931	740	9	have	have	VERB
cblr-2931	740	10	a	a	DET
cblr-2931	740	11	duty	duty	NOUN
cblr-2931	740	12	to	to	PART
cblr-2931	740	13	make	make	VERB
cblr-2931	740	14	a	a	DET
cblr-2931	740	15	full	full	ADJ
cblr-2931	740	16	disclosure	disclosure	NOUN
cblr-2931	740	17	when	when	SCONJ
cblr-2931	740	18	recommending	recommend	VERB
cblr-2931	740	19	a	a	DET
cblr-2931	740	20	security,154	security,154	NOUN
cblr-2931	740	21	but	but	CCONJ
cblr-2931	740	22	is	be	AUX
cblr-2931	740	23	less	less	ADV
cblr-2931	740	24	likely	likely	ADJ
cblr-2931	740	25	to	to	PART
cblr-2931	740	26	have	have	VERB
cblr-2931	740	27	an	an	DET
cblr-2931	740	28	unqualified	unqualified	ADJ
cblr-2931	740	29	duty	duty	NOUN
cblr-2931	740	30	to	to	PART
cblr-2931	740	31	provide	provide	VERB
cblr-2931	740	32	the	the	DET
cblr-2931	740	33	client	client	NOUN
cblr-2931	740	34	with	with	ADP
cblr-2931	740	35	useful	useful	ADJ
cblr-2931	740	36	market	market	NOUN
cblr-2931	740	37	information	information	NOUN
cblr-2931	740	38	concerning	concern	VERB
cblr-2931	740	39	the	the	DET
cblr-2931	740	40	client	client	NOUN
cblr-2931	740	41	's	's	PART
cblr-2931	740	42	present	present	ADJ
cblr-2931	740	43	portfolio	portfolio	NOUN
cblr-2931	740	44	even	even	ADV
cblr-2931	740	45	when	when	SCONJ
cblr-2931	740	46	the	the	DET
cblr-2931	740	47	broker	broker	NOUN
cblr-2931	740	48	-	-	PUNCT
cblr-2931	740	49	dealer	dealer	NOUN
cblr-2931	740	50	is	be	AUX
cblr-2931	740	51	aware	aware	ADJ
cblr-2931	740	52	of	of	ADP
cblr-2931	740	53	such	such	ADJ
cblr-2931	740	54	information	information	NOUN
cblr-2931	740	55	.	.	PUNCT
cblr-2931	741	1	'5	'5	PROPN
cblr-2931	741	2	'	'	PUNCT
cblr-2931	741	3	some	some	DET
cblr-2931	741	4	courts	court	NOUN
cblr-2931	741	5	have	have	AUX
cblr-2931	741	6	been	be	AUX
cblr-2931	741	7	less	less	ADV
cblr-2931	741	8	vigilant	vigilant	ADJ
cblr-2931	741	9	in	in	ADP
cblr-2931	741	10	finding	find	VERB
cblr-2931	741	11	a	a	DET
cblr-2931	741	12	fiduciary	fiduciary	ADJ
cblr-2931	741	13	duty	duty	NOUN
cblr-2931	741	14	in	in	ADP
cblr-2931	741	15	the	the	DET
cblr-2931	741	16	brokerage	brokerage	NOUN
cblr-2931	741	17	relationship	relationship	NOUN
cblr-2931	741	18	.	.	PUNCT
cblr-2931	742	1	those	those	DET
cblr-2931	742	2	courts	court	NOUN
cblr-2931	742	3	have	have	AUX
cblr-2931	742	4	questioned	question	VERB
cblr-2931	742	5	whether	whether	SCONJ
cblr-2931	742	6	the	the	DET
cblr-2931	742	7	common	common	ADJ
cblr-2931	742	8	law	law	NOUN
cblr-2931	742	9	imposes	impose	VERB
cblr-2931	742	10	a	a	DET
cblr-2931	742	11	special	special	ADJ
cblr-2931	742	12	obligation	obligation	NOUN
cblr-2931	742	13	on	on	ADP
cblr-2931	742	14	a	a	DET
cblr-2931	742	15	brokerdealer.15	brokerdealer.15	NOUN
cblr-2931	742	16	6	6	NUM
cblr-2931	742	17	there	there	PRON
cblr-2931	742	18	is	be	VERB
cblr-2931	742	19	considerable	considerable	ADJ
cblr-2931	742	20	authority	authority	NOUN
cblr-2931	742	21	,	,	PUNCT
cblr-2931	742	22	however	however	ADV
cblr-2931	742	23	,	,	PUNCT
cblr-2931	742	24	to	to	ADP
cblr-2931	742	25	the	the	DET
cblr-2931	742	26	effect	effect	NOUN
cblr-2931	742	27	that	that	SCONJ
cblr-2931	742	28	honesty	honesty	NOUN
cblr-2931	742	29	and	and	CCONJ
cblr-2931	742	30	good	good	ADJ
cblr-2931	742	31	faith	faith	NOUN
cblr-2931	742	32	are	be	AUX
cblr-2931	742	33	basic	basic	ADJ
cblr-2931	742	34	obligations	obligation	NOUN
cblr-2931	742	35	of	of	ADP
cblr-2931	742	36	as	as	ADV
cblr-2931	742	37	well	well	ADV
cblr-2931	742	38	as	as	ADP
cblr-2931	742	39	a	a	DET
cblr-2931	742	40	misrepresentation	misrepresentation	NOUN
cblr-2931	742	41	.	.	PUNCT
cblr-2931	743	1	for	for	ADP
cblr-2931	743	2	example	example	NOUN
cblr-2931	743	3	,	,	PUNCT
cblr-2931	743	4	a	a	DET
cblr-2931	743	5	broker	broker	NOUN
cblr-2931	743	6	giving	give	VERB
cblr-2931	743	7	advice	advice	NOUN
cblr-2931	743	8	without	without	ADP
cblr-2931	743	9	disclosing	disclose	VERB
cblr-2931	743	10	that	that	SCONJ
cblr-2931	743	11	he	he	PRON
cblr-2931	743	12	or	or	CCONJ
cblr-2931	743	13	she	she	PRON
cblr-2931	743	14	is	be	AUX
cblr-2931	743	15	unknowledgeable	unknowledgeable	ADJ
cblr-2931	743	16	in	in	ADP
cblr-2931	743	17	that	that	DET
cblr-2931	743	18	area	area	NOUN
cblr-2931	743	19	would	would	AUX
cblr-2931	743	20	be	be	AUX
cblr-2931	743	21	a	a	DET
cblr-2931	743	22	violation	violation	NOUN
cblr-2931	743	23	.	.	PUNCT
cblr-2931	743	24	.	.	PUNCT
cblr-2931	744	1	see	see	VERB
cblr-2931	744	2	mccracken	mccracken	PROPN
cblr-2931	744	3	v.	v.	PROPN
cblr-2931	744	4	edward	edward	PROPN
cblr-2931	744	5	d.	d.	PROPN
cblr-2931	744	6	jones	jones	PROPN
cblr-2931	744	7	&	&	CCONJ
cblr-2931	744	8	co.	co.	PROPN
cblr-2931	744	9	,	,	PUNCT
cblr-2931	744	10	445	445	NUM
cblr-2931	744	11	n.w.2d	n.w.2d	ADP
cblr-2931	744	12	375	375	NUM
cblr-2931	744	13	,	,	PUNCT
cblr-2931	744	14	381	381	NUM
cblr-2931	744	15	(	(	PUNCT
cblr-2931	744	16	iowa	iowa	PROPN
cblr-2931	744	17	ct	ct	PROPN
cblr-2931	744	18	.	.	PUNCT
cblr-2931	745	1	app	app	PROPN
cblr-2931	745	2	.	.	PROPN
cblr-2931	745	3	1989	1989	NUM
cblr-2931	745	4	)	)	PUNCT
cblr-2931	745	5	(	(	PUNCT
cblr-2931	745	6	holding	hold	VERB
cblr-2931	745	7	that	that	SCONJ
cblr-2931	745	8	a	a	DET
cblr-2931	745	9	broker	broker	NOUN
cblr-2931	745	10	should	should	AUX
cblr-2931	745	11	disclose	disclose	VERB
cblr-2931	745	12	the	the	DET
cblr-2931	745	13	liquidity	liquidity	NOUN
cblr-2931	745	14	of	of	ADP
cblr-2931	745	15	investments	investment	NOUN
cblr-2931	745	16	and	and	CCONJ
cblr-2931	745	17	sales	sale	NOUN
cblr-2931	745	18	commission	commission	NOUN
cblr-2931	745	19	paid	pay	VERB
cblr-2931	745	20	by	by	ADP
cblr-2931	745	21	the	the	DET
cblr-2931	745	22	issuer	issuer	NOUN
cblr-2931	745	23	to	to	ADP
cblr-2931	745	24	the	the	DET
cblr-2931	745	25	broker	broker	NOUN
cblr-2931	745	26	)	)	PUNCT
cblr-2931	745	27	;	;	PUNCT
cblr-2931	745	28	see	see	VERB
cblr-2931	745	29	also	also	ADV
cblr-2931	745	30	ritch	ritch	VERB
cblr-2931	746	1	v.	v.	ADP
cblr-2931	746	2	robinson	robinson	PROPN
cblr-2931	746	3	-	-	PUNCT
cblr-2931	746	4	humphrey	humphrey	PROPN
cblr-2931	746	5	co.	co.	PROPN
cblr-2931	746	6	,	,	PUNCT
cblr-2931	746	7	142	142	NUM
cblr-2931	746	8	f.3d	f.3d	NUM
cblr-2931	746	9	1391	1391	NUM
cblr-2931	746	10	,	,	PUNCT
cblr-2931	746	11	1394	1394	NUM
cblr-2931	746	12	(	(	PUNCT
cblr-2931	746	13	11th	11th	ADJ
cblr-2931	746	14	cir	cir	NOUN
cblr-2931	746	15	.	.	PUNCT
cblr-2931	746	16	1998	1998	NUM
cblr-2931	746	17	)	)	PUNCT
cblr-2931	747	1	(	(	PUNCT
cblr-2931	747	2	holding	hold	VERB
cblr-2931	747	3	that	that	SCONJ
cblr-2931	747	4	an	an	DET
cblr-2931	747	5	unsuitable	unsuitable	ADJ
cblr-2931	747	6	recommendation	recommendation	NOUN
cblr-2931	747	7	gives	give	VERB
cblr-2931	747	8	a	a	DET
cblr-2931	747	9	private	private	ADJ
cblr-2931	747	10	right	right	NOUN
cblr-2931	747	11	of	of	ADP
cblr-2931	747	12	action	action	NOUN
cblr-2931	747	13	under	under	ADP
cblr-2931	747	14	alabama	alabama	PROPN
cblr-2931	747	15	securities	securities	PROPN
cblr-2931	747	16	act	act	PROPN
cblr-2931	747	17	)	)	PUNCT
cblr-2931	747	18	;	;	PUNCT
cblr-2931	747	19	johnston	johnston	PROPN
cblr-2931	747	20	v.	v.	PROPN
cblr-2931	747	21	cigna	cigna	PROPN
cblr-2931	747	22	corp	corp	PROPN
cblr-2931	747	23	.	.	PROPN
cblr-2931	747	24	,	,	PUNCT
cblr-2931	747	25	916	916	NUM
cblr-2931	747	26	p.2d	p.2d	SYM
cblr-2931	747	27	643	643	NUM
cblr-2931	747	28	,	,	PUNCT
cblr-2931	747	29	649	649	NUM
cblr-2931	747	30	(	(	PUNCT
cblr-2931	747	31	colo	colo	PROPN
cblr-2931	747	32	.	.	PUNCT
cblr-2931	748	1	app	app	PROPN
cblr-2931	748	2	.	.	PROPN
cblr-2931	748	3	1996	1996	NUM
cblr-2931	748	4	)	)	PUNCT
cblr-2931	749	1	(	(	PUNCT
cblr-2931	749	2	holding	hold	VERB
cblr-2931	749	3	that	that	SCONJ
cblr-2931	749	4	issues	issue	NOUN
cblr-2931	749	5	of	of	ADP
cblr-2931	749	6	fact	fact	NOUN
cblr-2931	749	7	as	as	ADP
cblr-2931	749	8	to	to	ADP
cblr-2931	749	9	whether	whether	SCONJ
cblr-2931	749	10	investment	investment	NOUN
cblr-2931	749	11	recommendations	recommendation	NOUN
cblr-2931	749	12	were	be	AUX
cblr-2931	749	13	suitable	suitable	ADJ
cblr-2931	749	14	precluded	precluded	ADJ
cblr-2931	749	15	summary	summary	NOUN
cblr-2931	749	16	judgment	judgment	NOUN
cblr-2931	749	17	)	)	PUNCT
cblr-2931	749	18	.	.	PUNCT
cblr-2931	749	19	.	.	PUNCT
cblr-2931	750	1	see	see	VERB
cblr-2931	750	2	arst	arst	ADV
cblr-2931	750	3	v.	v.	ADP
cblr-2931	750	4	stifel	stifel	PROPN
cblr-2931	750	5	nicolaus	nicolaus	PROPN
cblr-2931	750	6	&	&	CCONJ
cblr-2931	750	7	co.	co.	PROPN
cblr-2931	750	8	,	,	PUNCT
cblr-2931	750	9	871	871	NUM
cblr-2931	750	10	f.	f.	PROPN
cblr-2931	750	11	supp	supp	PROPN
cblr-2931	750	12	.	.	PUNCT
cblr-2931	751	1	1370	1370	NUM
cblr-2931	751	2	,	,	PUNCT
cblr-2931	751	3	1384	1384	NUM
cblr-2931	751	4	(	(	PUNCT
cblr-2931	751	5	d.	d.	PROPN
cblr-2931	751	6	kan	kan	PROPN
cblr-2931	751	7	.	.	PROPN
cblr-2931	751	8	1994	1994	NUM
cblr-2931	751	9	)	)	PUNCT
cblr-2931	751	10	,	,	PUNCT
cblr-2931	751	11	affd	affd	VERB
cblr-2931	751	12	in	in	ADP
cblr-2931	751	13	part	part	NOUN
cblr-2931	751	14	,	,	PUNCT
cblr-2931	751	15	rev'd	rev'd	VERB
cblr-2931	751	16	in	in	ADP
cblr-2931	751	17	part	part	NOUN
cblr-2931	751	18	,	,	PUNCT
cblr-2931	751	19	86	86	NUM
cblr-2931	751	20	f.3d	f.3d	NUM
cblr-2931	751	21	973	973	NUM
cblr-2931	751	22	(	(	PUNCT
cblr-2931	751	23	10th	10th	ADJ
cblr-2931	751	24	cir	cir	NOUN
cblr-2931	751	25	.	.	PUNCT
cblr-2931	751	26	1996	1996	NUM
cblr-2931	751	27	)	)	PUNCT
cblr-2931	752	1	(	(	PUNCT
cblr-2931	752	2	holding	hold	VERB
cblr-2931	752	3	broker	broker	NOUN
cblr-2931	752	4	did	do	AUX
cblr-2931	752	5	not	not	PART
cblr-2931	752	6	have	have	VERB
cblr-2931	752	7	a	a	DET
cblr-2931	752	8	fiduciary	fiduciary	ADJ
cblr-2931	752	9	duty	duty	NOUN
cblr-2931	752	10	to	to	PART
cblr-2931	752	11	investigate	investigate	VERB
cblr-2931	752	12	or	or	CCONJ
cblr-2931	752	13	disclose	disclose	VERB
cblr-2931	752	14	information	information	NOUN
cblr-2931	752	15	about	about	ADP
cblr-2931	752	16	securities	security	NOUN
cblr-2931	752	17	customer	customer	NOUN
cblr-2931	752	18	wanted	want	VERB
cblr-2931	752	19	to	to	PART
cblr-2931	752	20	sell	sell	VERB
cblr-2931	752	21	)	)	PUNCT
cblr-2931	752	22	;	;	PUNCT
cblr-2931	752	23	walston	walston	PROPN
cblr-2931	752	24	&	&	CCONJ
cblr-2931	752	25	co.	co.	PROPN
cblr-2931	752	26	v.	v.	CCONJ
cblr-2931	752	27	miller	miller	PROPN
cblr-2931	752	28	,	,	PUNCT
cblr-2931	752	29	410	410	NUM
cblr-2931	752	30	p.2d	p.2d	SYM
cblr-2931	752	31	658	658	NUM
cblr-2931	752	32	,	,	PUNCT
cblr-2931	752	33	661	661	NUM
cblr-2931	752	34	(	(	PUNCT
cblr-2931	752	35	ariz	ariz	PROPN
cblr-2931	752	36	.	.	PUNCT
cblr-2931	752	37	1966	1966	NUM
cblr-2931	752	38	)	)	PUNCT
cblr-2931	752	39	(	(	PUNCT
cblr-2931	752	40	holding	hold	VERB
cblr-2931	752	41	that	that	SCONJ
cblr-2931	752	42	no	no	DET
cblr-2931	752	43	fiduciary	fiduciary	ADJ
cblr-2931	752	44	duty	duty	NOUN
cblr-2931	752	45	existed	exist	VERB
cblr-2931	752	46	between	between	ADP
cblr-2931	752	47	broker	broker	NOUN
cblr-2931	752	48	-	-	PUNCT
cblr-2931	752	49	dealer	dealer	NOUN
cblr-2931	752	50	and	and	CCONJ
cblr-2931	752	51	client	client	NOUN
cblr-2931	752	52	with	with	ADP
cblr-2931	752	53	a	a	DET
cblr-2931	752	54	commodities	commodity	NOUN
cblr-2931	752	55	margin	margin	NOUN
cblr-2931	752	56	account	account	NOUN
cblr-2931	752	57	)	)	PUNCT
cblr-2931	752	58	;	;	PUNCT
cblr-2931	752	59	merrill	merrill	PROPN
cblr-2931	752	60	lynch	lynch	PROPN
cblr-2931	752	61	,	,	PUNCT
cblr-2931	752	62	pierce	pierce	PROPN
cblr-2931	752	63	,	,	PUNCT
cblr-2931	752	64	fenner	fenner	PROPN
cblr-2931	752	65	&	&	CCONJ
cblr-2931	752	66	smith	smith	PROPN
cblr-2931	752	67	,	,	PUNCT
cblr-2931	752	68	inc	inc	PROPN
cblr-2931	752	69	.	.	PROPN
cblr-2931	752	70	v.	v.	PROPN
cblr-2931	752	71	boeck	boeck	PROPN
cblr-2931	752	72	,	,	PUNCT
cblr-2931	752	73	377	377	NUM
cblr-2931	752	74	n.w.2d	n.w.2d	ADP
cblr-2931	752	75	605	605	NUM
cblr-2931	752	76	,	,	PUNCT
cblr-2931	752	77	610	610	NUM
cblr-2931	752	78	(	(	PUNCT
cblr-2931	752	79	wis	wis	PROPN
cblr-2931	752	80	.	.	NOUN
cblr-2931	752	81	1985	1985	NUM
cblr-2931	752	82	)	)	PUNCT
cblr-2931	752	83	(	(	PUNCT
cblr-2931	752	84	holding	hold	VERB
cblr-2931	752	85	that	that	SCONJ
cblr-2931	752	86	a	a	DET
cblr-2931	752	87	broker	broker	NOUN
cblr-2931	752	88	handling	handle	VERB
cblr-2931	752	89	a	a	DET
cblr-2931	752	90	soybean	soybean	NOUN
cblr-2931	752	91	futures	future	NOUN
cblr-2931	752	92	account	account	NOUN
cblr-2931	752	93	was	be	AUX
cblr-2931	752	94	not	not	PART
cblr-2931	752	95	strictly	strictly	ADV
cblr-2931	752	96	liable	liable	ADJ
cblr-2931	752	97	to	to	PART
cblr-2931	752	98	accurately	accurately	ADV
cblr-2931	752	99	report	report	VERB
cblr-2931	752	100	crop	crop	NOUN
cblr-2931	752	101	sizes	size	NOUN
cblr-2931	752	102	)	)	PUNCT
cblr-2931	752	103	.	.	PUNCT
cblr-2931	752	104	'	'	PUNCT
cblr-2931	753	1	see	see	VERB
cblr-2931	753	2	,	,	PUNCT
cblr-2931	753	3	e.g.	e.g.	ADV
cblr-2931	753	4	,	,	PUNCT
cblr-2931	753	5	shamsi	shamsi	PROPN
cblr-2931	753	6	v.	v.	PROPN
cblr-2931	753	7	dean	dean	PROPN
cblr-2931	753	8	witter	witter	PROPN
cblr-2931	753	9	reynolds	reynolds	PROPN
cblr-2931	753	10	,	,	PUNCT
cblr-2931	753	11	inc	inc	PROPN
cblr-2931	753	12	.	.	PROPN
cblr-2931	753	13	,	,	PUNCT
cblr-2931	753	14	743	743	NUM
cblr-2931	753	15	f.	f.	PROPN
cblr-2931	753	16	supp	supp	PROPN
cblr-2931	753	17	.	.	PUNCT
cblr-2931	754	1	87	87	NUM
cblr-2931	754	2	,	,	PUNCT
cblr-2931	754	3	92	92	NUM
cblr-2931	754	4	(	(	PUNCT
cblr-2931	754	5	d.	d.	PROPN
cblr-2931	754	6	mass	mass	PROPN
cblr-2931	754	7	.	.	PROPN
cblr-2931	754	8	1989	1989	NUM
cblr-2931	754	9	)	)	PUNCT
cblr-2931	755	1	(	(	PUNCT
cblr-2931	755	2	holding	hold	VERB
cblr-2931	755	3	that	that	SCONJ
cblr-2931	755	4	a	a	DET
cblr-2931	755	5	brokerage	brokerage	NOUN
cblr-2931	755	6	relationship	relationship	NOUN
cblr-2931	755	7	does	do	AUX
cblr-2931	755	8	not	not	PART
cblr-2931	755	9	in	in	ADP
cblr-2931	755	10	itself	itself	PRON
cblr-2931	755	11	create	create	VERB
cblr-2931	755	12	a	a	DET
cblr-2931	755	13	fiduciary	fiduciary	ADJ
cblr-2931	755	14	obligation	obligation	NOUN
cblr-2931	755	15	)	)	PUNCT
cblr-2931	755	16	(	(	PUNCT
cblr-2931	755	17	citing	cite	VERB
cblr-2931	755	18	with	with	ADP
cblr-2931	755	19	approval	approval	NOUN
cblr-2931	755	20	lefkowitz	lefkowitz	PROPN
cblr-2931	755	21	v.	v.	PROPN
cblr-2931	755	22	smith	smith	PROPN
cblr-2931	755	23	barney	barney	PROPN
cblr-2931	755	24	,	,	PUNCT
cblr-2931	755	25	harris	harris	PROPN
cblr-2931	755	26	upham	upham	PROPN
cblr-2931	755	27	&	&	CCONJ
cblr-2931	755	28	co.	co.	PROPN
cblr-2931	755	29	,	,	PUNCT
cblr-2931	755	30	804	804	NUM
cblr-2931	755	31	f.2d	f.2d	NOUN
cblr-2931	755	32	154	154	NUM
cblr-2931	755	33	,	,	PUNCT
cblr-2931	755	34	155	155	NUM
cblr-2931	755	35	(	(	PUNCT
cblr-2931	755	36	1st	1st	ADJ
cblr-2931	755	37	cir	cir	NOUN
cblr-2931	755	38	.	.	PUNCT
cblr-2931	755	39	1986	1986	NUM
cblr-2931	755	40	)	)	PUNCT
cblr-2931	755	41	,	,	PUNCT
cblr-2931	755	42	and	and	CCONJ
cblr-2931	755	43	vogelaar	vogelaar	NOUN
cblr-2931	755	44	v.	v.	ADP
cblr-2931	755	45	h.l	h.l	PROPN
cblr-2931	755	46	.	.	PROPN
cblr-2931	755	47	robbins	robbins	PROPN
cblr-2931	755	48	&	&	CCONJ
cblr-2931	755	49	co.	co.	PROPN
cblr-2931	755	50	,	,	PUNCT
cblr-2931	755	51	204	204	NUM
cblr-2931	755	52	n.e.2d	n.e.2d	NOUN
cblr-2931	755	53	461	461	NUM
cblr-2931	755	54	(	(	PUNCT
cblr-2931	755	55	mass	mass	PROPN
cblr-2931	755	56	.	.	PUNCT
cblr-2931	755	57	1965	1965	NUM
cblr-2931	755	58	)	)	PUNCT
cblr-2931	755	59	)	)	PUNCT
cblr-2931	755	60	;	;	PUNCT
cblr-2931	755	61	desciose	desciose	VERB
cblr-2931	755	62	v.	v.	PROPN
cblr-2931	755	63	chiles	chile	NOUN
cblr-2931	755	64	,	,	PUNCT
cblr-2931	755	65	heider	heider	NOUN
cblr-2931	755	66	&	&	CCONJ
cblr-2931	755	67	co.	co.	PROPN
cblr-2931	755	68	,	,	PUNCT
cblr-2931	755	69	476	476	NUM
cblr-2931	755	70	n.w.2d	n.w.2d	NUM
cblr-2931	755	71	200	200	NUM
cblr-2931	755	72	,	,	PUNCT
cblr-2931	755	73	206	206	NUM
cblr-2931	755	74	(	(	PUNCT
cblr-2931	755	75	neb	neb	PROPN
cblr-2931	755	76	.	.	PROPN
cblr-2931	755	77	1991	1991	NUM
cblr-2931	755	78	)	)	PUNCT
cblr-2931	755	79	.	.	PUNCT
cblr-2931	756	1	745	745	NUM
cblr-2931	756	2	columbia	columbia	PROPN
cblr-2931	756	3	business	business	NOUN
cblr-2931	756	4	law	law	PROPN
cblr-2931	756	5	review	review	VERB
cblr-2931	756	6	broker	broker	NOUN
cblr-2931	756	7	-	-	PUNCT
cblr-2931	756	8	dealers	dealer	NOUN
cblr-2931	756	9	.	.	PUNCT
cblr-2931	757	1	1	1	NUM
cblr-2931	757	2	6	6	NUM
cblr-2931	757	3	7	7	NUM
cblr-2931	757	4	other	other	ADJ
cblr-2931	757	5	courts	court	NOUN
cblr-2931	757	6	are	be	AUX
cblr-2931	757	7	more	more	ADV
cblr-2931	757	8	willing	willing	ADJ
cblr-2931	757	9	to	to	PART
cblr-2931	757	10	recognize	recognize	VERB
cblr-2931	757	11	that	that	SCONJ
cblr-2931	757	12	a	a	DET
cblr-2931	757	13	broker	broker	NOUN
cblr-2931	757	14	has	have	VERB
cblr-2931	757	15	a	a	DET
cblr-2931	757	16	fiduciary	fiduciary	ADJ
cblr-2931	757	17	relationship	relationship	NOUN
cblr-2931	757	18	with	with	ADP
cblr-2931	757	19	his	his	PRON
cblr-2931	757	20	or	or	CCONJ
cblr-2931	757	21	her	her	PRON
cblr-2931	757	22	customer	customer	NOUN
cblr-2931	757	23	.	.	PUNCT
cblr-2931	757	24	'	'	PUNCT
cblr-2931	757	25	,	,	PUNCT
cblr-2931	757	26	"	"	PUNCT
cblr-2931	757	27	furthermore	furthermore	ADV
cblr-2931	757	28	,	,	PUNCT
cblr-2931	757	29	it	it	PRON
cblr-2931	757	30	is	be	AUX
cblr-2931	757	31	clear	clear	ADJ
cblr-2931	757	32	that	that	SCONJ
cblr-2931	757	33	when	when	SCONJ
cblr-2931	757	34	a	a	DET
cblr-2931	757	35	broker	broker	NOUN
cblr-2931	757	36	exercises	exercise	VERB
cblr-2931	757	37	discretion	discretion	NOUN
cblr-2931	757	38	over	over	ADP
cblr-2931	757	39	an	an	DET
cblr-2931	757	40	account	account	NOUN
cblr-2931	757	41	,	,	PUNCT
cblr-2931	757	42	he	he	PRON
cblr-2931	757	43	or	or	CCONJ
cblr-2931	757	44	she	she	PRON
cblr-2931	757	45	will	will	AUX
cblr-2931	757	46	be	be	AUX
cblr-2931	757	47	subject	subject	ADJ
cblr-2931	757	48	to	to	ADP
cblr-2931	757	49	fiduciary	fiduciary	ADJ
cblr-2931	757	50	obligations	obligation	NOUN
cblr-2931	757	51	.	.	PUNCT
cblr-2931	757	52	'	'	PUNCT
cblr-2931	758	1	in	in	ADP
cblr-2931	758	2	such	such	DET
cblr-2931	758	3	a	a	DET
cblr-2931	758	4	case	case	NOUN
cblr-2931	758	5	the	the	DET
cblr-2931	758	6	broker	broker	NOUN
cblr-2931	758	7	is	be	AUX
cblr-2931	758	8	acting	act	VERB
cblr-2931	758	9	as	as	ADP
cblr-2931	758	10	trustee	trustee	NOUN
cblr-2931	758	11	with	with	ADP
cblr-2931	758	12	regard	regard	NOUN
cblr-2931	758	13	to	to	ADP
cblr-2931	758	14	the	the	DET
cblr-2931	758	15	customer	customer	NOUN
cblr-2931	758	16	's	's	PART
cblr-2931	758	17	investments	investment	NOUN
cblr-2931	758	18	.	.	PUNCT
cblr-2931	759	1	with	with	ADP
cblr-2931	759	2	respect	respect	NOUN
cblr-2931	759	3	to	to	ADP
cblr-2931	759	4	a	a	DET
cblr-2931	759	5	nondiscretionary	nondiscretionary	ADJ
cblr-2931	759	6	account	account	NOUN
cblr-2931	759	7	,	,	PUNCT
cblr-2931	759	8	the	the	DET
cblr-2931	759	9	broker	broker	NOUN
cblr-2931	759	10	's	's	PART
cblr-2931	759	11	duty	duty	NOUN
cblr-2931	759	12	may	may	AUX
cblr-2931	759	13	be	be	AUX
cblr-2931	759	14	limited	limit	VERB
cblr-2931	759	15	to	to	ADP
cblr-2931	759	16	the	the	DET
cblr-2931	759	17	proper	proper	ADJ
cblr-2931	759	18	execution	execution	NOUN
cblr-2931	759	19	of	of	ADP
cblr-2931	759	20	individual	individual	ADJ
cblr-2931	759	21	transactions	transaction	NOUN
cblr-2931	759	22	,	,	PUNCT
cblr-2931	759	23	and	and	CCONJ
cblr-2931	759	24	that	that	SCONJ
cblr-2931	759	25	duty	duty	NOUN
cblr-2931	759	26	ends	end	VERB
cblr-2931	759	27	when	when	SCONJ
cblr-2931	759	28	the	the	DET
cblr-2931	759	29	transaction	transaction	NOUN
cblr-2931	759	30	is	be	AUX
cblr-2931	759	31	complete	complete	ADJ
cblr-2931	759	32	.	.	PUNCT
cblr-2931	760	1	'6	'6	VERB
cblr-2931	760	2	0	0	PUNCT
cblr-2931	761	1	this	this	PRON
cblr-2931	761	2	157	157	NUM
cblr-2931	761	3	see	see	VERB
cblr-2931	761	4	,	,	PUNCT
cblr-2931	761	5	e.g.	e.g.	ADV
cblr-2931	761	6	,	,	PUNCT
cblr-2931	761	7	messer	messer	PROPN
cblr-2931	761	8	v.	v.	PROPN
cblr-2931	761	9	e.f	e.f	PROPN
cblr-2931	761	10	.	.	PROPN
cblr-2931	761	11	hutton	hutton	PROPN
cblr-2931	761	12	&	&	CCONJ
cblr-2931	761	13	co.	co.	PROPN
cblr-2931	761	14	,	,	PUNCT
cblr-2931	761	15	833	833	NUM
cblr-2931	761	16	f.2d	f.2d	NOUN
cblr-2931	761	17	909	909	NUM
cblr-2931	761	18	,	,	PUNCT
cblr-2931	761	19	920	920	NUM
cblr-2931	761	20	(	(	PUNCT
cblr-2931	761	21	11th	11th	ADJ
cblr-2931	761	22	cir	cir	NOUN
cblr-2931	761	23	.	.	PUNCT
cblr-2931	761	24	1987	1987	NUM
cblr-2931	761	25	)	)	PUNCT
cblr-2931	761	26	,	,	PUNCT
cblr-2931	761	27	amended	amend	VERB
cblr-2931	761	28	,	,	PUNCT
cblr-2931	761	29	847	847	NUM
cblr-2931	761	30	f.2d	f.2d	ADP
cblr-2931	761	31	673	673	NUM
cblr-2931	761	32	(	(	PUNCT
cblr-2931	761	33	11th	11th	ADJ
cblr-2931	761	34	cir	cir	NOUN
cblr-2931	761	35	.	.	PUNCT
cblr-2931	761	36	1988	1988	NUM
cblr-2931	761	37	)	)	PUNCT
cblr-2931	761	38	(	(	PUNCT
cblr-2931	761	39	applying	apply	VERB
cblr-2931	761	40	florida	florida	PROPN
cblr-2931	761	41	common	common	ADJ
cblr-2931	761	42	law	law	NOUN
cblr-2931	761	43	)	)	PUNCT
cblr-2931	761	44	.	.	PUNCT
cblr-2931	762	1	158	158	NUM
cblr-2931	762	2	see	see	VERB
cblr-2931	762	3	,	,	PUNCT
cblr-2931	762	4	e.g.	e.g.	ADV
cblr-2931	762	5	,	,	PUNCT
cblr-2931	762	6	davis	davis	PROPN
cblr-2931	762	7	v.	v.	PROPN
cblr-2931	762	8	merrill	merrill	PROPN
cblr-2931	762	9	lynch	lynch	PROPN
cblr-2931	762	10	,	,	PUNCT
cblr-2931	762	11	pierce	pierce	PROPN
cblr-2931	762	12	,	,	PUNCT
cblr-2931	762	13	fenner	fenner	PROPN
cblr-2931	762	14	&	&	CCONJ
cblr-2931	762	15	smith	smith	PROPN
cblr-2931	762	16	,	,	PUNCT
cblr-2931	762	17	inc	inc	PROPN
cblr-2931	762	18	.	.	PROPN
cblr-2931	762	19	,	,	PUNCT
cblr-2931	762	20	906	906	NUM
cblr-2931	762	21	f.2d	f.2d	NOUN
cblr-2931	762	22	1206	1206	NUM
cblr-2931	762	23	,	,	PUNCT
cblr-2931	762	24	1215	1215	NUM
cblr-2931	762	25	(	(	PUNCT
cblr-2931	762	26	8th	8th	ADJ
cblr-2931	762	27	cir	cir	NOUN
cblr-2931	762	28	.	.	PROPN
cblr-2931	762	29	1990	1990	NUM
cblr-2931	762	30	)	)	PUNCT
cblr-2931	762	31	(	(	PUNCT
cblr-2931	762	32	holding	hold	VERB
cblr-2931	762	33	that	that	SCONJ
cblr-2931	762	34	brokers	broker	NOUN
cblr-2931	762	35	are	be	AUX
cblr-2931	762	36	fiduciaries	fiduciary	NOUN
cblr-2931	762	37	who	who	PRON
cblr-2931	762	38	owe	owe	VERB
cblr-2931	762	39	their	their	PRON
cblr-2931	762	40	customers	customer	NOUN
cblr-2931	762	41	a	a	DET
cblr-2931	762	42	duty	duty	NOUN
cblr-2931	762	43	of	of	ADP
cblr-2931	762	44	the	the	DET
cblr-2931	762	45	utmost	utmost	ADJ
cblr-2931	762	46	good	good	ADJ
cblr-2931	762	47	faith	faith	NOUN
cblr-2931	762	48	,	,	PUNCT
cblr-2931	762	49	integrity	integrity	NOUN
cblr-2931	762	50	,	,	PUNCT
cblr-2931	762	51	and	and	CCONJ
cblr-2931	762	52	loyalty	loyalty	NOUN
cblr-2931	762	53	under	under	ADP
cblr-2931	762	54	south	south	PROPN
cblr-2931	762	55	dakota	dakota	PROPN
cblr-2931	762	56	law	law	NOUN
cblr-2931	762	57	)	)	PUNCT
cblr-2931	762	58	;	;	PUNCT
cblr-2931	762	59	midamerica	midamerica	PROPN
cblr-2931	762	60	fed	fed	PROPN
cblr-2931	762	61	.	.	PUNCT
cblr-2931	763	1	say	say	PROPN
cblr-2931	763	2	.	.	PUNCT
cblr-2931	763	3	&	&	CCONJ
cblr-2931	763	4	loan	loan	VERB
cblr-2931	763	5	ass'n	ass'n	PROPN
cblr-2931	763	6	v.	v.	CCONJ
cblr-2931	763	7	shearson	shearson	PROPN
cblr-2931	763	8	/	/	SYM
cblr-2931	763	9	am	am	PROPN
cblr-2931	763	10	.	.	PUNCT
cblr-2931	764	1	express	express	PROPN
cblr-2931	764	2	,	,	PUNCT
cblr-2931	764	3	inc	inc	PROPN
cblr-2931	764	4	.	.	PROPN
cblr-2931	764	5	,	,	PUNCT
cblr-2931	764	6	886	886	NUM
cblr-2931	764	7	f.2d	f.2d	NUM
cblr-2931	764	8	1249	1249	NUM
cblr-2931	764	9	,	,	PUNCT
cblr-2931	764	10	1259	1259	NUM
cblr-2931	764	11	(	(	PUNCT
cblr-2931	764	12	10th	10th	ADJ
cblr-2931	764	13	cir	cir	NOUN
cblr-2931	764	14	.	.	PROPN
cblr-2931	764	15	1989	1989	NUM
cblr-2931	764	16	)	)	PUNCT
cblr-2931	765	1	(	(	PUNCT
cblr-2931	765	2	upholding	uphold	VERB
cblr-2931	765	3	damage	damage	NOUN
cblr-2931	765	4	award	award	NOUN
cblr-2931	765	5	based	base	VERB
cblr-2931	765	6	on	on	ADP
cblr-2931	765	7	broker	broker	NOUN
cblr-2931	765	8	's	's	PART
cblr-2931	765	9	breach	breach	NOUN
cblr-2931	765	10	of	of	ADP
cblr-2931	765	11	fiduciary	fiduciary	ADJ
cblr-2931	765	12	duty	duty	NOUN
cblr-2931	765	13	)	)	PUNCT
cblr-2931	765	14	;	;	PUNCT
cblr-2931	765	15	first	first	PROPN
cblr-2931	765	16	union	union	NOUN
cblr-2931	765	17	brokerage	brokerage	NOUN
cblr-2931	765	18	v.	v.	ADP
cblr-2931	765	19	milos	milo	NOUN
cblr-2931	765	20	,	,	PUNCT
cblr-2931	765	21	717	717	NUM
cblr-2931	765	22	f.	f.	PROPN
cblr-2931	765	23	supp	supp	PROPN
cblr-2931	765	24	.	.	PUNCT
cblr-2931	766	1	1519	1519	NUM
cblr-2931	766	2	,	,	PUNCT
cblr-2931	766	3	1526	1526	NUM
cblr-2931	766	4	(	(	PUNCT
cblr-2931	766	5	s.d	s.d	PROPN
cblr-2931	766	6	.	.	PROPN
cblr-2931	766	7	fla	fla	PROPN
cblr-2931	766	8	.	.	PROPN
cblr-2931	766	9	1989	1989	NUM
cblr-2931	766	10	)	)	PUNCT
cblr-2931	766	11	(	(	PUNCT
cblr-2931	766	12	confirming	confirm	VERB
cblr-2931	766	13	existence	existence	NOUN
cblr-2931	766	14	of	of	ADP
cblr-2931	766	15	fiduciary	fiduciary	ADJ
cblr-2931	766	16	relationship	relationship	NOUN
cblr-2931	766	17	between	between	ADP
cblr-2931	766	18	broker	broker	NOUN
cblr-2931	766	19	and	and	CCONJ
cblr-2931	766	20	securities	security	NOUN
cblr-2931	766	21	investor	investor	NOUN
cblr-2931	766	22	)	)	PUNCT
cblr-2931	766	23	;	;	PUNCT
cblr-2931	766	24	duffy	duffy	PROPN
cblr-2931	766	25	v.	v.	PROPN
cblr-2931	766	26	cavalier	cavalier	ADJ
cblr-2931	766	27	,	,	PUNCT
cblr-2931	766	28	264	264	NUM
cblr-2931	766	29	cal	cal	NOUN
cblr-2931	766	30	.	.	PUNCT
cblr-2931	767	1	rptr	rptr	PROPN
cblr-2931	767	2	.	.	PUNCT
cblr-2931	768	1	740	740	NUM
cblr-2931	768	2	,	,	PUNCT
cblr-2931	768	3	751	751	NUM
cblr-2931	768	4	-	-	SYM
cblr-2931	768	5	52	52	NUM
cblr-2931	768	6	(	(	PUNCT
cblr-2931	768	7	cal	cal	X
cblr-2931	768	8	.	.	PUNCT
cblr-2931	769	1	ct	ct	PROPN
cblr-2931	769	2	.	.	PUNCT
cblr-2931	770	1	app	app	PROPN
cblr-2931	770	2	.	.	PROPN
cblr-2931	770	3	1989	1989	NUM
cblr-2931	770	4	)	)	PUNCT
cblr-2931	770	5	(	(	PUNCT
cblr-2931	770	6	holding	hold	VERB
cblr-2931	770	7	that	that	DET
cblr-2931	770	8	broker	broker	NOUN
cblr-2931	770	9	owes	owe	VERB
cblr-2931	770	10	fiduciary	fiduciary	ADJ
cblr-2931	770	11	duty	duty	NOUN
cblr-2931	770	12	to	to	ADP
cblr-2931	770	13	both	both	CCONJ
cblr-2931	770	14	sophisticated	sophisticated	ADJ
cblr-2931	770	15	and	and	CCONJ
cblr-2931	770	16	unsophisticated	unsophisticated	ADJ
cblr-2931	770	17	investors	investor	NOUN
cblr-2931	770	18	alike	alike	ADV
cblr-2931	770	19	)	)	PUNCT
cblr-2931	770	20	.	.	PUNCT
cblr-2931	771	1	cf	cf	NOUN
cblr-2931	771	2	.	.	PUNCT
cblr-2931	772	1	laird	laird	PROPN
cblr-2931	772	2	v.	v.	ADP
cblr-2931	772	3	integrated	integrate	VERB
cblr-2931	772	4	res	re	NOUN
cblr-2931	772	5	.	.	PROPN
cblr-2931	772	6	,	,	PUNCT
cblr-2931	772	7	inc	inc	PROPN
cblr-2931	772	8	.	.	PROPN
cblr-2931	772	9	,	,	PUNCT
cblr-2931	772	10	897	897	NUM
cblr-2931	772	11	f.2d	f.2d	ADP
cblr-2931	772	12	826	826	NUM
cblr-2931	772	13	,	,	PUNCT
cblr-2931	772	14	835	835	NUM
cblr-2931	772	15	(	(	PUNCT
cblr-2931	772	16	5th	5th	ADJ
cblr-2931	772	17	cir	cir	NOUN
cblr-2931	772	18	.	.	PUNCT
cblr-2931	772	19	1990	1990	NUM
cblr-2931	772	20	)	)	PUNCT
cblr-2931	773	1	(	(	PUNCT
cblr-2931	773	2	ruling	rule	VERB
cblr-2931	773	3	that	that	SCONJ
cblr-2931	773	4	an	an	DET
cblr-2931	773	5	investment	investment	NOUN
cblr-2931	773	6	adviser	adviser	NOUN
cblr-2931	773	7	is	be	AUX
cblr-2931	773	8	a	a	DET
cblr-2931	773	9	fiduciary	fiduciary	ADJ
cblr-2931	773	10	for	for	ADP
cblr-2931	773	11	purposes	purpose	NOUN
cblr-2931	773	12	of	of	ADP
cblr-2931	773	13	judging	judge	VERB
cblr-2931	773	14	the	the	DET
cblr-2931	773	15	scope	scope	NOUN
cblr-2931	773	16	of	of	ADP
cblr-2931	773	17	rule	rule	NOUN
cblr-2931	773	18	10b-5	10b-5	NUM
cblr-2931	773	19	obligations	obligation	NOUN
cblr-2931	773	20	)	)	PUNCT
cblr-2931	773	21	.	.	PUNCT
cblr-2931	774	1	159	159	NUM
cblr-2931	774	2	e.g.	e.g.	ADV
cblr-2931	774	3	,	,	PUNCT
cblr-2931	774	4	thropp	thropp	PROPN
cblr-2931	774	5	v.	v.	ADP
cblr-2931	774	6	bache	bache	PROPN
cblr-2931	774	7	halsey	halsey	PROPN
cblr-2931	774	8	stuart	stuart	PROPN
cblr-2931	774	9	shields	shields	PROPN
cblr-2931	774	10	,	,	PUNCT
cblr-2931	774	11	inc	inc	PROPN
cblr-2931	774	12	.	.	PROPN
cblr-2931	774	13	,	,	PUNCT
cblr-2931	774	14	650	650	NUM
cblr-2931	774	15	f.2d	f.2d	NOUN
cblr-2931	774	16	817	817	NUM
cblr-2931	774	17	,	,	PUNCT
cblr-2931	774	18	819	819	NUM
cblr-2931	774	19	-	-	SYM
cblr-2931	774	20	20	20	NUM
cblr-2931	774	21	(	(	PUNCT
cblr-2931	774	22	6th	6th	ADJ
cblr-2931	774	23	cir	cir	NOUN
cblr-2931	774	24	.	.	PUNCT
cblr-2931	774	25	1981	1981	NUM
cblr-2931	774	26	)	)	PUNCT
cblr-2931	774	27	;	;	PUNCT
cblr-2931	774	28	rupert	rupert	PROPN
cblr-2931	774	29	v.	v.	PROPN
cblr-2931	774	30	clayton	clayton	PROPN
cblr-2931	774	31	brokerage	brokerage	PROPN
cblr-2931	774	32	co.	co.	PROPN
cblr-2931	774	33	of	of	ADP
cblr-2931	774	34	st	st	PROPN
cblr-2931	774	35	.	.	PROPN
cblr-2931	774	36	louis	louis	PROPN
cblr-2931	774	37	,	,	PUNCT
cblr-2931	774	38	737	737	NUM
cblr-2931	774	39	p.2d	p.2d	SYM
cblr-2931	774	40	1106	1106	NUM
cblr-2931	774	41	,	,	PUNCT
cblr-2931	774	42	1109	1109	NUM
cblr-2931	774	43	(	(	PUNCT
cblr-2931	774	44	colo	colo	PROPN
cblr-2931	774	45	.	.	PUNCT
cblr-2931	774	46	1987	1987	NUM
cblr-2931	774	47	)	)	PUNCT
cblr-2931	774	48	;	;	PUNCT
cblr-2931	774	49	paine	paine	PROPN
cblr-2931	774	50	,	,	PUNCT
cblr-2931	774	51	webber	webber	PROPN
cblr-2931	774	52	,	,	PUNCT
cblr-2931	774	53	jackson	jackson	PROPN
cblr-2931	774	54	&	&	CCONJ
cblr-2931	774	55	curtis	curtis	PROPN
cblr-2931	774	56	,	,	PUNCT
cblr-2931	774	57	inc	inc	PROPN
cblr-2931	774	58	.	.	PROPN
cblr-2931	775	1	v.	v.	PROPN
cblr-2931	775	2	adams	adams	PROPN
cblr-2931	775	3	,	,	PUNCT
cblr-2931	775	4	718	718	NUM
cblr-2931	775	5	p.2d	p.2d	NUM
cblr-2931	775	6	508	508	NUM
cblr-2931	775	7	,	,	PUNCT
cblr-2931	775	8	517	517	NUM
cblr-2931	775	9	-	-	SYM
cblr-2931	775	10	18	18	NUM
cblr-2931	775	11	(	(	PUNCT
cblr-2931	775	12	colo	colo	PROPN
cblr-2931	775	13	.	.	PROPN
cblr-2931	775	14	1986	1986	NUM
cblr-2931	775	15	)	)	PUNCT
cblr-2931	775	16	(	(	PUNCT
cblr-2931	775	17	en	en	X
cblr-2931	775	18	banc	banc	PROPN
cblr-2931	775	19	)	)	PUNCT
cblr-2931	776	1	;	;	PUNCT
cblr-2931	776	2	merrill	merrill	PROPN
cblr-2931	776	3	lynch	lynch	PROPN
cblr-2931	776	4	,	,	PUNCT
cblr-2931	776	5	377	377	NUM
cblr-2931	776	6	n.w.2d	n.w.2d	NOUN
cblr-2931	776	7	at	at	ADP
cblr-2931	776	8	609	609	NUM
cblr-2931	776	9	.	.	PUNCT
cblr-2931	777	1	this	this	PRON
cblr-2931	777	2	is	be	AUX
cblr-2931	777	3	true	true	ADJ
cblr-2931	777	4	even	even	ADV
cblr-2931	777	5	if	if	SCONJ
cblr-2931	777	6	the	the	DET
cblr-2931	777	7	broker	broker	NOUN
cblr-2931	777	8	does	do	AUX
cblr-2931	777	9	not	not	PART
cblr-2931	777	10	have	have	AUX
cblr-2931	777	11	written	write	VERB
cblr-2931	777	12	authority	authority	NOUN
cblr-2931	777	13	but	but	CCONJ
cblr-2931	777	14	nevertheless	nevertheless	ADV
cblr-2931	777	15	exercises	exercise	VERB
cblr-2931	777	16	de	de	X
cblr-2931	777	17	facto	facto	X
cblr-2931	777	18	control	control	NOUN
cblr-2931	777	19	over	over	ADP
cblr-2931	777	20	the	the	DET
cblr-2931	777	21	account	account	NOUN
cblr-2931	777	22	.	.	PUNCT
cblr-2931	778	1	e.g.	e.g.	ADV
cblr-2931	778	2	,	,	PUNCT
cblr-2931	778	3	petersen	petersen	PROPN
cblr-2931	778	4	v.	v.	PROPN
cblr-2931	778	5	sec	sec	PROPN
cblr-2931	778	6	.	.	PROPN
cblr-2931	778	7	settlement	settlement	PROPN
cblr-2931	778	8	corp	corp	PROPN
cblr-2931	778	9	.	.	PROPN
cblr-2931	778	10	,	,	PUNCT
cblr-2931	778	11	277	277	NUM
cblr-2931	778	12	cal	cal	NOUN
cblr-2931	778	13	.	.	PUNCT
cblr-2931	779	1	rptr	rptr	PROPN
cblr-2931	779	2	.	.	PUNCT
cblr-2931	780	1	468	468	NUM
cblr-2931	780	2	,	,	PUNCT
cblr-2931	780	3	471	471	NUM
cblr-2931	780	4	-	-	SYM
cblr-2931	780	5	473	473	NUM
cblr-2931	780	6	(	(	PUNCT
cblr-2931	780	7	cal	cal	PROPN
cblr-2931	780	8	.	.	PUNCT
cblr-2931	781	1	ct	ct	PROPN
cblr-2931	781	2	.	.	PUNCT
cblr-2931	782	1	app	app	PROPN
cblr-2931	782	2	.	.	PROPN
cblr-2931	782	3	1991	1991	NUM
cblr-2931	782	4	)	)	PUNCT
cblr-2931	782	5	;	;	PUNCT
cblr-2931	783	1	twomey	twomey	PROPN
cblr-2931	783	2	v.	v.	ADP
cblr-2931	783	3	mitchum	mitchum	PROPN
cblr-2931	783	4	,	,	PUNCT
cblr-2931	783	5	jones	jones	PROPN
cblr-2931	783	6	&	&	CCONJ
cblr-2931	783	7	templeton	templeton	PROPN
cblr-2931	783	8	,	,	PUNCT
cblr-2931	783	9	inc	inc	PROPN
cblr-2931	783	10	.	.	PROPN
cblr-2931	783	11	,	,	PUNCT
cblr-2931	783	12	69	69	NUM
cblr-2931	783	13	cal	cal	NOUN
cblr-2931	783	14	.	.	PUNCT
cblr-2931	784	1	rptr	rptr	PROPN
cblr-2931	784	2	.	.	PUNCT
cblr-2931	785	1	222	222	NUM
cblr-2931	785	2	,	,	PUNCT
cblr-2931	785	3	235	235	NUM
cblr-2931	785	4	(	(	PUNCT
cblr-2931	785	5	cal	cal	PROPN
cblr-2931	785	6	.	.	PUNCT
cblr-2931	786	1	ct	ct	PROPN
cblr-2931	786	2	.	.	PUNCT
cblr-2931	787	1	app	app	PROPN
cblr-2931	787	2	.	.	PROPN
cblr-2931	787	3	1968	1968	NUM
cblr-2931	787	4	)	)	PUNCT
cblr-2931	787	5	.	.	PUNCT
cblr-2931	788	1	in	in	ADP
cblr-2931	788	2	such	such	ADJ
cblr-2931	788	3	situations	situation	NOUN
cblr-2931	788	4	,	,	PUNCT
cblr-2931	788	5	some	some	DET
cblr-2931	788	6	courts	court	NOUN
cblr-2931	788	7	describe	describe	VERB
cblr-2931	788	8	the	the	DET
cblr-2931	788	9	broker	broker	NOUN
cblr-2931	788	10	as	as	ADP
cblr-2931	788	11	having	having	AUX
cblr-2931	788	12	assumed	assume	VERB
cblr-2931	788	13	broad	broad	ADJ
cblr-2931	788	14	fiduciary	fiduciary	ADJ
cblr-2931	788	15	duties	duty	NOUN
cblr-2931	788	16	.	.	PUNCT
cblr-2931	789	1	see	see	VERB
cblr-2931	789	2	,	,	PUNCT
cblr-2931	789	3	e.g.	e.g.	ADV
cblr-2931	789	4	,	,	PUNCT
cblr-2931	789	5	patsos	patsos	PROPN
cblr-2931	789	6	v.	v.	ADP
cblr-2931	789	7	first	first	PROPN
cblr-2931	789	8	albany	albany	PROPN
cblr-2931	789	9	corp	corp	PROPN
cblr-2931	789	10	.	.	PROPN
cblr-2931	789	11	,	,	PUNCT
cblr-2931	789	12	741	741	NUM
cblr-2931	789	13	n.e.2d	n.e.2d	NOUN
cblr-2931	789	14	841	841	NUM
cblr-2931	789	15	,	,	PUNCT
cblr-2931	789	16	850	850	NUM
cblr-2931	789	17	(	(	PUNCT
cblr-2931	789	18	mass	mass	PROPN
cblr-2931	789	19	.	.	PROPN
cblr-2931	789	20	2001	2001	NUM
cblr-2931	789	21	)	)	PUNCT
cblr-2931	789	22	.	.	PUNCT
cblr-2931	790	1	1	1	NUM
cblr-2931	790	2	'	'	PART
cblr-2931	790	3	desciose	desciose	NOUN
cblr-2931	790	4	,	,	PUNCT
cblr-2931	790	5	476	476	NUM
cblr-2931	790	6	n.w.2d	n.w.2d	NOUN
cblr-2931	790	7	at	at	ADP
cblr-2931	790	8	206	206	NUM
cblr-2931	790	9	(	(	PUNCT
cblr-2931	790	10	"	"	PUNCT
cblr-2931	790	11	the	the	DET
cblr-2931	790	12	mere	mere	ADJ
cblr-2931	790	13	existence	existence	NOUN
cblr-2931	790	14	of	of	ADP
cblr-2931	790	15	a	a	DET
cblr-2931	790	16	brokerclient	brokerclient	NOUN
cblr-2931	790	17	relationship	relationship	NOUN
cblr-2931	790	18	,	,	PUNCT
cblr-2931	790	19	without	without	ADP
cblr-2931	790	20	more	more	ADJ
cblr-2931	790	21	,	,	PUNCT
cblr-2931	790	22	does	do	AUX
cblr-2931	790	23	not	not	PART
cblr-2931	790	24	imply	imply	VERB
cblr-2931	790	25	a	a	DET
cblr-2931	790	26	confidential	confidential	ADJ
cblr-2931	790	27	relationship	relationship	NOUN
cblr-2931	790	28	.	.	PUNCT
cblr-2931	790	29	"	"	PUNCT
cblr-2931	791	1	(	(	PUNCT
cblr-2931	791	2	citing	cite	VERB
cblr-2931	791	3	with	with	ADP
cblr-2931	791	4	approval	approval	NOUN
cblr-2931	791	5	fey	fey	PROPN
cblr-2931	791	6	v.	v.	PROPN
cblr-2931	791	7	walston	walston	PROPN
cblr-2931	791	8	&	&	CCONJ
cblr-2931	791	9	co.	co.	PROPN
cblr-2931	791	10	,	,	PUNCT
cblr-2931	791	11	493	493	NUM
cblr-2931	791	12	f.2d	f.2d	NOUN
cblr-2931	791	13	1036	1036	NUM
cblr-2931	791	14	(	(	PUNCT
cblr-2931	791	15	7th	7th	ADJ
cblr-2931	791	16	cir	cir	NOUN
cblr-2931	791	17	.	.	PROPN
cblr-2931	791	18	1974	1974	NUM
cblr-2931	791	19	)	)	PUNCT
cblr-2931	791	20	)	)	PUNCT
cblr-2931	791	21	)	)	PUNCT
cblr-2931	791	22	;	;	PUNCT
cblr-2931	791	23	russo	russo	PROPN
cblr-2931	791	24	v.	v.	PROPN
cblr-2931	791	25	bache	bache	PROPN
cblr-2931	791	26	halsey	halsey	PROPN
cblr-2931	791	27	stuart	stuart	PROPN
cblr-2931	791	28	shields	shields	PROPN
cblr-2931	791	29	,	,	PUNCT
cblr-2931	791	30	inc	inc	PROPN
cblr-2931	791	31	.	.	PROPN
cblr-2931	791	32	,	,	PUNCT
cblr-2931	791	33	554	554	NUM
cblr-2931	791	34	f.	f.	NOUN
cblr-2931	791	35	supp	supp	PROPN
cblr-2931	791	36	.	.	PUNCT
cblr-2931	792	1	613	613	NUM
cblr-2931	792	2	(	(	PUNCT
cblr-2931	792	3	n.d	n.d	PROPN
cblr-2931	792	4	.	.	PROPN
cblr-2931	792	5	ill	ill	PROPN
cblr-2931	792	6	.	.	PROPN
cblr-2931	792	7	1982	1982	NUM
cblr-2931	792	8	)	)	PUNCT
cblr-2931	792	9	)	)	PUNCT
cblr-2931	792	10	;	;	PUNCT
cblr-2931	792	11	cf	cf	NOUN
cblr-2931	792	12	mars	mar	NOUN
cblr-2931	792	13	v.	v.	ADP
cblr-2931	792	14	wedbush	wedbush	PROPN
cblr-2931	792	15	morgan	morgan	PROPN
cblr-2931	792	16	sec	sec	PROPN
cblr-2931	792	17	.	.	PROPN
cblr-2931	792	18	,	,	PUNCT
cblr-2931	792	19	inc	inc	PROPN
cblr-2931	792	20	.	.	PROPN
cblr-2931	792	21	,	,	PUNCT
cblr-2931	792	22	283	283	NUM
cblr-2931	792	23	cal	cal	NOUN
cblr-2931	792	24	.	.	PUNCT
cblr-2931	793	1	rptr	rptr	PROPN
cblr-2931	793	2	.	.	PUNCT
cblr-2931	794	1	238	238	NUM
cblr-2931	794	2	,	,	PUNCT
cblr-2931	794	3	242	242	NUM
cblr-2931	794	4	(	(	PUNCT
cblr-2931	794	5	cal	cal	PROPN
cblr-2931	794	6	.	.	PUNCT
cblr-2931	795	1	ct	ct	PROPN
cblr-2931	795	2	.	.	PUNCT
cblr-2931	796	1	app	app	PROPN
cblr-2931	796	2	.	.	PROPN
cblr-2931	796	3	1991	1991	NUM
cblr-2931	796	4	)	)	PUNCT
cblr-2931	797	1	(	(	PUNCT
cblr-2931	797	2	holding	hold	VERB
cblr-2931	797	3	that	that	SCONJ
cblr-2931	797	4	the	the	DET
cblr-2931	797	5	clearing	clearing	NOUN
cblr-2931	797	6	broker	broker	NOUN
cblr-2931	797	7	did	do	AUX
cblr-2931	797	8	not	not	PART
cblr-2931	797	9	owe	owe	VERB
cblr-2931	797	10	a	a	DET
cblr-2931	797	11	duty	duty	NOUN
cblr-2931	797	12	to	to	ADP
cblr-2931	797	13	the	the	DET
cblr-2931	797	14	customer	customer	NOUN
cblr-2931	797	15	)	)	PUNCT
cblr-2931	797	16	;	;	PUNCT
cblr-2931	797	17	see	see	VERB
cblr-2931	797	18	also	also	ADV
cblr-2931	797	19	,	,	PUNCT
cblr-2931	797	20	e.g.	e.g.	ADV
cblr-2931	797	21	,	,	PUNCT
cblr-2931	797	22	martinez	martinez	PROPN
cblr-2931	797	23	tapia	tapia	PROPN
cblr-2931	797	24	v.	v.	PROPN
cblr-2931	797	25	chase	chase	PROPN
cblr-2931	797	26	manhattan	manhattan	PROPN
cblr-2931	797	27	746	746	NUM
cblr-2931	798	1	[	[	X
cblr-2931	798	2	vol	vol	NOUN
cblr-2931	798	3	.	.	NOUN
cblr-2931	799	1	20	20	NUM
cblr-2931	799	2	10	10	NUM
cblr-2931	799	3	no	no	NOUN
cblr-2931	799	4	.	.	PUNCT
cblr-2931	800	1	3:710	3:710	NUM
cblr-2931	800	2	]	]	PUNCT
cblr-2931	800	3	are	be	AUX
cblr-2931	800	4	existing	exist	VERB
cblr-2931	800	5	stock	stock	NOUN
cblr-2931	800	6	broker	broker	NOUN
cblr-2931	800	7	standards	standard	NOUN
cblr-2931	800	8	sufficient	sufficient	ADJ
cblr-2931	800	9	?	?	PUNCT
cblr-2931	801	1	is	be	AUX
cblr-2931	801	2	almost	almost	ADV
cblr-2931	801	3	certain	certain	ADJ
cblr-2931	801	4	to	to	PART
cblr-2931	801	5	be	be	AUX
cblr-2931	801	6	the	the	DET
cblr-2931	801	7	case	case	NOUN
cblr-2931	801	8	with	with	ADP
cblr-2931	801	9	respect	respect	NOUN
cblr-2931	801	10	to	to	ADP
cblr-2931	801	11	unsolicited	unsolicited	ADJ
cblr-2931	801	12	transactions.16	transactions.16	PROPN
cblr-2931	801	13	1	1	NUM
cblr-2931	801	14	under	under	ADP
cblr-2931	801	15	new	new	PROPN
cblr-2931	801	16	york	york	PROPN
cblr-2931	801	17	law	law	NOUN
cblr-2931	801	18	,	,	PUNCT
cblr-2931	801	19	for	for	ADP
cblr-2931	801	20	example	example	NOUN
cblr-2931	801	21	,	,	PUNCT
cblr-2931	801	22	the	the	DET
cblr-2931	801	23	broker	broker	NOUN
cblr-2931	801	24	in	in	ADP
cblr-2931	801	25	a	a	DET
cblr-2931	801	26	non	non	ADJ
cblr-2931	801	27	-	-	ADJ
cblr-2931	801	28	discretionary	discretionary	ADJ
cblr-2931	801	29	account	account	NOUN
cblr-2931	801	30	has	have	VERB
cblr-2931	801	31	the	the	DET
cblr-2931	801	32	duty	duty	NOUN
cblr-2931	801	33	to	to	PART
cblr-2931	801	34	notify	notify	VERB
cblr-2931	801	35	the	the	DET
cblr-2931	801	36	customer	customer	NOUN
cblr-2931	801	37	before	before	SCONJ
cblr-2931	801	38	trades	trade	NOUN
cblr-2931	801	39	are	be	AUX
cblr-2931	801	40	made	make	VERB
cblr-2931	801	41	and	and	CCONJ
cblr-2931	801	42	also	also	ADV
cblr-2931	801	43	to	to	PART
cblr-2931	801	44	execute	execute	VERB
cblr-2931	801	45	trades	trade	NOUN
cblr-2931	801	46	62	62	NUM
cblr-2931	801	47	requested	request	VERB
cblr-2931	801	48	by	by	ADP
cblr-2931	801	49	the	the	DET
cblr-2931	801	50	customer	customer	NOUN
cblr-2931	801	51	.	.	PUNCT
cblr-2931	802	1	6	6	NUM
cblr-2931	802	2	1	1	NUM
cblr-2931	802	3	upon	upon	SCONJ
cblr-2931	802	4	completion	completion	NOUN
cblr-2931	802	5	of	of	ADP
cblr-2931	802	6	the	the	DET
cblr-2931	802	7	trade	trade	NOUN
cblr-2931	802	8	,	,	PUNCT
cblr-2931	802	9	a	a	DET
cblr-2931	802	10	securities	security	NOUN
cblr-2931	802	11	broker	broker	NOUN
cblr-2931	802	12	who	who	PRON
cblr-2931	802	13	acted	act	VERB
cblr-2931	802	14	upon	upon	SCONJ
cblr-2931	802	15	a	a	DET
cblr-2931	802	16	customer	customer	NOUN
cblr-2931	802	17	's	's	PART
cblr-2931	802	18	order	order	NOUN
cblr-2931	802	19	does	do	AUX
cblr-2931	802	20	not	not	PART
cblr-2931	802	21	have	have	VERB
cblr-2931	802	22	any	any	DET
cblr-2931	802	23	further	further	ADJ
cblr-2931	802	24	duty	duty	NOUN
cblr-2931	802	25	to	to	PART
cblr-2931	802	26	call	call	VERB
cblr-2931	802	27	upon	upon	SCONJ
cblr-2931	802	28	his	his	PRON
cblr-2931	802	29	or	or	CCONJ
cblr-2931	802	30	her	her	PRON
cblr-2931	802	31	own	own	ADJ
cblr-2931	802	32	professional	professional	ADJ
cblr-2931	802	33	skill	skill	NOUN
cblr-2931	802	34	and	and	CCONJ
cblr-2931	802	35	prudence	prudence	NOUN
cblr-2931	802	36	concerning	concern	VERB
cblr-2931	802	37	the	the	DET
cblr-2931	802	38	wisdom	wisdom	NOUN
cblr-2931	802	39	of	of	ADP
cblr-2931	802	40	any	any	PRON
cblr-2931	802	41	of	of	ADP
cblr-2931	802	42	the	the	DET
cblr-2931	802	43	customer	customer	NOUN
cblr-2931	802	44	's	's	PART
cblr-2931	802	45	trades	trade	NOUN
cblr-2931	802	46	.	.	PUNCT
cblr-2931	802	47	'	'	PUNCT
cblr-2931	803	1	*	*	PUNCT
cblr-2931	803	2	bank	bank	PROPN
cblr-2931	803	3	,	,	PUNCT
cblr-2931	803	4	n.a	n.a	PROPN
cblr-2931	803	5	.	.	PROPN
cblr-2931	803	6	,	,	PUNCT
cblr-2931	803	7	149	149	NUM
cblr-2931	803	8	f.3d	f.3d	NUM
cblr-2931	803	9	404	404	NUM
cblr-2931	803	10	,	,	PUNCT
cblr-2931	803	11	412	412	NUM
cblr-2931	803	12	(	(	PUNCT
cblr-2931	803	13	5th	5th	ADJ
cblr-2931	803	14	cir	cir	NOUN
cblr-2931	803	15	.	.	PUNCT
cblr-2931	803	16	1998	1998	NUM
cblr-2931	803	17	)	)	PUNCT
cblr-2931	803	18	(	(	PUNCT
cblr-2931	803	19	"	"	PUNCT
cblr-2931	803	20	[	[	X
cblr-2931	803	21	where	where	SCONJ
cblr-2931	803	22	the	the	DET
cblr-2931	803	23	investor	investor	NOUN
cblr-2931	803	24	controls	control	VERB
cblr-2931	803	25	a	a	DET
cblr-2931	803	26	nondiscretionary	nondiscretionary	ADJ
cblr-2931	803	27	account	account	NOUN
cblr-2931	803	28	and	and	CCONJ
cblr-2931	803	29	retains	retain	VERB
cblr-2931	803	30	the	the	DET
cblr-2931	803	31	ability	ability	NOUN
cblr-2931	803	32	to	to	PART
cblr-2931	803	33	make	make	VERB
cblr-2931	803	34	investment	investment	NOUN
cblr-2931	803	35	decisions	decision	NOUN
cblr-2931	803	36	,	,	PUNCT
cblr-2931	803	37	the	the	DET
cblr-2931	803	38	scope	scope	NOUN
cblr-2931	803	39	of	of	ADP
cblr-2931	803	40	any	any	DET
cblr-2931	803	41	duties	duty	NOUN
cblr-2931	803	42	owed	owe	VERB
cblr-2931	803	43	by	by	ADP
cblr-2931	803	44	the	the	DET
cblr-2931	803	45	broker	broker	NOUN
cblr-2931	803	46	will	will	AUX
cblr-2931	803	47	generally	generally	ADV
cblr-2931	803	48	be	be	AUX
cblr-2931	803	49	confined	confine	VERB
cblr-2931	803	50	to	to	ADP
cblr-2931	803	51	executing	execute	VERB
cblr-2931	803	52	the	the	DET
cblr-2931	803	53	investor	investor	NOUN
cblr-2931	803	54	's	's	PART
cblr-2931	803	55	order	order	NOUN
cblr-2931	803	56	.	.	PUNCT
cblr-2931	804	1	"	"	PUNCT
cblr-2931	804	2	)	)	PUNCT
cblr-2931	804	3	;	;	PUNCT
cblr-2931	804	4	indep	indep	NOUN
cblr-2931	804	5	.	.	PUNCT
cblr-2931	805	1	order	order	NOUN
cblr-2931	805	2	of	of	ADP
cblr-2931	805	3	foresters	forester	NOUN
cblr-2931	805	4	v.	v.	ADP
cblr-2931	805	5	donald	donald	PROPN
cblr-2931	805	6	,	,	PUNCT
cblr-2931	805	7	lufkin	lufkin	PROPN
cblr-2931	805	8	&	&	CCONJ
cblr-2931	805	9	jenrette	jenrette	PROPN
cblr-2931	805	10	,	,	PUNCT
cblr-2931	805	11	inc	inc	PROPN
cblr-2931	805	12	.	.	PROPN
cblr-2931	805	13	,	,	PUNCT
cblr-2931	805	14	157	157	NUM
cblr-2931	805	15	f.3d	f.3d	NUM
cblr-2931	805	16	933	933	NUM
cblr-2931	805	17	,	,	PUNCT
cblr-2931	805	18	940	940	NUM
cblr-2931	805	19	(	(	PUNCT
cblr-2931	805	20	2d	2d	NUM
cblr-2931	805	21	cir	cir	NOUN
cblr-2931	805	22	.	.	PUNCT
cblr-2931	805	23	1998	1998	NUM
cblr-2931	805	24	)	)	PUNCT
cblr-2931	805	25	(	(	PUNCT
cblr-2931	805	26	"	"	PUNCT
cblr-2931	805	27	under	under	ADP
cblr-2931	805	28	new	new	PROPN
cblr-2931	805	29	york	york	PROPN
cblr-2931	805	30	law	law	NOUN
cblr-2931	805	31	,	,	PUNCT
cblr-2931	805	32	as	as	ADV
cblr-2931	805	33	generally	generally	ADV
cblr-2931	805	34	,	,	PUNCT
cblr-2931	805	35	there	there	PRON
cblr-2931	805	36	is	be	VERB
cblr-2931	805	37	no	no	DET
cblr-2931	805	38	general	general	ADJ
cblr-2931	805	39	fiduciary	fiduciary	ADJ
cblr-2931	805	40	duty	duty	NOUN
cblr-2931	805	41	inherent	inherent	ADJ
cblr-2931	805	42	in	in	ADP
cblr-2931	805	43	an	an	DET
cblr-2931	805	44	ordinary	ordinary	ADJ
cblr-2931	805	45	broker	broker	NOUN
cblr-2931	805	46	-	-	PUNCT
cblr-2931	805	47	customer	customer	NOUN
cblr-2931	805	48	relationship	relationship	NOUN
cblr-2931	805	49	....	....	PUNCT
cblr-2931	806	1	[	[	X
cblr-2931	806	2	a	a	DET
cblr-2931	806	3	general	general	ADJ
cblr-2931	806	4	fiduciary	fiduciary	NOUN
cblr-2931	806	5	]	]	X
cblr-2931	806	6	duty	duty	NOUN
cblr-2931	806	7	can	can	AUX
cblr-2931	806	8	arise	arise	VERB
cblr-2931	806	9	only	only	ADV
cblr-2931	806	10	where	where	SCONJ
cblr-2931	806	11	the	the	DET
cblr-2931	806	12	customer	customer	NOUN
cblr-2931	806	13	has	have	AUX
cblr-2931	806	14	delegated	delegate	VERB
cblr-2931	806	15	discretionary	discretionary	ADJ
cblr-2931	806	16	trading	trading	NOUN
cblr-2931	806	17	authority	authority	NOUN
cblr-2931	806	18	to	to	ADP
cblr-2931	806	19	the	the	DET
cblr-2931	806	20	broker	broker	NOUN
cblr-2931	806	21	.	.	PUNCT
cblr-2931	806	22	"	"	PUNCT
cblr-2931	806	23	)	)	PUNCT
cblr-2931	806	24	;	;	PUNCT
cblr-2931	806	25	hill	hill	PROPN
cblr-2931	806	26	v.	v.	ADP
cblr-2931	806	27	bache	bache	PROPN
cblr-2931	806	28	halsey	halsey	PROPN
cblr-2931	806	29	stuart	stuart	PROPN
cblr-2931	806	30	shields	shields	PROPN
cblr-2931	806	31	,	,	PUNCT
cblr-2931	806	32	inc	inc	PROPN
cblr-2931	806	33	.	.	PROPN
cblr-2931	806	34	,	,	PUNCT
cblr-2931	806	35	790	790	NUM
cblr-2931	806	36	f.2d	f.2d	NOUN
cblr-2931	806	37	817	817	NUM
cblr-2931	806	38	,	,	PUNCT
cblr-2931	806	39	824	824	NUM
cblr-2931	806	40	(	(	PUNCT
cblr-2931	806	41	10th	10th	ADJ
cblr-2931	806	42	cir	cir	NOUN
cblr-2931	806	43	.	.	PROPN
cblr-2931	806	44	1986	1986	NUM
cblr-2931	806	45	)	)	PUNCT
cblr-2931	806	46	(	(	PUNCT
cblr-2931	806	47	the	the	DET
cblr-2931	806	48	fiduciary	fiduciary	ADJ
cblr-2931	806	49	duty	duty	NOUN
cblr-2931	806	50	owed	owe	VERB
cblr-2931	806	51	by	by	ADP
cblr-2931	806	52	a	a	DET
cblr-2931	806	53	broker	broker	NOUN
cblr-2931	806	54	operating	operate	VERB
cblr-2931	806	55	a	a	DET
cblr-2931	806	56	nondiscretionary	nondiscretionary	ADJ
cblr-2931	806	57	account	account	NOUN
cblr-2931	806	58	is	be	AUX
cblr-2931	806	59	"	"	PUNCT
cblr-2931	806	60	very	very	ADV
cblr-2931	806	61	narrowprimarily	narrowprimarily	ADV
cblr-2931	806	62	not	not	PART
cblr-2931	806	63	to	to	PART
cblr-2931	806	64	make	make	VERB
cblr-2931	806	65	unauthorized	unauthorized	ADJ
cblr-2931	806	66	trades	trade	NOUN
cblr-2931	806	67	.	.	PUNCT
cblr-2931	806	68	"	"	PUNCT
cblr-2931	806	69	)	)	PUNCT
cblr-2931	806	70	;	;	PUNCT
cblr-2931	806	71	cf	cf	X
cblr-2931	806	72	.	.	PUNCT
cblr-2931	806	73	kwiatkowski	kwiatkowski	PROPN
cblr-2931	806	74	v.	v.	ADP
cblr-2931	806	75	bear	bear	PROPN
cblr-2931	806	76	,	,	PUNCT
cblr-2931	806	77	stearns	stearns	PROPN
cblr-2931	806	78	&	&	CCONJ
cblr-2931	806	79	co.	co.	PROPN
cblr-2931	806	80	,	,	PUNCT
cblr-2931	806	81	no	no	INTJ
cblr-2931	806	82	.	.	NOUN
cblr-2931	806	83	96	96	NUM
cblr-2931	806	84	civ	civ	NOUN
cblr-2931	806	85	.	.	PROPN
cblr-2931	806	86	4798	4798	NUM
cblr-2931	806	87	,	,	PUNCT
cblr-2931	806	88	1999	1999	NUM
cblr-2931	806	89	wl	wl	NOUN
cblr-2931	806	90	1277245	1277245	NUM
cblr-2931	806	91	,	,	PUNCT
cblr-2931	806	92	at	at	ADP
cblr-2931	806	93	*	*	NOUN
cblr-2931	806	94	9	9	NUM
cblr-2931	806	95	(	(	PUNCT
cblr-2931	806	96	s.d.n.y	s.d.n.y	PROPN
cblr-2931	806	97	.	.	PUNCT
cblr-2931	806	98	nov	nov	PROPN
cblr-2931	806	99	.	.	PROPN
cblr-2931	806	100	29	29	NUM
cblr-2931	806	101	,	,	PUNCT
cblr-2931	806	102	1999	1999	NUM
cblr-2931	806	103	)	)	PUNCT
cblr-2931	806	104	(	(	PUNCT
cblr-2931	806	105	holding	hold	VERB
cblr-2931	806	106	that	that	SCONJ
cblr-2931	806	107	a	a	DET
cblr-2931	806	108	broker	broker	NOUN
cblr-2931	806	109	's	's	PART
cblr-2931	806	110	fiduciary	fiduciary	ADJ
cblr-2931	806	111	duties	duty	NOUN
cblr-2931	806	112	are	be	AUX
cblr-2931	806	113	broader	broad	ADJ
cblr-2931	806	114	than	than	ADP
cblr-2931	806	115	merely	merely	ADV
cblr-2931	806	116	those	those	PRON
cblr-2931	806	117	related	relate	VERB
cblr-2931	806	118	to	to	ADP
cblr-2931	806	119	the	the	DET
cblr-2931	806	120	execution	execution	NOUN
cblr-2931	806	121	of	of	ADP
cblr-2931	806	122	a	a	DET
cblr-2931	806	123	transaction	transaction	NOUN
cblr-2931	806	124	)	)	PUNCT
cblr-2931	806	125	.	.	PUNCT
cblr-2931	807	1	161	161	NUM
cblr-2931	807	2	however	however	ADV
cblr-2931	807	3	,	,	PUNCT
cblr-2931	807	4	when	when	SCONJ
cblr-2931	807	5	the	the	DET
cblr-2931	807	6	transaction	transaction	NOUN
cblr-2931	807	7	is	be	AUX
cblr-2931	807	8	the	the	DET
cblr-2931	807	9	result	result	NOUN
cblr-2931	807	10	of	of	ADP
cblr-2931	807	11	a	a	DET
cblr-2931	807	12	broker	broker	NOUN
cblr-2931	807	13	-	-	PUNCT
cblr-2931	807	14	initiated	initiate	VERB
cblr-2931	807	15	recommendation	recommendation	NOUN
cblr-2931	807	16	,	,	PUNCT
cblr-2931	807	17	there	there	PRON
cblr-2931	807	18	are	be	VERB
cblr-2931	807	19	duties	duty	NOUN
cblr-2931	807	20	that	that	PRON
cblr-2931	807	21	attach	attach	VERB
cblr-2931	807	22	to	to	ADP
cblr-2931	807	23	the	the	DET
cblr-2931	807	24	making	making	NOUN
cblr-2931	807	25	of	of	ADP
cblr-2931	807	26	the	the	DET
cblr-2931	807	27	recommendation	recommendation	NOUN
cblr-2931	807	28	.	.	PUNCT
cblr-2931	808	1	see	see	VERB
cblr-2931	808	2	5	5	NUM
cblr-2931	808	3	hazen	hazen	PROPN
cblr-2931	808	4	,	,	PUNCT
cblr-2931	808	5	supra	supra	PROPN
cblr-2931	808	6	note	note	PROPN
cblr-2931	808	7	93	93	NUM
cblr-2931	808	8	,	,	PUNCT
cblr-2931	808	9	§	§	PROPN
cblr-2931	808	10	14.16	14.16	NUM
cblr-2931	808	11	.	.	PUNCT
cblr-2931	809	1	162	162	NUM
cblr-2931	809	2	see	see	VERB
cblr-2931	809	3	,	,	PUNCT
cblr-2931	809	4	e.g.	e.g.	ADV
cblr-2931	809	5	,	,	PUNCT
cblr-2931	809	6	bissell	bissell	PROPN
cblr-2931	809	7	v.	v.	ADP
cblr-2931	809	8	merrill	merrill	PROPN
cblr-2931	809	9	lynch	lynch	PROPN
cblr-2931	809	10	&	&	CCONJ
cblr-2931	809	11	co.	co.	PROPN
cblr-2931	809	12	,	,	PUNCT
cblr-2931	809	13	937	937	NUM
cblr-2931	809	14	f.	f.	PROPN
cblr-2931	809	15	supp	supp	PROPN
cblr-2931	809	16	.	.	PUNCT
cblr-2931	810	1	237	237	NUM
cblr-2931	810	2	,	,	PUNCT
cblr-2931	810	3	246	246	NUM
cblr-2931	810	4	(	(	PUNCT
cblr-2931	810	5	s.d.n.y	s.d.n.y	PROPN
cblr-2931	810	6	.	.	NOUN
cblr-2931	810	7	1996	1996	NUM
cblr-2931	810	8	)	)	PUNCT
cblr-2931	811	1	(	(	PUNCT
cblr-2931	811	2	holding	hold	VERB
cblr-2931	811	3	that	that	SCONJ
cblr-2931	811	4	the	the	DET
cblr-2931	811	5	duty	duty	NOUN
cblr-2931	811	6	is	be	AUX
cblr-2931	811	7	limited	limit	VERB
cblr-2931	811	8	to	to	ADP
cblr-2931	811	9	the	the	DET
cblr-2931	811	10	completion	completion	NOUN
cblr-2931	811	11	of	of	ADP
cblr-2931	811	12	the	the	DET
cblr-2931	811	13	transaction	transaction	NOUN
cblr-2931	811	14	)	)	PUNCT
cblr-2931	811	15	.	.	PUNCT
cblr-2931	812	1	163	163	NUM
cblr-2931	812	2	foresters	forester	NOUN
cblr-2931	812	3	,	,	PUNCT
cblr-2931	812	4	157	157	NUM
cblr-2931	812	5	f.3d	f.3d	NUM
cblr-2931	812	6	at	at	ADP
cblr-2931	812	7	940	940	NUM
cblr-2931	812	8	;	;	PUNCT
cblr-2931	812	9	kwiatkowski	kwiatkowski	PROPN
cblr-2931	812	10	,	,	PUNCT
cblr-2931	812	11	1999	1999	NUM
cblr-2931	812	12	wl	wl	NOUN
cblr-2931	812	13	1277245	1277245	NUM
cblr-2931	812	14	,	,	PUNCT
cblr-2931	812	15	at	at	ADP
cblr-2931	812	16	*	*	PROPN
cblr-2931	812	17	9	9	NUM
cblr-2931	812	18	;	;	PUNCT
cblr-2931	812	19	perl	perl	NOUN
cblr-2931	812	20	,	,	PUNCT
cblr-2931	812	21	646	646	NUM
cblr-2931	812	22	n.y.s.2d	n.y.s.2d	NUM
cblr-2931	812	23	at	at	ADP
cblr-2931	812	24	680	680	NUM
cblr-2931	812	25	.	.	PUNCT
cblr-2931	813	1	see	see	VERB
cblr-2931	813	2	rude	rude	ADJ
cblr-2931	813	3	v.	v.	ADP
cblr-2931	813	4	larson	larson	PROPN
cblr-2931	813	5	,	,	PUNCT
cblr-2931	813	6	207	207	NUM
cblr-2931	813	7	n.w.2d	n.w.2d	CCONJ
cblr-2931	813	8	709	709	NUM
cblr-2931	813	9	,	,	PUNCT
cblr-2931	813	10	711	711	NUM
cblr-2931	813	11	(	(	PUNCT
cblr-2931	813	12	minn	minn	PROPN
cblr-2931	813	13	.	.	PROPN
cblr-2931	813	14	1973	1973	NUM
cblr-2931	813	15	)	)	PUNCT
cblr-2931	813	16	(	(	PUNCT
cblr-2931	813	17	holding	hold	VERB
cblr-2931	813	18	that	that	PRON
cblr-2931	813	19	absent	absent	ADJ
cblr-2931	813	20	a	a	DET
cblr-2931	813	21	special	special	ADJ
cblr-2931	813	22	agreement	agreement	NOUN
cblr-2931	813	23	,	,	PUNCT
cblr-2931	813	24	a	a	PRON
cblr-2931	813	25	stock	stock	NOUN
cblr-2931	813	26	broker	broker	NOUN
cblr-2931	813	27	or	or	CCONJ
cblr-2931	813	28	brokerage	brokerage	NOUN
cblr-2931	813	29	house	house	NOUN
cblr-2931	813	30	owes	owe	VERB
cblr-2931	813	31	a	a	DET
cblr-2931	813	32	customer	customer	NOUN
cblr-2931	813	33	only	only	ADV
cblr-2931	813	34	the	the	DET
cblr-2931	813	35	duty	duty	NOUN
cblr-2931	813	36	to	to	PART
cblr-2931	813	37	exercise	exercise	VERB
cblr-2931	813	38	due	due	ADJ
cblr-2931	813	39	care	care	NOUN
cblr-2931	813	40	in	in	ADP
cblr-2931	813	41	executing	execute	VERB
cblr-2931	813	42	the	the	DET
cblr-2931	813	43	customer	customer	NOUN
cblr-2931	813	44	's	's	PART
cblr-2931	813	45	instructions	instruction	NOUN
cblr-2931	813	46	)	)	PUNCT
cblr-2931	813	47	;	;	PUNCT
cblr-2931	813	48	davis	davis	PROPN
cblr-2931	813	49	v.	v.	PROPN
cblr-2931	813	50	midwest	midwest	PROPN
cblr-2931	813	51	disc	disc	PROPN
cblr-2931	813	52	.	.	PUNCT
cblr-2931	814	1	sec	sec	PROPN
cblr-2931	814	2	.	.	PROPN
cblr-2931	814	3	,	,	PUNCT
cblr-2931	814	4	inc	inc	PROPN
cblr-2931	814	5	.	.	PROPN
cblr-2931	814	6	,	,	PUNCT
cblr-2931	814	7	439	439	NUM
cblr-2931	814	8	n.w.2d	n.w.2d	NOUN
cblr-2931	814	9	383	383	NUM
cblr-2931	814	10	,	,	PUNCT
cblr-2931	814	11	388	388	NUM
cblr-2931	814	12	(	(	PUNCT
cblr-2931	814	13	minn	minn	PROPN
cblr-2931	814	14	.	.	PUNCT
cblr-2931	815	1	ct	ct	PROPN
cblr-2931	815	2	.	.	PUNCT
cblr-2931	816	1	app	app	PROPN
cblr-2931	816	2	.	.	PROPN
cblr-2931	816	3	1989	1989	NUM
cblr-2931	816	4	)	)	PUNCT
cblr-2931	816	5	;	;	PUNCT
cblr-2931	816	6	puckett	puckett	PROPN
cblr-2931	816	7	v.	v.	ADP
cblr-2931	816	8	rufenacht	rufenacht	PROPN
cblr-2931	816	9	,	,	PUNCT
cblr-2931	816	10	bromagen	bromagen	PROPN
cblr-2931	816	11	&	&	CCONJ
cblr-2931	816	12	hertz	hertz	PROPN
cblr-2931	816	13	,	,	PUNCT
cblr-2931	816	14	inc	inc	PROPN
cblr-2931	816	15	.	.	PROPN
cblr-2931	816	16	,	,	PUNCT
cblr-2931	816	17	587	587	NUM
cblr-2931	816	18	so.2d	so.2d	NOUN
cblr-2931	816	19	273	273	NUM
cblr-2931	816	20	,	,	PUNCT
cblr-2931	816	21	279	279	NUM
cblr-2931	816	22	(	(	PUNCT
cblr-2931	816	23	miss	miss	PROPN
cblr-2931	816	24	.	.	PROPN
cblr-2931	816	25	1991	1991	NUM
cblr-2931	816	26	)	)	PUNCT
cblr-2931	816	27	(	(	PUNCT
cblr-2931	816	28	"	"	PUNCT
cblr-2931	816	29	a	a	DET
cblr-2931	816	30	commodities	commodity	NOUN
cblr-2931	816	31	broker	broker	NOUN
cblr-2931	816	32	in	in	ADP
cblr-2931	816	33	a	a	DET
cblr-2931	816	34	non	non	ADJ
cblr-2931	816	35	-	-	ADJ
cblr-2931	816	36	discretionary	discretionary	ADJ
cblr-2931	816	37	account	account	NOUN
cblr-2931	816	38	only	only	ADV
cblr-2931	816	39	owes	owe	VERB
cblr-2931	816	40	his	his	PRON
cblr-2931	816	41	customer	customer	NOUN
cblr-2931	816	42	the	the	DET
cblr-2931	816	43	duty	duty	NOUN
cblr-2931	816	44	to	to	PART
cblr-2931	816	45	properly	properly	ADV
cblr-2931	816	46	execute	execute	VERB
cblr-2931	816	47	trades	trade	NOUN
cblr-2931	816	48	as	as	SCONJ
cblr-2931	816	49	directed	direct	VERB
cblr-2931	816	50	by	by	ADP
cblr-2931	816	51	him	he	PRON
cblr-2931	816	52	,	,	PUNCT
cblr-2931	816	53	and	and	CCONJ
cblr-2931	816	54	has	have	VERB
cblr-2931	816	55	no	no	DET
cblr-2931	816	56	further	further	ADJ
cblr-2931	816	57	duty	duty	NOUN
cblr-2931	816	58	to	to	PART
cblr-2931	816	59	call	call	VERB
cblr-2931	816	60	upon	upon	SCONJ
cblr-2931	816	61	his	his	PRON
cblr-2931	816	62	own	own	ADJ
cblr-2931	816	63	professional	professional	ADJ
cblr-2931	816	64	skill	skill	NOUN
cblr-2931	816	65	and	and	CCONJ
cblr-2931	816	66	prudence	prudence	NOUN
cblr-2931	816	67	as	as	ADP
cblr-2931	816	68	to	to	ADP
cblr-2931	816	69	the	the	DET
cblr-2931	816	70	wisdom	wisdom	NOUN
cblr-2931	816	71	of	of	ADP
cblr-2931	816	72	any	any	PRON
cblr-2931	816	73	of	of	ADP
cblr-2931	816	74	his	his	PRON
cblr-2931	816	75	customer	customer	NOUN
cblr-2931	816	76	's	's	PART
cblr-2931	816	77	trades	trade	NOUN
cblr-2931	816	78	.	.	PUNCT
cblr-2931	817	1	"	"	PUNCT
cblr-2931	817	2	)	)	PUNCT
cblr-2931	817	3	;	;	PUNCT
cblr-2931	818	1	vogel	vogel	PROPN
cblr-2931	818	2	v.	v.	PROPN
cblr-2931	818	3	a.g	a.g	PROPN
cblr-2931	818	4	.	.	PROPN
cblr-2931	818	5	edwards	edwards	PROPN
cblr-2931	818	6	&	&	CCONJ
cblr-2931	818	7	sons	sons	PROPN
cblr-2931	818	8	,	,	PUNCT
cblr-2931	818	9	inc	inc	PROPN
cblr-2931	818	10	.	.	PROPN
cblr-2931	818	11	,	,	PUNCT
cblr-2931	818	12	801	801	NUM
cblr-2931	818	13	s.w.2d	s.w.2d	NOUN
cblr-2931	818	14	746	746	NUM
cblr-2931	818	15	,	,	PUNCT
cblr-2931	818	16	751	751	NUM
cblr-2931	818	17	-	-	SYM
cblr-2931	818	18	52	52	NUM
cblr-2931	818	19	(	(	PUNCT
cblr-2931	818	20	mo	mo	PROPN
cblr-2931	818	21	.	.	PROPN
cblr-2931	819	1	ct	ct	PROPN
cblr-2931	819	2	.	.	PUNCT
cblr-2931	820	1	app	app	PROPN
cblr-2931	820	2	.	.	PROPN
cblr-2931	820	3	1990	1990	NUM
cblr-2931	820	4	)	)	PUNCT
cblr-2931	820	5	;	;	PUNCT
cblr-2931	820	6	merrill	merrill	PROPN
cblr-2931	820	7	lynch	lynch	PROPN
cblr-2931	820	8	,	,	PUNCT
cblr-2931	820	9	pierce	pierce	PROPN
cblr-2931	820	10	,	,	PUNCT
cblr-2931	820	11	fenner	fenner	PROPN
cblr-2931	820	12	&	&	CCONJ
cblr-2931	820	13	smith	smith	PROPN
cblr-2931	820	14	v.	v.	PROPN
cblr-2931	820	15	perelle	perelle	PROPN
cblr-2931	820	16	,	,	PUNCT
cblr-2931	820	17	514	514	NUM
cblr-2931	820	18	a.2d	a.2d	NUM
cblr-2931	820	19	552	552	NUM
cblr-2931	820	20	,	,	PUNCT
cblr-2931	820	21	561	561	NUM
cblr-2931	820	22	747	747	NUM
cblr-2931	820	23	however	however	ADV
cblr-2931	820	24	,	,	PUNCT
cblr-2931	820	25	the	the	DET
cblr-2931	820	26	absence	absence	NOUN
cblr-2931	820	27	of	of	ADP
cblr-2931	820	28	a	a	DET
cblr-2931	820	29	discretionary	discretionary	ADJ
cblr-2931	820	30	account	account	NOUN
cblr-2931	820	31	is	be	AUX
cblr-2931	820	32	not	not	PART
cblr-2931	820	33	conclusive	conclusive	ADJ
cblr-2931	820	34	in	in	ADP
cblr-2931	820	35	all	all	DET
cblr-2931	820	36	cases	case	NOUN
cblr-2931	820	37	;	;	PUNCT
cblr-2931	820	38	what	what	PRON
cblr-2931	820	39	also	also	ADV
cblr-2931	820	40	matters	matter	VERB
cblr-2931	820	41	is	be	AUX
cblr-2931	820	42	the	the	DET
cblr-2931	820	43	degree	degree	NOUN
cblr-2931	820	44	of	of	ADP
cblr-2931	820	45	trust	trust	NOUN
cblr-2931	820	46	and	and	CCONJ
cblr-2931	820	47	confidence	confidence	NOUN
cblr-2931	820	48	that	that	SCONJ
cblr-2931	820	49	the	the	DET
cblr-2931	820	50	broker	broker	NOUN
cblr-2931	820	51	cultivates	cultivate	VERB
cblr-2931	820	52	in	in	ADP
cblr-2931	820	53	the	the	DET
cblr-2931	820	54	customer.16	customer.16	PROPN
cblr-2931	820	55	5	5	NUM
cblr-2931	820	56	a	a	DET
cblr-2931	820	57	securities	security	NOUN
cblr-2931	820	58	broker	broker	NOUN
cblr-2931	820	59	has	have	VERB
cblr-2931	820	60	a	a	DET
cblr-2931	820	61	duty	duty	NOUN
cblr-2931	820	62	to	to	ADP
cblr-2931	820	63	the	the	DET
cblr-2931	820	64	customer	customer	NOUN
cblr-2931	820	65	with	with	ADP
cblr-2931	820	66	respect	respect	NOUN
cblr-2931	820	67	to	to	ADP
cblr-2931	820	68	the	the	DET
cblr-2931	820	69	functions	function	NOUN
cblr-2931	820	70	that	that	PRON
cblr-2931	820	71	have	have	AUX
cblr-2931	820	72	been	be	AUX
cblr-2931	820	73	entrusted	entrust	VERB
cblr-2931	820	74	to	to	ADP
cblr-2931	820	75	the	the	DET
cblr-2931	820	76	broker	broker	NOUN
cblr-2931	820	77	.	.	PUNCT
cblr-2931	821	1	6	6	NUM
cblr-2931	821	2	6	6	NUM
cblr-2931	821	3	for	for	ADP
cblr-2931	821	4	example	example	NOUN
cblr-2931	821	5	,	,	PUNCT
cblr-2931	821	6	duties	duty	NOUN
cblr-2931	821	7	associated	associate	VERB
cblr-2931	821	8	with	with	ADP
cblr-2931	821	9	a	a	DET
cblr-2931	821	10	nondiscretionary	nondiscretionary	ADJ
cblr-2931	821	11	account	account	NOUN
cblr-2931	821	12	include	include	VERB
cblr-2931	821	13	:	:	PUNCT
cblr-2931	821	14	(	(	PUNCT
cblr-2931	821	15	1	1	X
cblr-2931	821	16	)	)	PUNCT
cblr-2931	821	17	the	the	DET
cblr-2931	821	18	duty	duty	NOUN
cblr-2931	821	19	to	to	PART
cblr-2931	821	20	recommend	recommend	VERB
cblr-2931	821	21	a	a	DET
cblr-2931	821	22	stock	stock	NOUN
cblr-2931	821	23	only	only	ADV
cblr-2931	821	24	after	after	ADP
cblr-2931	821	25	studying	study	VERB
cblr-2931	821	26	it	it	PRON
cblr-2931	821	27	sufficiently	sufficiently	ADV
cblr-2931	821	28	to	to	PART
cblr-2931	821	29	become	become	VERB
cblr-2931	821	30	informed	informed	ADJ
cblr-2931	821	31	as	as	ADP
cblr-2931	821	32	to	to	ADP
cblr-2931	821	33	its	its	PRON
cblr-2931	821	34	nature	nature	NOUN
cblr-2931	821	35	,	,	PUNCT
cblr-2931	821	36	price	price	NOUN
cblr-2931	821	37	,	,	PUNCT
cblr-2931	821	38	and	and	CCONJ
cblr-2931	821	39	financial	financial	ADJ
cblr-2931	821	40	prognosis	prognosis	NOUN
cblr-2931	821	41	;	;	PUNCT
cblr-2931	821	42	(	(	PUNCT
cblr-2931	821	43	2	2	X
cblr-2931	821	44	)	)	PUNCT
cblr-2931	821	45	the	the	DET
cblr-2931	821	46	duty	duty	NOUN
cblr-2931	821	47	to	to	PART
cblr-2931	821	48	carry	carry	VERB
cblr-2931	821	49	out	out	ADP
cblr-2931	821	50	the	the	DET
cblr-2931	821	51	customer	customer	NOUN
cblr-2931	821	52	's	's	PART
cblr-2931	821	53	orders	order	NOUN
cblr-2931	821	54	promptly	promptly	ADV
cblr-2931	821	55	in	in	ADP
cblr-2931	821	56	a	a	DET
cblr-2931	821	57	manner	manner	NOUN
cblr-2931	821	58	best	well	ADV
cblr-2931	821	59	suited	suit	VERB
cblr-2931	821	60	to	to	PART
cblr-2931	821	61	serve	serve	VERB
cblr-2931	821	62	the	the	DET
cblr-2931	821	63	customer	customer	NOUN
cblr-2931	821	64	's	's	PART
cblr-2931	821	65	interests	interest	NOUN
cblr-2931	821	66	;	;	PUNCT
cblr-2931	821	67	(	(	PUNCT
cblr-2931	821	68	3	3	X
cblr-2931	821	69	)	)	PUNCT
cblr-2931	821	70	the	the	DET
cblr-2931	821	71	duty	duty	NOUN
cblr-2931	821	72	to	to	PART
cblr-2931	821	73	inform	inform	VERB
cblr-2931	821	74	the	the	DET
cblr-2931	821	75	customer	customer	NOUN
cblr-2931	821	76	of	of	ADP
cblr-2931	821	77	the	the	DET
cblr-2931	821	78	risks	risk	NOUN
cblr-2931	821	79	involved	involve	VERB
cblr-2931	821	80	in	in	ADP
cblr-2931	821	81	purchasing	purchase	VERB
cblr-2931	821	82	or	or	CCONJ
cblr-2931	821	83	selling	sell	VERB
cblr-2931	821	84	a	a	DET
cblr-2931	821	85	particular	particular	ADJ
cblr-2931	821	86	security	security	NOUN
cblr-2931	821	87	;	;	PUNCT
cblr-2931	821	88	(	(	PUNCT
cblr-2931	821	89	4	4	X
cblr-2931	821	90	)	)	PUNCT
cblr-2931	821	91	the	the	DET
cblr-2931	821	92	duty	duty	NOUN
cblr-2931	821	93	to	to	PART
cblr-2931	821	94	refrain	refrain	VERB
cblr-2931	821	95	from	from	ADP
cblr-2931	821	96	selfdealing	selfdeale	VERB
cblr-2931	821	97	or	or	CCONJ
cblr-2931	821	98	refusing	refuse	VERB
cblr-2931	821	99	to	to	PART
cblr-2931	821	100	disclose	disclose	VERB
cblr-2931	821	101	any	any	DET
cblr-2931	821	102	personal	personal	ADJ
cblr-2931	821	103	interest	interest	NOUN
cblr-2931	821	104	the	the	DET
cblr-2931	821	105	broker	broker	NOUN
cblr-2931	821	106	may	may	AUX
cblr-2931	821	107	have	have	VERB
cblr-2931	821	108	in	in	ADP
cblr-2931	821	109	a	a	DET
cblr-2931	821	110	particular	particular	ADJ
cblr-2931	821	111	recommended	recommend	VERB
cblr-2931	821	112	security	security	NOUN
cblr-2931	821	113	;	;	PUNCT
cblr-2931	821	114	(	(	PUNCT
cblr-2931	821	115	5	5	X
cblr-2931	821	116	)	)	PUNCT
cblr-2931	821	117	the	the	DET
cblr-2931	821	118	duty	duty	NOUN
cblr-2931	821	119	not	not	PART
cblr-2931	821	120	to	to	PART
cblr-2931	821	121	misrepresent	misrepresent	VERB
cblr-2931	821	122	any	any	DET
cblr-2931	821	123	fact	fact	NOUN
cblr-2931	821	124	material	material	NOUN
cblr-2931	821	125	to	to	ADP
cblr-2931	821	126	the	the	DET
cblr-2931	821	127	transaction	transaction	NOUN
cblr-2931	821	128	;	;	PUNCT
cblr-2931	821	129	and	and	CCONJ
cblr-2931	821	130	(	(	PUNCT
cblr-2931	821	131	6	6	X
cblr-2931	821	132	)	)	PUNCT
cblr-2931	821	133	the	the	DET
cblr-2931	821	134	duty	duty	NOUN
cblr-2931	821	135	to	to	PART
cblr-2931	821	136	transact	transact	VERB
cblr-2931	821	137	business	business	NOUN
cblr-2931	821	138	only	only	ADV
cblr-2931	821	139	after	after	ADP
cblr-2931	821	140	receiving	receive	VERB
cblr-2931	821	141	prior	prior	ADJ
cblr-2931	821	142	authorization	authorization	NOUN
cblr-2931	821	143	from	from	ADP
cblr-2931	821	144	the	the	DET
cblr-2931	821	145	customer	customer	NOUN
cblr-2931	821	146	.	.	PUNCT
cblr-2931	822	1	'6	'6	PROPN
cblr-2931	822	2	(	(	PUNCT
cblr-2931	822	3	pa	pa	PROPN
cblr-2931	822	4	.	.	PROPN
cblr-2931	822	5	super	super	PROPN
cblr-2931	822	6	.	.	PUNCT
cblr-2931	823	1	ct	ct	PROPN
cblr-2931	823	2	.	.	PROPN
cblr-2931	823	3	1986	1986	NUM
cblr-2931	823	4	)	)	PUNCT
cblr-2931	824	1	;	;	PUNCT
cblr-2931	824	2	edward	edward	PROPN
cblr-2931	824	3	d.	d.	PROPN
cblr-2931	824	4	jones	jones	PROPN
cblr-2931	824	5	&	&	CCONJ
cblr-2931	824	6	co.	co.	PROPN
cblr-2931	824	7	v.	v.	ADP
cblr-2931	824	8	fletcher	fletcher	PROPN
cblr-2931	824	9	,	,	PUNCT
cblr-2931	824	10	975	975	NUM
cblr-2931	824	11	s.w.2d	s.w.2d	NUM
cblr-2931	824	12	539	539	NUM
cblr-2931	824	13	,	,	PUNCT
cblr-2931	824	14	544	544	NUM
cblr-2931	824	15	(	(	PUNCT
cblr-2931	824	16	tex	tex	PROPN
cblr-2931	824	17	.	.	PROPN
cblr-2931	824	18	1998	1998	NUM
cblr-2931	824	19	)	)	PUNCT
cblr-2931	824	20	(	(	PUNCT
cblr-2931	824	21	'	'	PUNCT
cblr-2931	824	22	[	[	X
cblr-2931	824	23	a	a	X
cblr-2931	824	24	]	]	X
cblr-2931	824	25	stockbroker	stockbroker	NOUN
cblr-2931	824	26	's	's	PART
cblr-2931	824	27	only	only	ADJ
cblr-2931	824	28	duty	duty	NOUN
cblr-2931	824	29	to	to	ADP
cblr-2931	824	30	a	a	DET
cblr-2931	824	31	client	client	NOUN
cblr-2931	824	32	with	with	ADP
cblr-2931	824	33	a	a	DET
cblr-2931	824	34	nondiscretionary	nondiscretionary	ADJ
cblr-2931	824	35	account	account	NOUN
cblr-2931	824	36	is	be	AUX
cblr-2931	824	37	to	to	PART
cblr-2931	824	38	faithfully	faithfully	ADV
cblr-2931	824	39	carry	carry	VERB
cblr-2931	824	40	out	out	ADP
cblr-2931	824	41	the	the	DET
cblr-2931	824	42	client	client	NOUN
cblr-2931	824	43	's	's	PART
cblr-2931	824	44	instructions	instruction	NOUN
cblr-2931	824	45	.	.	PUNCT
cblr-2931	825	1	"	"	PUNCT
cblr-2931	825	2	)	)	PUNCT
cblr-2931	825	3	;	;	PUNCT
cblr-2931	825	4	hand	hand	NOUN
cblr-2931	825	5	v.	v.	ADP
cblr-2931	825	6	dean	dean	PROPN
cblr-2931	825	7	witter	witter	PROPN
cblr-2931	825	8	reynolds	reynolds	PROPN
cblr-2931	825	9	inc	inc	PROPN
cblr-2931	825	10	.	.	PROPN
cblr-2931	825	11	,	,	PUNCT
cblr-2931	825	12	889	889	NUM
cblr-2931	825	13	s.w.2d	s.w.2d	NUM
cblr-2931	825	14	483	483	NUM
cblr-2931	825	15	,	,	PUNCT
cblr-2931	825	16	493	493	NUM
cblr-2931	825	17	-	-	SYM
cblr-2931	825	18	94	94	NUM
cblr-2931	825	19	(	(	PUNCT
cblr-2931	825	20	tex	tex	PROPN
cblr-2931	825	21	.	.	PROPN
cblr-2931	825	22	app	app	PROPN
cblr-2931	825	23	.	.	PROPN
cblr-2931	825	24	1994	1994	NUM
cblr-2931	825	25	)	)	PUNCT
cblr-2931	825	26	(	(	PUNCT
cblr-2931	825	27	holding	hold	VERB
cblr-2931	825	28	that	that	PRON
cblr-2931	825	29	in	in	ADP
cblr-2931	825	30	a	a	DET
cblr-2931	825	31	non	non	ADJ
cblr-2931	825	32	-	-	ADJ
cblr-2931	825	33	discretionary	discretionary	ADJ
cblr-2931	825	34	account	account	NOUN
cblr-2931	825	35	the	the	DET
cblr-2931	825	36	duty	duty	NOUN
cblr-2931	825	37	of	of	ADP
cblr-2931	825	38	a	a	DET
cblr-2931	825	39	broker	broker	NOUN
cblr-2931	825	40	is	be	AUX
cblr-2931	825	41	limited	limit	VERB
cblr-2931	825	42	to	to	ADP
cblr-2931	825	43	carrying	carry	VERB
cblr-2931	825	44	out	out	ADP
cblr-2931	825	45	the	the	DET
cblr-2931	825	46	customer	customer	NOUN
cblr-2931	825	47	's	's	PART
cblr-2931	825	48	instructions	instruction	NOUN
cblr-2931	825	49	)	)	PUNCT
cblr-2931	825	50	;	;	PUNCT
cblr-2931	825	51	see	see	VERB
cblr-2931	825	52	also	also	ADV
cblr-2931	825	53	,	,	PUNCT
cblr-2931	825	54	e.g.	e.g.	ADV
cblr-2931	825	55	,	,	PUNCT
cblr-2931	825	56	gochnauer	gochnauer	PROPN
cblr-2931	825	57	v.	v.	PROPN
cblr-2931	825	58	a.g	a.g	PROPN
cblr-2931	825	59	.	.	PROPN
cblr-2931	825	60	edwards	edwards	PROPN
cblr-2931	825	61	&	&	CCONJ
cblr-2931	825	62	sons	sons	PROPN
cblr-2931	825	63	,	,	PUNCT
cblr-2931	825	64	inc	inc	PROPN
cblr-2931	825	65	.	.	PROPN
cblr-2931	825	66	,	,	PUNCT
cblr-2931	825	67	810	810	NUM
cblr-2931	825	68	f.2d	f.2d	ADP
cblr-2931	825	69	1042	1042	NUM
cblr-2931	825	70	,	,	PUNCT
cblr-2931	825	71	1049	1049	NUM
cblr-2931	825	72	(	(	PUNCT
cblr-2931	825	73	11th	11th	ADJ
cblr-2931	825	74	cir	cir	NOUN
cblr-2931	825	75	.	.	PUNCT
cblr-2931	825	76	1987	1987	NUM
cblr-2931	825	77	)	)	PUNCT
cblr-2931	825	78	;	;	PUNCT
cblr-2931	825	79	leib	leib	PROPN
cblr-2931	825	80	v.	v.	PROPN
cblr-2931	825	81	merrill	merrill	PROPN
cblr-2931	825	82	lynch	lynch	PROPN
cblr-2931	825	83	,	,	PUNCT
cblr-2931	825	84	pierce	pierce	PROPN
cblr-2931	825	85	,	,	PUNCT
cblr-2931	825	86	fenner	fenner	PROPN
cblr-2931	825	87	&	&	CCONJ
cblr-2931	825	88	smith	smith	PROPN
cblr-2931	825	89	,	,	PUNCT
cblr-2931	825	90	inc	inc	PROPN
cblr-2931	825	91	.	.	PROPN
cblr-2931	825	92	,	,	PUNCT
cblr-2931	825	93	461	461	NUM
cblr-2931	825	94	f.	f.	PROPN
cblr-2931	825	95	supp	supp	PROPN
cblr-2931	825	96	.	.	PUNCT
cblr-2931	826	1	951	951	NUM
cblr-2931	826	2	,	,	PUNCT
cblr-2931	826	3	952	952	NUM
cblr-2931	826	4	-	-	SYM
cblr-2931	826	5	53	53	NUM
cblr-2931	826	6	(	(	PUNCT
cblr-2931	826	7	e.d	e.d	PROPN
cblr-2931	826	8	.	.	PROPN
cblr-2931	826	9	mich	mich	PROPN
cblr-2931	826	10	.	.	PROPN
cblr-2931	827	1	1978	1978	NUM
cblr-2931	827	2	)	)	PUNCT
cblr-2931	827	3	,	,	PUNCT
cblr-2931	828	1	affd	affd	X
cblr-2931	828	2	,	,	PUNCT
cblr-2931	828	3	647	647	NUM
cblr-2931	828	4	f.2d	f.2d	NOUN
cblr-2931	828	5	165	165	NUM
cblr-2931	828	6	(	(	PUNCT
cblr-2931	828	7	6th	6th	ADJ
cblr-2931	828	8	cir	cir	NOUN
cblr-2931	828	9	.	.	PUNCT
cblr-2931	828	10	1981	1981	NUM
cblr-2931	828	11	)	)	PUNCT
cblr-2931	828	12	.	.	PUNCT
cblr-2931	829	1	1	1	NUM
cblr-2931	829	2	see	see	VERB
cblr-2931	829	3	,	,	PUNCT
cblr-2931	829	4	e.g.	e.g.	ADV
cblr-2931	829	5	,	,	PUNCT
cblr-2931	829	6	wallace	wallace	PROPN
cblr-2931	829	7	v.	v.	ADP
cblr-2931	829	8	hinkle	hinkle	PROPN
cblr-2931	829	9	nw	nw	PROPN
cblr-2931	829	10	.	.	PROPN
cblr-2931	829	11	,	,	PUNCT
cblr-2931	829	12	inc	inc	PROPN
cblr-2931	829	13	.	.	PROPN
cblr-2931	829	14	,	,	PUNCT
cblr-2931	829	15	717	717	NUM
cblr-2931	829	16	p.2d	p.2d	SYM
cblr-2931	829	17	1280	1280	NUM
cblr-2931	829	18	,	,	PUNCT
cblr-2931	829	19	1282	1282	NUM
cblr-2931	829	20	(	(	PUNCT
cblr-2931	829	21	or	or	CCONJ
cblr-2931	829	22	.	.	PUNCT
cblr-2931	830	1	ct	ct	PROPN
cblr-2931	830	2	.	.	PUNCT
cblr-2931	831	1	app	app	PROPN
cblr-2931	831	2	.	.	PROPN
cblr-2931	831	3	1986	1986	NUM
cblr-2931	831	4	)	)	PUNCT
cblr-2931	831	5	;	;	PUNCT
cblr-2931	831	6	see	see	VERB
cblr-2931	831	7	also	also	ADV
cblr-2931	831	8	,	,	PUNCT
cblr-2931	831	9	e.g.	e.g.	ADV
cblr-2931	831	10	,	,	PUNCT
cblr-2931	831	11	starkweather	starkweather	PROPN
cblr-2931	831	12	v.	v.	PROPN
cblr-2931	831	13	shaffer	shaffer	PROPN
cblr-2931	831	14	,	,	PUNCT
cblr-2931	831	15	497	497	NUM
cblr-2931	831	16	p.2d	p.2d	SYM
cblr-2931	831	17	358	358	NUM
cblr-2931	831	18	,	,	PUNCT
cblr-2931	831	19	361	361	NUM
cblr-2931	831	20	(	(	PUNCT
cblr-2931	831	21	or	or	CCONJ
cblr-2931	831	22	.	.	PUNCT
cblr-2931	831	23	1972	1972	NUM
cblr-2931	831	24	)	)	PUNCT
cblr-2931	831	25	(	(	PUNCT
cblr-2931	831	26	"	"	PUNCT
cblr-2931	831	27	a	a	DET
cblr-2931	831	28	fiduciary	fiduciary	ADJ
cblr-2931	831	29	relationship	relationship	NOUN
cblr-2931	831	30	exists	exist	VERB
cblr-2931	831	31	in	in	ADP
cblr-2931	831	32	all	all	DET
cblr-2931	831	33	cases	case	NOUN
cblr-2931	831	34	where	where	SCONJ
cblr-2931	831	35	there	there	PRON
cblr-2931	831	36	has	have	AUX
cblr-2931	831	37	been	be	AUX
cblr-2931	831	38	a	a	DET
cblr-2931	831	39	special	special	ADJ
cblr-2931	831	40	confidence	confidence	NOUN
cblr-2931	831	41	reposed	repose	VERB
cblr-2931	831	42	in	in	ADP
cblr-2931	831	43	one	one	NUM
cblr-2931	831	44	who	who	PRON
cblr-2931	831	45	in	in	ADP
cblr-2931	831	46	equity	equity	NOUN
cblr-2931	831	47	and	and	CCONJ
cblr-2931	831	48	good	good	ADJ
cblr-2931	831	49	conscience	conscience	NOUN
cblr-2931	831	50	is	be	AUX
cblr-2931	831	51	bound	bind	VERB
cblr-2931	831	52	to	to	PART
cblr-2931	831	53	act	act	VERB
cblr-2931	831	54	in	in	ADP
cblr-2931	831	55	good	good	ADJ
cblr-2931	831	56	faith	faith	NOUN
cblr-2931	831	57	and	and	CCONJ
cblr-2931	831	58	with	with	ADP
cblr-2931	831	59	due	due	ADJ
cblr-2931	831	60	regard	regard	NOUN
cblr-2931	831	61	to	to	ADP
cblr-2931	831	62	the	the	DET
cblr-2931	831	63	interests	interest	NOUN
cblr-2931	831	64	of	of	ADP
cblr-2931	831	65	the	the	DET
cblr-2931	831	66	one	one	NOUN
cblr-2931	831	67	reposing	repose	VERB
cblr-2931	831	68	the	the	DET
cblr-2931	831	69	confidence	confidence	NOUN
cblr-2931	831	70	.	.	PUNCT
cblr-2931	832	1	"	"	PUNCT
cblr-2931	832	2	)	)	PUNCT
cblr-2931	832	3	.	.	PUNCT
cblr-2931	833	1	1	1	X
cblr-2931	833	2	"	"	PUNCT
cblr-2931	833	3	see	see	VERB
cblr-2931	833	4	,	,	PUNCT
cblr-2931	833	5	e.g.	e.g.	ADV
cblr-2931	833	6	,	,	PUNCT
cblr-2931	833	7	foresters	forester	NOUN
cblr-2931	833	8	,	,	PUNCT
cblr-2931	833	9	157	157	NUM
cblr-2931	833	10	f.3d	f.3d	NUM
cblr-2931	833	11	at	at	ADP
cblr-2931	833	12	940	940	NUM
cblr-2931	833	13	;	;	PUNCT
cblr-2931	833	14	kwiatkowski	kwiatkowski	PROPN
cblr-2931	833	15	,	,	PUNCT
cblr-2931	833	16	1999	1999	NUM
cblr-2931	833	17	wl	wl	NOUN
cblr-2931	833	18	1277245	1277245	NUM
cblr-2931	833	19	,	,	PUNCT
cblr-2931	833	20	at	at	ADP
cblr-2931	833	21	*	*	PROPN
cblr-2931	833	22	7	7	NUM
cblr-2931	833	23	-	-	SYM
cblr-2931	833	24	8	8	NUM
cblr-2931	833	25	;	;	PUNCT
cblr-2931	833	26	rush	rush	NOUN
cblr-2931	833	27	v.	v.	PROPN
cblr-2931	833	28	oppenheimer	oppenheimer	PROPN
cblr-2931	833	29	&	&	CCONJ
cblr-2931	833	30	co.	co.	PROPN
cblr-2931	833	31	,	,	PUNCT
cblr-2931	833	32	681	681	NUM
cblr-2931	833	33	f.	f.	PROPN
cblr-2931	833	34	supp	supp	PROPN
cblr-2931	833	35	.	.	PUNCT
cblr-2931	834	1	1045	1045	NUM
cblr-2931	834	2	,	,	PUNCT
cblr-2931	834	3	1055	1055	NUM
cblr-2931	834	4	(	(	PUNCT
cblr-2931	834	5	s.d.n.y	s.d.n.y	PROPN
cblr-2931	834	6	.	.	NOUN
cblr-2931	834	7	1988	1988	NUM
cblr-2931	834	8	)	)	PUNCT
cblr-2931	834	9	.	.	PUNCT
cblr-2931	835	1	167	167	NUM
cblr-2931	835	2	leib	leib	PROPN
cblr-2931	835	3	,	,	PUNCT
cblr-2931	835	4	461	461	NUM
cblr-2931	835	5	f.	f.	PROPN
cblr-2931	835	6	supp	supp	PROPN
cblr-2931	835	7	.	.	PUNCT
cblr-2931	836	1	at	at	ADP
cblr-2931	836	2	953	953	NUM
cblr-2931	836	3	(	(	PUNCT
cblr-2931	836	4	citations	citation	NOUN
cblr-2931	836	5	omitted	omit	VERB
cblr-2931	836	6	)	)	PUNCT
cblr-2931	836	7	;	;	PUNCT
cblr-2931	836	8	beckstrom	beckstrom	ADP
cblr-2931	836	9	v.	v.	PROPN
cblr-2931	836	10	parnell	parnell	PROPN
cblr-2931	836	11	,	,	PUNCT
cblr-2931	836	12	730	730	NUM
cblr-2931	836	13	so.2d	so.2d	NOUN
cblr-2931	836	14	942	942	NUM
cblr-2931	836	15	,	,	PUNCT
cblr-2931	836	16	948	948	NUM
cblr-2931	836	17	-	-	SYM
cblr-2931	836	18	49	49	NUM
cblr-2931	836	19	(	(	PUNCT
cblr-2931	836	20	la	la	PROPN
cblr-2931	836	21	.	.	PUNCT
cblr-2931	836	22	ct	ct	PROPN
cblr-2931	836	23	.	.	PUNCT
cblr-2931	836	24	app	app	PROPN
cblr-2931	836	25	.	.	PROPN
cblr-2931	836	26	1998	1998	NUM
cblr-2931	836	27	)	)	PUNCT
cblr-2931	836	28	.	.	PUNCT
cblr-2931	837	1	748	748	NUM
cblr-2931	837	2	col	col	PROPN
cblr-2931	837	3	umbia	umbia	PROPN
cblr-2931	837	4	b	b	PROPN
cblr-2931	837	5	usiness	usiness	PROPN
cblr-2931	837	6	la	la	PROPN
cblr-2931	837	7	w	w	PROPN
cblr-2931	837	8	re	re	PROPN
cblr-2931	837	9	vie	vie	PROPN
cblr-2931	837	10	w	w	PROPN
cblr-2931	838	1	[	[	X
cblr-2931	838	2	vol	vol	NOUN
cblr-2931	838	3	.	.	PUNCT
cblr-2931	839	1	2010	2010	NUM
cblr-2931	839	2	no	no	NOUN
cblr-2931	839	3	.	.	PUNCT
cblr-2931	840	1	3:710	3:710	NUM
cblr-2931	840	2	]	]	PUNCT
cblr-2931	840	3	are	be	AUX
cblr-2931	840	4	existing	exist	VERB
cblr-2931	840	5	stock	stock	NOUN
cblr-2931	840	6	broker	broker	NOUN
cblr-2931	840	7	standards	standard	NOUN
cblr-2931	840	8	sufficient	sufficient	ADJ
cblr-2931	840	9	?	?	PUNCT
cblr-2931	841	1	some	some	DET
cblr-2931	841	2	courts	court	NOUN
cblr-2931	841	3	have	have	AUX
cblr-2931	841	4	indicated	indicate	VERB
cblr-2931	841	5	that	that	SCONJ
cblr-2931	841	6	a	a	DET
cblr-2931	841	7	stock	stock	NOUN
cblr-2931	841	8	broker	broker	NOUN
cblr-2931	841	9	is	be	AUX
cblr-2931	841	10	a	a	DET
cblr-2931	841	11	fiduciary	fiduciary	NOUN
cblr-2931	841	12	to	to	ADP
cblr-2931	841	13	the	the	DET
cblr-2931	841	14	extent	extent	NOUN
cblr-2931	841	15	that	that	SCONJ
cblr-2931	841	16	he	he	PRON
cblr-2931	841	17	or	or	CCONJ
cblr-2931	841	18	she	she	PRON
cblr-2931	841	19	owes	owe	VERB
cblr-2931	841	20	the	the	DET
cblr-2931	841	21	customer	customer	NOUN
cblr-2931	842	1	the	the	DET
cblr-2931	842	2	utmost	utmost	ADJ
cblr-2931	842	3	good	good	ADJ
cblr-2931	842	4	faith.16	faith.16	PROPN
cblr-2931	842	5	d.	d.	PROPN
cblr-2931	842	6	the	the	DET
cblr-2931	842	7	shingle	shingle	PROPN
cblr-2931	842	8	theory	theory	NOUN
cblr-2931	842	9	as	as	SCONJ
cblr-2931	842	10	discussed	discuss	VERB
cblr-2931	842	11	below	below	ADV
cblr-2931	842	12	,	,	PUNCT
cblr-2931	842	13	courts	court	NOUN
cblr-2931	842	14	and	and	CCONJ
cblr-2931	842	15	regulators	regulator	NOUN
cblr-2931	842	16	have	have	AUX
cblr-2931	842	17	often	often	ADV
cblr-2931	842	18	referred	refer	VERB
cblr-2931	842	19	to	to	ADP
cblr-2931	842	20	the	the	DET
cblr-2931	842	21	"	"	PUNCT
cblr-2931	842	22	shingle	shingle	NOUN
cblr-2931	842	23	theory	theory	NOUN
cblr-2931	842	24	"	"	PUNCT
cblr-2931	842	25	in	in	ADP
cblr-2931	842	26	talking	talk	VERB
cblr-2931	842	27	about	about	ADP
cblr-2931	842	28	securities	security	NOUN
cblr-2931	842	29	broker	broker	NOUN
cblr-2931	842	30	-	-	PUNCT
cblr-2931	842	31	dealers	dealer	NOUN
cblr-2931	842	32	when	when	SCONJ
cblr-2931	842	33	they	they	PRON
cblr-2931	842	34	make	make	VERB
cblr-2931	842	35	recommendations	recommendation	NOUN
cblr-2931	842	36	or	or	CCONJ
cblr-2931	842	37	otherwise	otherwise	ADV
cblr-2931	842	38	hold	hold	VERB
cblr-2931	842	39	themselves	themselves	PRON
cblr-2931	842	40	out	out	ADP
cblr-2931	842	41	as	as	ADP
cblr-2931	842	42	having	have	VERB
cblr-2931	842	43	a	a	DET
cblr-2931	842	44	degree	degree	NOUN
cblr-2931	842	45	of	of	ADP
cblr-2931	842	46	expertise	expertise	NOUN
cblr-2931	842	47	.	.	PUNCT
cblr-2931	843	1	sometimes	sometimes	ADV
cblr-2931	843	2	discussion	discussion	NOUN
cblr-2931	843	3	of	of	ADP
cblr-2931	843	4	the	the	DET
cblr-2931	843	5	shingle	shingle	NOUN
cblr-2931	843	6	theory	theory	NOUN
cblr-2931	843	7	is	be	AUX
cblr-2931	843	8	combined	combine	VERB
cblr-2931	843	9	with	with	ADP
cblr-2931	843	10	references	reference	NOUN
cblr-2931	843	11	to	to	ADP
cblr-2931	843	12	fiduciary	fiduciary	ADJ
cblr-2931	843	13	obligations	obligation	NOUN
cblr-2931	843	14	.	.	PUNCT
cblr-2931	844	1	regardless	regardless	ADV
cblr-2931	844	2	of	of	ADP
cblr-2931	844	3	whether	whether	SCONJ
cblr-2931	844	4	it	it	PRON
cblr-2931	844	5	is	be	AUX
cblr-2931	844	6	discussed	discuss	VERB
cblr-2931	844	7	explicitly	explicitly	ADV
cblr-2931	844	8	in	in	ADP
cblr-2931	844	9	fiduciary	fiduciary	ADJ
cblr-2931	844	10	terms	term	NOUN
cblr-2931	844	11	,	,	PUNCT
cblr-2931	844	12	the	the	DET
cblr-2931	844	13	shingle	shingle	NOUN
cblr-2931	844	14	theory	theory	NOUN
cblr-2931	844	15	addresses	address	VERB
cblr-2931	844	16	the	the	DET
cblr-2931	844	17	same	same	ADJ
cblr-2931	844	18	issue	issue	NOUN
cblr-2931	844	19	:	:	PUNCT
cblr-2931	844	20	instances	instance	NOUN
cblr-2931	844	21	in	in	ADP
cblr-2931	844	22	which	which	PRON
cblr-2931	844	23	broker	broker	NOUN
cblr-2931	844	24	-	-	PUNCT
cblr-2931	844	25	dealers	dealer	NOUN
cblr-2931	844	26	are	be	AUX
cblr-2931	844	27	held	hold	VERB
cblr-2931	844	28	to	to	ADP
cblr-2931	844	29	higher	high	ADJ
cblr-2931	844	30	standards	standard	NOUN
cblr-2931	844	31	of	of	ADP
cblr-2931	844	32	conduct	conduct	NOUN
cblr-2931	844	33	than	than	SCONJ
cblr-2931	844	34	might	might	AUX
cblr-2931	844	35	otherwise	otherwise	ADV
cblr-2931	844	36	apply	apply	VERB
cblr-2931	844	37	in	in	ADP
cblr-2931	844	38	a	a	DET
cblr-2931	844	39	market	market	NOUN
cblr-2931	844	40	or	or	CCONJ
cblr-2931	844	41	arm's	arm'	NOUN
cblr-2931	844	42	-	-	PUNCT
cblr-2931	844	43	length	length	NOUN
cblr-2931	844	44	situation	situation	NOUN
cblr-2931	844	45	.	.	PUNCT
cblr-2931	845	1	simply	simply	ADV
cblr-2931	845	2	put	put	VERB
cblr-2931	845	3	,	,	PUNCT
cblr-2931	845	4	the	the	DET
cblr-2931	845	5	"	"	PUNCT
cblr-2931	845	6	shingle	shingle	NOUN
cblr-2931	845	7	theory	theory	NOUN
cblr-2931	845	8	"	"	PUNCT
cblr-2931	845	9	holds	hold	VERB
cblr-2931	845	10	that	that	SCONJ
cblr-2931	845	11	by	by	ADP
cblr-2931	845	12	hanging	hang	VERB
cblr-2931	845	13	up	up	ADP
cblr-2931	845	14	a	a	DET
cblr-2931	845	15	shingle	shingle	NOUN
cblr-2931	845	16	,	,	PUNCT
cblr-2931	845	17	the	the	DET
cblr-2931	845	18	broker	broker	NOUN
cblr-2931	845	19	implicitly	implicitly	ADV
cblr-2931	845	20	represents	represent	VERB
cblr-2931	845	21	that	that	SCONJ
cblr-2931	845	22	he	he	PRON
cblr-2931	845	23	or	or	CCONJ
cblr-2931	845	24	she	she	PRON
cblr-2931	845	25	will	will	AUX
cblr-2931	845	26	conduct	conduct	VERB
cblr-2931	845	27	business	business	NOUN
cblr-2931	845	28	in	in	ADP
cblr-2931	845	29	an	an	DET
cblr-2931	845	30	equitable	equitable	ADJ
cblr-2931	845	31	and	and	CCONJ
cblr-2931	845	32	professional	professional	ADJ
cblr-2931	845	33	manner.169	manner.169	PROPN
cblr-2931	845	34	"	"	PUNCT
cblr-2931	845	35	e.g.	e.g.	ADV
cblr-2931	845	36	,	,	PUNCT
cblr-2931	845	37	minor	minor	ADJ
cblr-2931	845	38	v.	v.	ADP
cblr-2931	845	39	e.f	e.f	PROPN
cblr-2931	845	40	.	.	PROPN
cblr-2931	845	41	hutton	hutton	PROPN
cblr-2931	845	42	&	&	CCONJ
cblr-2931	845	43	co.	co.	PROPN
cblr-2931	845	44	,	,	PUNCT
cblr-2931	845	45	409	409	NUM
cblr-2931	845	46	s.e.2d	s.e.2d	NUM
cblr-2931	845	47	262	262	NUM
cblr-2931	845	48	,	,	PUNCT
cblr-2931	845	49	264	264	NUM
cblr-2931	845	50	(	(	PUNCT
cblr-2931	845	51	ga	ga	PROPN
cblr-2931	845	52	.	.	PROPN
cblr-2931	846	1	ct	ct	PROPN
cblr-2931	846	2	.	.	PUNCT
cblr-2931	847	1	app	app	PROPN
cblr-2931	847	2	.	.	PROPN
cblr-2931	847	3	1991	1991	NUM
cblr-2931	847	4	)	)	PUNCT
cblr-2931	847	5	.	.	PUNCT
cblr-2931	848	1	many	many	ADJ
cblr-2931	848	2	courts	court	NOUN
cblr-2931	848	3	will	will	AUX
cblr-2931	848	4	look	look	VERB
cblr-2931	848	5	to	to	ADP
cblr-2931	848	6	all	all	PRON
cblr-2931	848	7	of	of	ADP
cblr-2931	848	8	the	the	DET
cblr-2931	848	9	factual	factual	ADJ
cblr-2931	848	10	circumstances	circumstance	NOUN
cblr-2931	848	11	surrounding	surround	VERB
cblr-2931	848	12	the	the	DET
cblr-2931	848	13	broker	broker	NOUN
cblr-2931	848	14	-	-	PUNCT
cblr-2931	848	15	customer	customer	NOUN
cblr-2931	848	16	relationship	relationship	NOUN
cblr-2931	848	17	at	at	ADP
cblr-2931	848	18	issue	issue	NOUN
cblr-2931	848	19	.	.	PUNCT
cblr-2931	849	1	see	see	VERB
cblr-2931	849	2	,	,	PUNCT
cblr-2931	849	3	e.g.	e.g.	ADV
cblr-2931	849	4	,	,	PUNCT
cblr-2931	849	5	williams	williams	PROPN
cblr-2931	849	6	v.	v.	PROPN
cblr-2931	849	7	edward	edward	PROPN
cblr-2931	849	8	d.	d.	PROPN
cblr-2931	849	9	jones	jones	PROPN
cblr-2931	849	10	&	&	CCONJ
cblr-2931	849	11	co.	co.	PROPN
cblr-2931	849	12	,	,	PUNCT
cblr-2931	849	13	556	556	NUM
cblr-2931	849	14	so.2d	so.2d	NOUN
cblr-2931	849	15	914	914	NUM
cblr-2931	849	16	,	,	PUNCT
cblr-2931	849	17	916	916	NUM
cblr-2931	849	18	(	(	PUNCT
cblr-2931	849	19	la	la	X
cblr-2931	849	20	.	.	PUNCT
cblr-2931	850	1	ct	ct	PROPN
cblr-2931	850	2	.	.	PUNCT
cblr-2931	851	1	app	app	PROPN
cblr-2931	851	2	.	.	PROPN
cblr-2931	851	3	1990	1990	NUM
cblr-2931	851	4	)	)	PUNCT
cblr-2931	851	5	(	(	PUNCT
cblr-2931	851	6	"	"	PUNCT
cblr-2931	851	7	in	in	ADP
cblr-2931	851	8	determining	determine	VERB
cblr-2931	851	9	the	the	DET
cblr-2931	851	10	liability	liability	NOUN
cblr-2931	851	11	of	of	ADP
cblr-2931	851	12	a	a	DET
cblr-2931	851	13	broker	broker	NOUN
cblr-2931	851	14	in	in	ADP
cblr-2931	851	15	a	a	DET
cblr-2931	851	16	bond	bond	NOUN
cblr-2931	851	17	transaction	transaction	NOUN
cblr-2931	851	18	,	,	PUNCT
cblr-2931	851	19	we	we	PRON
cblr-2931	851	20	must	must	AUX
cblr-2931	851	21	look	look	VERB
cblr-2931	851	22	to	to	ADP
cblr-2931	851	23	the	the	DET
cblr-2931	851	24	nature	nature	NOUN
cblr-2931	851	25	of	of	ADP
cblr-2931	851	26	the	the	DET
cblr-2931	851	27	transaction	transaction	NOUN
cblr-2931	851	28	and	and	CCONJ
cblr-2931	851	29	the	the	DET
cblr-2931	851	30	relationship	relationship	NOUN
cblr-2931	851	31	between	between	ADP
cblr-2931	851	32	the	the	DET
cblr-2931	851	33	broker	broker	NOUN
cblr-2931	851	34	and	and	CCONJ
cblr-2931	851	35	the	the	DET
cblr-2931	851	36	customer	customer	NOUN
cblr-2931	851	37	.	.	PUNCT
cblr-2931	852	1	"	"	PUNCT
cblr-2931	852	2	)	)	PUNCT
cblr-2931	852	3	;	;	PUNCT
cblr-2931	852	4	roberson	roberson	PROPN
cblr-2931	852	5	v.	v.	PROPN
cblr-2931	852	6	painewebber	painewebber	PROPN
cblr-2931	852	7	,	,	PUNCT
cblr-2931	852	8	inc	inc	PROPN
cblr-2931	852	9	.	.	PROPN
cblr-2931	852	10	,	,	PUNCT
cblr-2931	852	11	998	998	NUM
cblr-2931	852	12	p.2d	p.2d	SYM
cblr-2931	852	13	193	193	NUM
cblr-2931	852	14	,	,	PUNCT
cblr-2931	852	15	198	198	NUM
cblr-2931	852	16	-	-	SYM
cblr-2931	852	17	99	99	NUM
cblr-2931	852	18	(	(	PUNCT
cblr-2931	852	19	okla	okla	NOUN
cblr-2931	852	20	.	.	PUNCT
cblr-2931	853	1	civ	civ	PROPN
cblr-2931	853	2	.	.	PUNCT
cblr-2931	854	1	app	app	PROPN
cblr-2931	854	2	.	.	PROPN
cblr-2931	854	3	1999	1999	NUM
cblr-2931	854	4	)	)	PUNCT
cblr-2931	855	1	(	(	PUNCT
cblr-2931	855	2	finding	find	VERB
cblr-2931	855	3	that	that	SCONJ
cblr-2931	855	4	there	there	PRON
cblr-2931	855	5	is	be	VERB
cblr-2931	855	6	a	a	DET
cblr-2931	855	7	fiduciary	fiduciary	ADJ
cblr-2931	855	8	duty	duty	NOUN
cblr-2931	855	9	running	run	VERB
cblr-2931	855	10	from	from	ADP
cblr-2931	855	11	the	the	DET
cblr-2931	855	12	broker	broker	NOUN
cblr-2931	855	13	to	to	ADP
cblr-2931	855	14	the	the	DET
cblr-2931	855	15	customer	customer	NOUN
cblr-2931	855	16	but	but	CCONJ
cblr-2931	855	17	the	the	DET
cblr-2931	855	18	scope	scope	NOUN
cblr-2931	855	19	of	of	ADP
cblr-2931	855	20	that	that	DET
cblr-2931	855	21	duty	duty	NOUN
cblr-2931	855	22	depends	depend	VERB
cblr-2931	855	23	upon	upon	SCONJ
cblr-2931	855	24	the	the	DET
cblr-2931	855	25	nature	nature	NOUN
cblr-2931	855	26	of	of	ADP
cblr-2931	855	27	the	the	DET
cblr-2931	855	28	relationship	relationship	NOUN
cblr-2931	855	29	between	between	ADP
cblr-2931	855	30	the	the	DET
cblr-2931	855	31	broker	broker	NOUN
cblr-2931	855	32	and	and	CCONJ
cblr-2931	855	33	customer	customer	NOUN
cblr-2931	855	34	,	,	PUNCT
cblr-2931	855	35	and	and	CCONJ
cblr-2931	855	36	is	be	AUX
cblr-2931	855	37	to	to	PART
cblr-2931	855	38	be	be	AUX
cblr-2931	855	39	determined	determine	VERB
cblr-2931	855	40	on	on	ADP
cblr-2931	855	41	the	the	DET
cblr-2931	855	42	facts	fact	NOUN
cblr-2931	855	43	of	of	ADP
cblr-2931	855	44	each	each	DET
cblr-2931	855	45	case	case	NOUN
cblr-2931	855	46	)	)	PUNCT
cblr-2931	855	47	.	.	PUNCT
cblr-2931	856	1	169	169	NUM
cblr-2931	856	2	see	see	VERB
cblr-2931	856	3	,	,	PUNCT
cblr-2931	856	4	e.g.	e.g.	ADV
cblr-2931	856	5	,	,	PUNCT
cblr-2931	856	6	brennan	brennan	PROPN
cblr-2931	856	7	v.	v.	ADP
cblr-2931	856	8	midwestern	midwestern	ADJ
cblr-2931	856	9	united	united	PROPN
cblr-2931	856	10	life	life	PROPN
cblr-2931	856	11	ins	ins	PROPN
cblr-2931	856	12	.	.	PUNCT
cblr-2931	856	13	co.	co.	PROPN
cblr-2931	856	14	,	,	PUNCT
cblr-2931	856	15	286	286	NUM
cblr-2931	856	16	f.	f.	PROPN
cblr-2931	856	17	supp	supp	PROPN
cblr-2931	856	18	.	.	PUNCT
cblr-2931	857	1	702	702	NUM
cblr-2931	857	2	,	,	PUNCT
cblr-2931	857	3	707	707	NUM
cblr-2931	857	4	(	(	PUNCT
cblr-2931	857	5	n.d	n.d	PROPN
cblr-2931	857	6	.	.	PROPN
cblr-2931	857	7	ind	ind	PROPN
cblr-2931	857	8	.	.	PUNCT
cblr-2931	858	1	1968	1968	NUM
cblr-2931	858	2	)	)	PUNCT
cblr-2931	858	3	,	,	PUNCT
cblr-2931	858	4	(	(	PUNCT
cblr-2931	858	5	"	"	PUNCT
cblr-2931	858	6	it	it	PRON
cblr-2931	858	7	is	be	AUX
cblr-2931	858	8	now	now	ADV
cblr-2931	858	9	well	well	ADV
cblr-2931	858	10	established	establish	VERB
cblr-2931	858	11	that	that	SCONJ
cblr-2931	858	12	a	a	DET
cblr-2931	858	13	securities	security	NOUN
cblr-2931	858	14	dealer	dealer	NOUN
cblr-2931	858	15	who	who	PRON
cblr-2931	858	16	does	do	VERB
cblr-2931	858	17	business	business	NOUN
cblr-2931	858	18	with	with	ADP
cblr-2931	858	19	the	the	DET
cblr-2931	858	20	public	public	NOUN
cblr-2931	858	21	,	,	PUNCT
cblr-2931	858	22	even	even	ADV
cblr-2931	858	23	at	at	ADP
cblr-2931	858	24	arm	arm	NOUN
cblr-2931	858	25	's	's	PART
cblr-2931	858	26	length	length	NOUN
cblr-2931	858	27	,	,	PUNCT
cblr-2931	858	28	impliedly	impliedly	ADV
cblr-2931	858	29	represents	represent	VERB
cblr-2931	858	30	that	that	SCONJ
cblr-2931	858	31	he	he	PRON
cblr-2931	858	32	will	will	AUX
cblr-2931	858	33	deal	deal	VERB
cblr-2931	858	34	fairly	fairly	ADV
cblr-2931	858	35	with	with	ADP
cblr-2931	858	36	the	the	DET
cblr-2931	858	37	public	public	NOUN
cblr-2931	858	38	.	.	PUNCT
cblr-2931	859	1	"	"	PUNCT
cblr-2931	859	2	)	)	PUNCT
cblr-2931	859	3	,	,	PUNCT
cblr-2931	859	4	affd	affd	VERB
cblr-2931	859	5	417	417	NUM
cblr-2931	859	6	f.2d	f.2d	NOUN
cblr-2931	859	7	147	147	NUM
cblr-2931	859	8	(	(	PUNCT
cblr-2931	859	9	7th	7th	ADJ
cblr-2931	859	10	cir	cir	NOUN
cblr-2931	859	11	.	.	PROPN
cblr-2931	859	12	1969	1969	NUM
cblr-2931	859	13	)	)	PUNCT
cblr-2931	859	14	;	;	PUNCT
cblr-2931	859	15	accord	accord	NOUN
cblr-2931	859	16	,	,	PUNCT
cblr-2931	859	17	e.g.	e.g.	ADV
cblr-2931	859	18	,	,	PUNCT
cblr-2931	859	19	charles	charles	PROPN
cblr-2931	859	20	hughes	hughes	PROPN
cblr-2931	859	21	&	&	CCONJ
cblr-2931	859	22	co.	co.	PROPN
cblr-2931	859	23	v.	v.	ADP
cblr-2931	859	24	sec	sec	PROPN
cblr-2931	859	25	.	.	PROPN
cblr-2931	859	26	and	and	CCONJ
cblr-2931	859	27	exch	exch	PROPN
cblr-2931	859	28	.	.	PUNCT
cblr-2931	860	1	comm'n	comm'n	PROPN
cblr-2931	860	2	,	,	PUNCT
cblr-2931	860	3	139	139	NUM
cblr-2931	860	4	f.2d	f.2d	NOUN
cblr-2931	860	5	434	434	NUM
cblr-2931	860	6	,	,	PUNCT
cblr-2931	860	7	436	436	NUM
cblr-2931	860	8	-	-	SYM
cblr-2931	860	9	37	37	NUM
cblr-2931	860	10	(	(	PUNCT
cblr-2931	860	11	2d	2d	NUM
cblr-2931	860	12	cir	cir	NOUN
cblr-2931	860	13	.	.	PUNCT
cblr-2931	860	14	1943	1943	NUM
cblr-2931	860	15	)	)	PUNCT
cblr-2931	860	16	;	;	PUNCT
cblr-2931	860	17	see	see	VERB
cblr-2931	860	18	also	also	ADV
cblr-2931	860	19	,	,	PUNCT
cblr-2931	860	20	e.g.	e.g.	ADV
cblr-2931	860	21	,	,	PUNCT
cblr-2931	860	22	merrill	merrill	PROPN
cblr-2931	860	23	lynch	lynch	PROPN
cblr-2931	860	24	,	,	PUNCT
cblr-2931	860	25	pierce	pierce	PROPN
cblr-2931	860	26	,	,	PUNCT
cblr-2931	860	27	fenner	fenner	PROPN
cblr-2931	860	28	&	&	CCONJ
cblr-2931	860	29	smith	smith	PROPN
cblr-2931	860	30	,	,	PUNCT
cblr-2931	860	31	inc	inc	PROPN
cblr-2931	860	32	.	.	PROPN
cblr-2931	860	33	v.	v.	PROPN
cblr-2931	860	34	cole	cole	PROPN
cblr-2931	860	35	,	,	PUNCT
cblr-2931	860	36	457	457	NUM
cblr-2931	860	37	a.2d	a.2d	NUM
cblr-2931	860	38	656	656	NUM
cblr-2931	860	39	,	,	PUNCT
cblr-2931	860	40	664	664	NUM
cblr-2931	860	41	(	(	PUNCT
cblr-2931	860	42	conn	conn	PROPN
cblr-2931	860	43	.	.	PROPN
cblr-2931	860	44	1983	1983	NUM
cblr-2931	860	45	)	)	PUNCT
cblr-2931	860	46	(	(	PUNCT
cblr-2931	860	47	"	"	PUNCT
cblr-2931	860	48	the	the	DET
cblr-2931	860	49	'	'	PUNCT
cblr-2931	860	50	shingle	shingle	NOUN
cblr-2931	860	51	'	'	PUNCT
cblr-2931	860	52	theory	theory	NOUN
cblr-2931	860	53	.	.	PUNCT
cblr-2931	860	54	.	.	PUNCT
cblr-2931	861	1	.	.	PUNCT
cblr-2931	862	1	has	have	AUX
cblr-2931	862	2	become	become	VERB
cblr-2931	862	3	a	a	DET
cblr-2931	862	4	well	well	ADV
cblr-2931	862	5	established	establish	VERB
cblr-2931	862	6	doctrine	doctrine	NOUN
cblr-2931	862	7	in	in	ADP
cblr-2931	862	8	the	the	DET
cblr-2931	862	9	securities	security	NOUN
cblr-2931	862	10	field	field	NOUN
cblr-2931	862	11	.	.	PUNCT
cblr-2931	862	12	"	"	PUNCT
cblr-2931	862	13	)	)	PUNCT
cblr-2931	863	1	(	(	PUNCT
cblr-2931	863	2	citation	citation	NOUN
cblr-2931	863	3	omitted	omit	VERB
cblr-2931	863	4	)	)	PUNCT
cblr-2931	863	5	;	;	PUNCT
cblr-2931	863	6	mennillo	mennillo	PROPN
cblr-2931	863	7	v.	v.	PROPN
cblr-2931	863	8	tucker	tucker	PROPN
cblr-2931	863	9	,	,	PUNCT
cblr-2931	863	10	anthony	anthony	PROPN
cblr-2931	863	11	&	&	CCONJ
cblr-2931	863	12	r.	r.	PROPN
cblr-2931	863	13	l.	l.	PROPN
cblr-2931	863	14	day	day	PROPN
cblr-2931	863	15	,	,	PUNCT
cblr-2931	863	16	inc	inc	PROPN
cblr-2931	863	17	.	.	PROPN
cblr-2931	863	18	,	,	PUNCT
cblr-2931	863	19	no	no	INTJ
cblr-2931	863	20	.	.	PUNCT
cblr-2931	864	1	cv86	cv86	PROPN
cblr-2931	864	2	-	-	PUNCT
cblr-2931	864	3	0227043s	0227043s	PROPN
cblr-2931	864	4	,	,	PUNCT
cblr-2931	864	5	1991	1991	NUM
cblr-2931	864	6	wl	wl	NOUN
cblr-2931	864	7	83981	83981	NUM
cblr-2931	864	8	,	,	PUNCT
cblr-2931	864	9	at	at	ADP
cblr-2931	864	10	*	*	NOUN
cblr-2931	864	11	8	8	NUM
cblr-2931	864	12	(	(	PUNCT
cblr-2931	864	13	conn	conn	PROPN
cblr-2931	864	14	.	.	PUNCT
cblr-2931	864	15	super	super	PROPN
cblr-2931	864	16	.	.	PUNCT
cblr-2931	865	1	ct	ct	PROPN
cblr-2931	865	2	.	.	PUNCT
cblr-2931	866	1	may	may	AUX
cblr-2931	866	2	3	3	NUM
cblr-2931	866	3	,	,	PUNCT
cblr-2931	866	4	1991	1991	NUM
cblr-2931	866	5	)	)	PUNCT
cblr-2931	866	6	.	.	PUNCT
cblr-2931	867	1	749	749	NUM
cblr-2931	867	2	as	as	SCONJ
cblr-2931	867	3	noted	note	VERB
cblr-2931	867	4	elsewhere	elsewhere	ADV
cblr-2931	867	5	in	in	ADP
cblr-2931	867	6	this	this	DET
cblr-2931	867	7	article	article	NOUN
cblr-2931	867	8	,	,	PUNCT
cblr-2931	867	9	sec	sec	PROPN
cblr-2931	867	10	and	and	CCONJ
cblr-2931	867	11	self	self	NOUN
cblr-2931	867	12	-	-	PUNCT
cblr-2931	867	13	regulatory	regulatory	ADJ
cblr-2931	867	14	rules	rule	NOUN
cblr-2931	867	15	require	require	VERB
cblr-2931	867	16	broker	broker	NOUN
cblr-2931	867	17	-	-	PUNCT
cblr-2931	867	18	dealers	dealer	NOUN
cblr-2931	867	19	to	to	PART
cblr-2931	867	20	adhere	adhere	VERB
cblr-2931	867	21	to	to	ADP
cblr-2931	867	22	standards	standard	NOUN
cblr-2931	867	23	of	of	ADP
cblr-2931	867	24	fair	fair	ADJ
cblr-2931	867	25	and	and	CCONJ
cblr-2931	867	26	equitable	equitable	ADJ
cblr-2931	867	27	principles	principle	NOUN
cblr-2931	867	28	of	of	ADP
cblr-2931	867	29	trade.7	trade.7	PROPN
cblr-2931	867	30	0	0	PUNCT
cblr-2931	868	1	a	a	DET
cblr-2931	868	2	breach	breach	NOUN
cblr-2931	868	3	of	of	ADP
cblr-2931	868	4	the	the	DET
cblr-2931	868	5	implied	imply	VERB
cblr-2931	868	6	representation	representation	NOUN
cblr-2931	868	7	that	that	SCONJ
cblr-2931	868	8	a	a	DET
cblr-2931	868	9	broker	broker	NOUN
cblr-2931	868	10	will	will	AUX
cblr-2931	868	11	deal	deal	VERB
cblr-2931	868	12	fairly	fairly	ADV
cblr-2931	868	13	with	with	ADP
cblr-2931	868	14	the	the	DET
cblr-2931	868	15	customer	customer	NOUN
cblr-2931	868	16	will	will	AUX
cblr-2931	868	17	be	be	AUX
cblr-2931	868	18	actionable	actionable	ADJ
cblr-2931	868	19	in	in	ADP
cblr-2931	868	20	a	a	DET
cblr-2931	868	21	private	private	ADJ
cblr-2931	868	22	action	action	NOUN
cblr-2931	868	23	under	under	ADP
cblr-2931	868	24	the	the	DET
cblr-2931	868	25	securities	security	NOUN
cblr-2931	868	26	laws	law	NOUN
cblr-2931	868	27	only	only	ADV
cblr-2931	868	28	if	if	SCONJ
cblr-2931	868	29	the	the	DET
cblr-2931	868	30	plaintiff	plaintiff	NOUN
cblr-2931	868	31	can	can	AUX
cblr-2931	868	32	show	show	VERB
cblr-2931	868	33	a	a	DET
cblr-2931	868	34	causal	causal	ADJ
cblr-2931	868	35	relationship	relationship	NOUN
cblr-2931	868	36	between	between	ADP
cblr-2931	868	37	the	the	DET
cblr-2931	868	38	alleged	alleged	ADJ
cblr-2931	868	39	breach	breach	NOUN
cblr-2931	868	40	and	and	CCONJ
cblr-2931	868	41	an	an	DET
cblr-2931	868	42	injury	injury	NOUN
cblr-2931	868	43	to	to	ADP
cblr-2931	868	44	the	the	DET
cblr-2931	868	45	plaintiff	plaintiff	NOUN
cblr-2931	868	46	.	.	PUNCT
cblr-2931	868	47	'	'	PUNCT
cblr-2931	869	1	a	a	DET
cblr-2931	869	2	breach	breach	NOUN
cblr-2931	869	3	of	of	ADP
cblr-2931	869	4	fiduciary	fiduciary	ADJ
cblr-2931	869	5	duty	duty	NOUN
cblr-2931	869	6	will	will	AUX
cblr-2931	869	7	not	not	PART
cblr-2931	869	8	by	by	ADP
cblr-2931	869	9	itself	itself	PRON
cblr-2931	869	10	support	support	VERB
cblr-2931	869	11	a	a	DET
cblr-2931	869	12	claim	claim	NOUN
cblr-2931	869	13	under	under	ADP
cblr-2931	869	14	the	the	DET
cblr-2931	869	15	federal	federal	ADJ
cblr-2931	869	16	securities	security	NOUN
cblr-2931	869	17	laws	law	NOUN
cblr-2931	869	18	.	.	PUNCT
cblr-2931	870	1	'72	'72	PROPN
cblr-2931	870	2	thus	thus	ADV
cblr-2931	870	3	,	,	PUNCT
cblr-2931	870	4	the	the	DET
cblr-2931	870	5	shingle	shingle	NOUN
cblr-2931	870	6	theory	theory	NOUN
cblr-2931	870	7	will	will	AUX
cblr-2931	870	8	support	support	VERB
cblr-2931	870	9	a	a	DET
cblr-2931	870	10	private	private	ADJ
cblr-2931	870	11	right	right	NOUN
cblr-2931	870	12	of	of	ADP
cblr-2931	870	13	action	action	NOUN
cblr-2931	870	14	only	only	ADV
cblr-2931	870	15	to	to	ADP
cblr-2931	870	16	the	the	DET
cblr-2931	870	17	extent	extent	NOUN
cblr-2931	870	18	that	that	SCONJ
cblr-2931	870	19	it	it	PRON
cblr-2931	870	20	amounts	amount	VERB
cblr-2931	870	21	to	to	ADP
cblr-2931	870	22	a	a	DET
cblr-2931	870	23	fraudulent	fraudulent	ADJ
cblr-2931	870	24	implied	imply	VERB
cblr-2931	870	25	misrepresentation	misrepresentation	NOUN
cblr-2931	870	26	in	in	ADP
cblr-2931	870	27	connection	connection	NOUN
cblr-2931	870	28	with	with	ADP
cblr-2931	870	29	the	the	DET
cblr-2931	870	30	purchase	purchase	NOUN
cblr-2931	870	31	or	or	CCONJ
cblr-2931	870	32	sale	sale	NOUN
cblr-2931	870	33	of	of	ADP
cblr-2931	870	34	a	a	DET
cblr-2931	870	35	security	security	NOUN
cblr-2931	870	36	.	.	PUNCT
cblr-2931	871	1	"	"	PUNCT
cblr-2931	871	2	'	'	PUNCT
cblr-2931	871	3	additionally	additionally	ADV
cblr-2931	871	4	,	,	PUNCT
cblr-2931	871	5	it	it	PRON
cblr-2931	871	6	has	have	AUX
cblr-2931	871	7	been	be	AUX
cblr-2931	871	8	explained	explain	VERB
cblr-2931	871	9	that	that	SCONJ
cblr-2931	871	10	the	the	DET
cblr-2931	871	11	shingle	shingle	NOUN
cblr-2931	871	12	theory	theory	NOUN
cblr-2931	871	13	is	be	AUX
cblr-2931	871	14	but	but	CCONJ
cblr-2931	871	15	an	an	DET
cblr-2931	871	16	extension	extension	NOUN
cblr-2931	871	17	of	of	ADP
cblr-2931	871	18	the	the	DET
cblr-2931	871	19	common	common	ADJ
cblr-2931	871	20	law	law	NOUN
cblr-2931	871	21	doctrine	doctrine	NOUN
cblr-2931	871	22	of	of	ADP
cblr-2931	871	23	"	"	PUNCT
cblr-2931	871	24	holding	hold	VERB
cblr-2931	871	25	out	out	ADP
cblr-2931	871	26	.	.	PUNCT
cblr-2931	872	1	"	"	PUNCT
cblr-2931	872	2	"	"	PUNCT
cblr-2931	872	3	'	'	PUNCT
cblr-2931	872	4	it	it	PRON
cblr-2931	872	5	has	have	AUX
cblr-2931	872	6	long	long	ADV
cblr-2931	872	7	been	be	AUX
cblr-2931	872	8	recognized	recognize	VERB
cblr-2931	872	9	that	that	SCONJ
cblr-2931	872	10	a	a	DET
cblr-2931	872	11	securities	security	NOUN
cblr-2931	872	12	170	170	NUM
cblr-2931	872	13	see	see	VERB
cblr-2931	872	14	supra	supra	PROPN
cblr-2931	872	15	notes	note	NOUN
cblr-2931	872	16	1	1	NUM
cblr-2931	872	17	,	,	PUNCT
cblr-2931	872	18	123	123	NUM
cblr-2931	872	19	,	,	PUNCT
cblr-2931	872	20	128	128	NUM
cblr-2931	872	21	,	,	PUNCT
cblr-2931	872	22	136	136	NUM
cblr-2931	872	23	,	,	PUNCT
cblr-2931	872	24	and	and	CCONJ
cblr-2931	872	25	accompanying	accompany	VERB
cblr-2931	872	26	text	text	NOUN
cblr-2931	872	27	.	.	PUNCT
cblr-2931	873	1	17	17	NUM
cblr-2931	873	2	see	see	VERB
cblr-2931	873	3	,	,	PUNCT
cblr-2931	873	4	e.g.	e.g.	ADV
cblr-2931	873	5	,	,	PUNCT
cblr-2931	873	6	in	in	ADP
cblr-2931	873	7	re	re	NOUN
cblr-2931	873	8	credit	credit	NOUN
cblr-2931	873	9	suisse	suisse	PROPN
cblr-2931	873	10	first	first	PROPN
cblr-2931	873	11	boston	boston	PROPN
cblr-2931	873	12	corp	corp	PROPN
cblr-2931	873	13	.	.	PROPN
cblr-2931	873	14	,	,	PUNCT
cblr-2931	873	15	no	no	INTJ
cblr-2931	873	16	.	.	PUNCT
cblr-2931	874	1	civ.a.0212056	civ.a.0212056	NOUN
cblr-2931	874	2	-	-	PUNCT
cblr-2931	874	3	gao	gao	PROPN
cblr-2931	874	4	,	,	PUNCT
cblr-2931	874	5	2005	2005	NUM
cblr-2931	874	6	wl	wl	NOUN
cblr-2931	874	7	852455	852455	NUM
cblr-2931	874	8	,	,	PUNCT
cblr-2931	874	9	at	at	ADP
cblr-2931	874	10	*	*	NOUN
cblr-2931	874	11	9	9	NUM
cblr-2931	874	12	(	(	PUNCT
cblr-2931	874	13	d.	d.	PROPN
cblr-2931	874	14	mass	mass	PROPN
cblr-2931	874	15	.	.	PUNCT
cblr-2931	875	1	mar	mar	PROPN
cblr-2931	875	2	.	.	PROPN
cblr-2931	875	3	31	31	NUM
cblr-2931	875	4	,	,	PUNCT
cblr-2931	875	5	2005	2005	NUM
cblr-2931	875	6	)	)	PUNCT
cblr-2931	875	7	(	(	PUNCT
cblr-2931	875	8	failure	failure	NOUN
cblr-2931	875	9	to	to	PART
cblr-2931	875	10	adequately	adequately	ADV
cblr-2931	875	11	allege	allege	VERB
cblr-2931	875	12	causal	causal	ADJ
cblr-2931	875	13	connection	connection	NOUN
cblr-2931	875	14	between	between	ADP
cblr-2931	875	15	analyst	analyst	NOUN
cblr-2931	875	16	's	's	PART
cblr-2931	875	17	"	"	PUNCT
cblr-2931	875	18	buy	buy	NOUN
cblr-2931	875	19	"	"	PUNCT
cblr-2931	875	20	recommendations	recommendation	NOUN
cblr-2931	875	21	and	and	CCONJ
cblr-2931	875	22	impact	impact	NOUN
cblr-2931	875	23	on	on	ADP
cblr-2931	875	24	price	price	NOUN
cblr-2931	875	25	of	of	ADP
cblr-2931	875	26	securities	security	NOUN
cblr-2931	875	27	)	)	PUNCT
cblr-2931	875	28	;	;	PUNCT
cblr-2931	875	29	gruntal	gruntal	PROPN
cblr-2931	875	30	&	&	CCONJ
cblr-2931	875	31	co.	co.	PROPN
cblr-2931	875	32	v.	v.	ADP
cblr-2931	875	33	san	san	PROPN
cblr-2931	875	34	diego	diego	PROPN
cblr-2931	875	35	bancorp	bancorp	PROPN
cblr-2931	875	36	,	,	PUNCT
cblr-2931	875	37	901	901	NUM
cblr-2931	875	38	f.	f.	PROPN
cblr-2931	875	39	supp	supp	PROPN
cblr-2931	875	40	.	.	PUNCT
cblr-2931	876	1	607	607	NUM
cblr-2931	876	2	,	,	PUNCT
cblr-2931	876	3	619	619	NUM
cblr-2931	876	4	(	(	PUNCT
cblr-2931	876	5	s.d.n.y	s.d.n.y	PROPN
cblr-2931	876	6	.	.	PROPN
cblr-2931	876	7	1995	1995	NUM
cblr-2931	876	8	)	)	PUNCT
cblr-2931	876	9	.	.	PUNCT
cblr-2931	877	1	172	172	NUM
cblr-2931	877	2	see	see	VERB
cblr-2931	877	3	,	,	PUNCT
cblr-2931	877	4	e.g.	e.g.	ADV
cblr-2931	877	5	,	,	PUNCT
cblr-2931	877	6	santa	santa	PROPN
cblr-2931	877	7	fe	fe	PROPN
cblr-2931	877	8	indus	indus	PROPN
cblr-2931	877	9	.	.	PROPN
cblr-2931	877	10	,	,	PUNCT
cblr-2931	877	11	inc	inc	PROPN
cblr-2931	877	12	.	.	PROPN
cblr-2931	878	1	v.	v.	PROPN
cblr-2931	878	2	green	green	PROPN
cblr-2931	878	3	,	,	PUNCT
cblr-2931	879	1	430	430	NUM
cblr-2931	879	2	u.s	u.s	PROPN
cblr-2931	879	3	.	.	PROPN
cblr-2931	879	4	462	462	NUM
cblr-2931	879	5	,	,	PUNCT
cblr-2931	879	6	472	472	NUM
cblr-2931	879	7	(	(	PUNCT
cblr-2931	879	8	1977	1977	NUM
cblr-2931	879	9	)	)	PUNCT
cblr-2931	879	10	(	(	PUNCT
cblr-2931	879	11	sec	sec	PROPN
cblr-2931	879	12	rule	rule	NOUN
cblr-2931	879	13	10b-5	10b-5	NUM
cblr-2931	879	14	is	be	AUX
cblr-2931	879	15	a	a	DET
cblr-2931	879	16	fraud	fraud	NOUN
cblr-2931	879	17	-	-	PUNCT
cblr-2931	879	18	based	base	VERB
cblr-2931	879	19	rule	rule	NOUN
cblr-2931	879	20	)	)	PUNCT
cblr-2931	879	21	.	.	PUNCT
cblr-2931	880	1	's	's	PART
cblr-2931	880	2	see	see	VERB
cblr-2931	880	3	bissell	bissell	PROPN
cblr-2931	880	4	v.	v.	ADP
cblr-2931	880	5	merrill	merrill	PROPN
cblr-2931	880	6	lynch	lynch	PROPN
cblr-2931	880	7	&	&	CCONJ
cblr-2931	880	8	co.	co.	PROPN
cblr-2931	880	9	,	,	PUNCT
cblr-2931	880	10	937	937	NUM
cblr-2931	880	11	f.	f.	PROPN
cblr-2931	880	12	supp	supp	PROPN
cblr-2931	880	13	.	.	PUNCT
cblr-2931	881	1	237	237	NUM
cblr-2931	881	2	,	,	PUNCT
cblr-2931	881	3	246	246	NUM
cblr-2931	881	4	n.7	n.7	X
cblr-2931	881	5	(	(	PUNCT
cblr-2931	881	6	s.d.n.y	s.d.n.y	PROPN
cblr-2931	881	7	.	.	NOUN
cblr-2931	881	8	1996	1996	NUM
cblr-2931	881	9	)	)	PUNCT
cblr-2931	881	10	(	(	PUNCT
cblr-2931	881	11	"	"	PUNCT
cblr-2931	881	12	the	the	DET
cblr-2931	881	13	'	'	PUNCT
cblr-2931	881	14	shingle	shingle	NOUN
cblr-2931	881	15	theory	theory	NOUN
cblr-2931	881	16	'	'	PUNCT
cblr-2931	881	17	denotes	denote	VERB
cblr-2931	881	18	the	the	DET
cblr-2931	881	19	proposition	proposition	NOUN
cblr-2931	881	20	that	that	SCONJ
cblr-2931	881	21	a	a	DET
cblr-2931	881	22	broker	broker	NOUN
cblr-2931	881	23	-	-	PUNCT
cblr-2931	881	24	dealer	dealer	NOUN
cblr-2931	881	25	,	,	PUNCT
cblr-2931	881	26	by	by	ADP
cblr-2931	881	27	holding	hold	VERB
cblr-2931	881	28	itself	itself	PRON
cblr-2931	881	29	out	out	ADP
cblr-2931	881	30	as	as	ADV
cblr-2931	881	31	competent	competent	ADJ
cblr-2931	881	32	to	to	PART
cblr-2931	881	33	conduct	conduct	VERB
cblr-2931	881	34	a	a	DET
cblr-2931	881	35	brokerage	brokerage	NOUN
cblr-2931	881	36	business	business	NOUN
cblr-2931	881	37	,	,	PUNCT
cblr-2931	881	38	owes	owe	VERB
cblr-2931	881	39	its	its	PRON
cblr-2931	881	40	customer	customer	NOUN
cblr-2931	881	41	certain	certain	ADJ
cblr-2931	881	42	duties	duty	NOUN
cblr-2931	881	43	,	,	PUNCT
cblr-2931	881	44	including	include	VERB
cblr-2931	881	45	the	the	DET
cblr-2931	881	46	duty	duty	NOUN
cblr-2931	881	47	not	not	PART
cblr-2931	881	48	to	to	PART
cblr-2931	881	49	sell	sell	VERB
cblr-2931	881	50	securities	security	NOUN
cblr-2931	881	51	at	at	ADP
cblr-2931	881	52	prices	price	NOUN
cblr-2931	881	53	far	far	ADV
cblr-2931	881	54	in	in	ADP
cblr-2931	881	55	excess	excess	NOUN
cblr-2931	881	56	of	of	ADP
cblr-2931	881	57	market	market	NOUN
cblr-2931	881	58	prices	price	NOUN
cblr-2931	881	59	....	....	PUNCT
cblr-2931	882	1	recent	recent	ADJ
cblr-2931	882	2	cases	case	NOUN
cblr-2931	882	3	have	have	AUX
cblr-2931	882	4	harmonized	harmonize	VERB
cblr-2931	882	5	the	the	DET
cblr-2931	882	6	older	old	ADJ
cblr-2931	882	7	'	'	PUNCT
cblr-2931	882	8	shingle	shingle	NOUN
cblr-2931	882	9	theory	theory	NOUN
cblr-2931	882	10	'	'	PART
cblr-2931	882	11	cases	case	NOUN
cblr-2931	882	12	with	with	ADP
cblr-2931	882	13	the	the	DET
cblr-2931	882	14	supreme	supreme	PROPN
cblr-2931	882	15	court	court	PROPN
cblr-2931	882	16	's	's	PART
cblr-2931	882	17	rule	rule	NOUN
cblr-2931	882	18	10b-5	10b-5	NUM
cblr-2931	882	19	fraud	fraud	NOUN
cblr-2931	882	20	jurisprudence	jurisprudence	NOUN
cblr-2931	882	21	by	by	ADP
cblr-2931	882	22	identifying	identify	VERB
cblr-2931	882	23	both	both	CCONJ
cblr-2931	882	24	a	a	DET
cblr-2931	882	25	duty	duty	NOUN
cblr-2931	882	26	to	to	PART
cblr-2931	882	27	disclose	disclose	VERB
cblr-2931	882	28	and	and	CCONJ
cblr-2931	882	29	a	a	DET
cblr-2931	882	30	material	material	NOUN
cblr-2931	882	31	omission	omission	NOUN
cblr-2931	882	32	....	....	PUNCT
cblr-2931	882	33	to	to	ADP
cblr-2931	882	34	the	the	DET
cblr-2931	882	35	extent	extent	NOUN
cblr-2931	882	36	plaintiffs	plaintiff	NOUN
cblr-2931	882	37	'	'	PUNCT
cblr-2931	882	38	shingle	shingle	NOUN
cblr-2931	882	39	theory	theory	NOUN
cblr-2931	882	40	'	'	PUNCT
cblr-2931	882	41	claim	claim	NOUN
cblr-2931	882	42	relies	rely	VERB
cblr-2931	882	43	on	on	ADP
cblr-2931	882	44	a	a	DET
cblr-2931	882	45	violation	violation	NOUN
cblr-2931	882	46	of	of	ADP
cblr-2931	882	47	section	section	NOUN
cblr-2931	882	48	10(b	10(b	NUM
cblr-2931	882	49	)	)	PUNCT
cblr-2931	882	50	and	and	CCONJ
cblr-2931	882	51	rule	rule	NOUN
cblr-2931	882	52	10b-5	10b-5	NUM
cblr-2931	882	53	,	,	PUNCT
cblr-2931	882	54	the	the	DET
cblr-2931	882	55	claim	claim	NOUN
cblr-2931	882	56	must	must	AUX
cblr-2931	882	57	fail	fail	VERB
cblr-2931	882	58	because	because	SCONJ
cblr-2931	882	59	.	.	PUNCT
cblr-2931	882	60	.	.	PUNCT
cblr-2931	882	61	.	.	PUNCT
cblr-2931	883	1	a	a	DET
cblr-2931	883	2	breach	breach	NOUN
cblr-2931	883	3	of	of	ADP
cblr-2931	883	4	fiduciary	fiduciary	ADJ
cblr-2931	883	5	duty	duty	NOUN
cblr-2931	883	6	does	do	AUX
cblr-2931	883	7	not	not	PART
cblr-2931	883	8	give	give	VERB
cblr-2931	883	9	rise	rise	NOUN
cblr-2931	883	10	to	to	ADP
cblr-2931	883	11	a	a	DET
cblr-2931	883	12	securities	security	NOUN
cblr-2931	883	13	fraud	fraud	NOUN
cblr-2931	883	14	claim	claim	NOUN
cblr-2931	883	15	merely	merely	ADV
cblr-2931	883	16	because	because	SCONJ
cblr-2931	883	17	it	it	PRON
cblr-2931	883	18	involves	involve	VERB
cblr-2931	883	19	a	a	DET
cblr-2931	883	20	securities	security	NOUN
cblr-2931	883	21	transaction	transaction	NOUN
cblr-2931	883	22	.	.	PUNCT
cblr-2931	883	23	.	.	PUNCT
cblr-2931	883	24	.	.	PUNCT
cblr-2931	883	25	.	.	PUNCT
cblr-2931	884	1	"	"	PUNCT
cblr-2931	884	2	)	)	PUNCT
cblr-2931	884	3	(	(	PUNCT
cblr-2931	884	4	citations	citation	NOUN
cblr-2931	884	5	omitted	omit	VERB
cblr-2931	884	6	)	)	PUNCT
cblr-2931	884	7	.	.	PUNCT
cblr-2931	885	1	174	174	NUM
cblr-2931	885	2	see	see	VERB
cblr-2931	885	3	,	,	PUNCT
cblr-2931	885	4	e.g.	e.g.	ADV
cblr-2931	885	5	,	,	PUNCT
cblr-2931	885	6	burdett	burdett	PROPN
cblr-2931	885	7	v.	v.	PROPN
cblr-2931	885	8	miller	miller	PROPN
cblr-2931	885	9	,	,	PUNCT
cblr-2931	885	10	957	957	NUM
cblr-2931	885	11	f.2d	f.2d	NOUN
cblr-2931	885	12	1375	1375	NUM
cblr-2931	885	13	,	,	PUNCT
cblr-2931	885	14	1381	1381	NUM
cblr-2931	885	15	(	(	PUNCT
cblr-2931	885	16	7th	7th	ADJ
cblr-2931	885	17	cir	cir	NOUN
cblr-2931	885	18	.	.	PROPN
cblr-2931	885	19	1992	1992	NUM
cblr-2931	885	20	)	)	PUNCT
cblr-2931	885	21	(	(	PUNCT
cblr-2931	885	22	holding	hold	VERB
cblr-2931	885	23	that	that	PRON
cblr-2931	885	24	representing	represent	VERB
cblr-2931	885	25	oneself	oneself	PRON
cblr-2931	885	26	as	as	ADP
cblr-2931	885	27	an	an	DET
cblr-2931	885	28	expert	expert	NOUN
cblr-2931	885	29	in	in	ADP
cblr-2931	885	30	investment	investment	NOUN
cblr-2931	885	31	advice	advice	NOUN
cblr-2931	885	32	creates	create	VERB
cblr-2931	885	33	fiduciary	fiduciary	ADJ
cblr-2931	885	34	duties	duty	NOUN
cblr-2931	885	35	)	)	PUNCT
cblr-2931	885	36	;	;	PUNCT
cblr-2931	885	37	see	see	VERB
cblr-2931	885	38	also	also	ADV
cblr-2931	885	39	william	william	PROPN
cblr-2931	885	40	l.	l.	PROPN
cblr-2931	885	41	prosser	prosser	PROPN
cblr-2931	885	42	,	,	PUNCT
cblr-2931	885	43	law	law	NOUN
cblr-2931	885	44	of	of	ADP
cblr-2931	885	45	torts	torts	PROPN
cblr-2931	885	46	697	697	NUM
cblr-2931	885	47	(	(	PUNCT
cblr-2931	885	48	4th	4th	ADJ
cblr-2931	885	49	ed	ed	NOUN
cblr-2931	885	50	.	.	PROPN
cblr-2931	885	51	1971	1971	NUM
cblr-2931	885	52	)	)	PUNCT
cblr-2931	885	53	.	.	PUNCT
cblr-2931	886	1	but	but	CCONJ
cblr-2931	886	2	see	see	VERB
cblr-2931	886	3	,	,	PUNCT
cblr-2931	886	4	e.g.	e.g.	ADV
cblr-2931	886	5	,	,	PUNCT
cblr-2931	886	6	lefkowitz	lefkowitz	PROPN
cblr-2931	886	7	v.	v.	PROPN
cblr-2931	886	8	smith	smith	PROPN
cblr-2931	886	9	barney	barney	PROPN
cblr-2931	886	10	,	,	PUNCT
cblr-2931	886	11	harris	harris	PROPN
cblr-2931	886	12	upham	upham	PROPN
cblr-2931	886	13	&	&	CCONJ
cblr-2931	886	14	co.	co.	PROPN
cblr-2931	886	15	,	,	PUNCT
cblr-2931	886	16	804	804	NUM
cblr-2931	886	17	f.2d	f.2d	NOUN
cblr-2931	886	18	154	154	NUM
cblr-2931	886	19	,	,	PUNCT
cblr-2931	886	20	155	155	NUM
cblr-2931	886	21	(	(	PUNCT
cblr-2931	886	22	1st	1st	ADJ
cblr-2931	886	23	cir	cir	NOUN
cblr-2931	886	24	.	.	PROPN
cblr-2931	886	25	1986	1986	NUM
cblr-2931	886	26	)	)	PUNCT
cblr-2931	887	1	(	(	PUNCT
cblr-2931	887	2	holding	hold	VERB
cblr-2931	887	3	that	that	DET
cblr-2931	887	4	stockbroker	stockbroker	NOUN
cblr-2931	887	5	and	and	CCONJ
cblr-2931	887	6	client	client	NOUN
cblr-2931	888	1	[	[	X
cblr-2931	888	2	vol	vol	NOUN
cblr-2931	888	3	.	.	PROPN
cblr-2931	889	1	20	20	NUM
cblr-2931	889	2	10750	10750	NUM
cblr-2931	889	3	col	col	PROPN
cblr-2931	889	4	umia	umia	PROPN
cblr-2931	889	5	b	b	PROPN
cblr-2931	889	6	usiness	usiness	PROPN
cblr-2931	889	7	la	la	PROPN
cblr-2931	889	8	w	w	PROPN
cblr-2931	889	9	re	re	PROPN
cblr-2931	889	10	vie	vie	PROPN
cblr-2931	889	11	w	w	PROPN
cblr-2931	889	12	no	no	PROPN
cblr-2931	889	13	.	.	PUNCT
cblr-2931	890	1	3:710	3:710	NUM
cblr-2931	890	2	]	]	PUNCT
cblr-2931	890	3	are	be	AUX
cblr-2931	890	4	existing	exist	VERB
cblr-2931	890	5	stock	stock	NOUN
cblr-2931	890	6	broker	broker	NOUN
cblr-2931	890	7	standards	standard	NOUN
cblr-2931	890	8	sufficient	sufficient	ADJ
cblr-2931	890	9	?	?	PUNCT
cblr-2931	891	1	broker	broker	NOUN
cblr-2931	891	2	occupies	occupy	VERB
cblr-2931	891	3	a	a	DET
cblr-2931	891	4	special	special	ADJ
cblr-2931	891	5	position	position	NOUN
cblr-2931	891	6	of	of	ADP
cblr-2931	891	7	trust	trust	NOUN
cblr-2931	891	8	and	and	CCONJ
cblr-2931	891	9	confidence	confidence	NOUN
cblr-2931	891	10	with	with	ADP
cblr-2931	891	11	regard	regard	NOUN
cblr-2931	891	12	to	to	ADP
cblr-2931	891	13	his	his	PRON
cblr-2931	891	14	or	or	CCONJ
cblr-2931	891	15	her	her	PRON
cblr-2931	891	16	customer	customer	NOUN
cblr-2931	891	17	when	when	SCONJ
cblr-2931	891	18	making	make	VERB
cblr-2931	891	19	a	a	DET
cblr-2931	891	20	recommendation	recommendation	NOUN
cblr-2931	891	21	and	and	CCONJ
cblr-2931	891	22	that	that	SCONJ
cblr-2931	891	23	any	any	DET
cblr-2931	891	24	recommendation	recommendation	NOUN
cblr-2931	891	25	of	of	ADP
cblr-2931	891	26	a	a	DET
cblr-2931	891	27	security	security	NOUN
cblr-2931	891	28	carries	carry	VERB
cblr-2931	891	29	with	with	ADP
cblr-2931	891	30	it	it	PRON
cblr-2931	891	31	an	an	DET
cblr-2931	891	32	implicit	implicit	ADJ
cblr-2931	891	33	representation	representation	NOUN
cblr-2931	891	34	that	that	SCONJ
cblr-2931	891	35	the	the	DET
cblr-2931	891	36	broker	broker	NOUN
cblr-2931	891	37	has	have	AUX
cblr-2931	891	38	an	an	DET
cblr-2931	891	39	adequate	adequate	ADJ
cblr-2931	891	40	basis	basis	NOUN
cblr-2931	891	41	for	for	ADP
cblr-2931	891	42	the	the	DET
cblr-2931	891	43	recommendation	recommendation	NOUN
cblr-2931	891	44	.	.	PUNCT
cblr-2931	892	1	7	7	NUM
cblr-2931	892	2	'	'	PUNCT
cblr-2931	892	3	originally	originally	ADV
cblr-2931	892	4	the	the	DET
cblr-2931	892	5	shingle	shingle	NOUN
cblr-2931	892	6	theory	theory	NOUN
cblr-2931	892	7	was	be	AUX
cblr-2931	892	8	first	first	ADV
cblr-2931	892	9	applied	apply	VERB
cblr-2931	892	10	under	under	ADP
cblr-2931	892	11	the	the	DET
cblr-2931	892	12	securities	security	NOUN
cblr-2931	892	13	laws	law	NOUN
cblr-2931	892	14	in	in	ADP
cblr-2931	892	15	the	the	DET
cblr-2931	892	16	context	context	NOUN
cblr-2931	892	17	of	of	ADP
cblr-2931	892	18	a	a	DET
cblr-2931	892	19	broker	broker	NOUN
cblr-2931	892	20	's	's	PART
cblr-2931	892	21	charging	charge	VERB
cblr-2931	892	22	excessive	excessive	ADJ
cblr-2931	892	23	mark	mark	NOUN
cblr-2931	892	24	-	-	PUNCT
cblr-2931	892	25	ups,17	ups,17	ADJ
cblr-2931	892	26	6	6	NUM
cblr-2931	892	27	but	but	CCONJ
cblr-2931	892	28	now	now	ADV
cblr-2931	892	29	it	it	PRON
cblr-2931	892	30	is	be	AUX
cblr-2931	892	31	not	not	PART
cblr-2931	892	32	so	so	ADV
cblr-2931	892	33	limited	limited	ADJ
cblr-2931	892	34	.	.	PUNCT
cblr-2931	893	1	"	"	PUNCT
cblr-2931	893	2	'	'	PUNCT
cblr-2931	893	3	as	as	SCONJ
cblr-2931	893	4	previously	previously	ADV
cblr-2931	893	5	had	have	VERB
cblr-2931	893	6	no	no	DET
cblr-2931	893	7	fiduciary	fiduciary	ADJ
cblr-2931	893	8	relationship	relationship	NOUN
cblr-2931	893	9	where	where	SCONJ
cblr-2931	893	10	client	client	NOUN
cblr-2931	893	11	had	have	VERB
cblr-2931	893	12	minimal	minimal	ADJ
cblr-2931	893	13	investment	investment	NOUN
cblr-2931	893	14	knowledge	knowledge	NOUN
cblr-2931	893	15	and	and	CCONJ
cblr-2931	893	16	relied	rely	VERB
cblr-2931	893	17	on	on	ADP
cblr-2931	893	18	the	the	DET
cblr-2931	893	19	expertise	expertise	NOUN
cblr-2931	893	20	of	of	ADP
cblr-2931	893	21	his	his	PRON
cblr-2931	893	22	broker	broker	NOUN
cblr-2931	893	23	)	)	PUNCT
cblr-2931	893	24	.	.	PUNCT
cblr-2931	894	1	"	"	PUNCT
cblr-2931	894	2	.	.	PUNCT
cblr-2931	895	1	see	see	VERB
cblr-2931	895	2	,	,	PUNCT
cblr-2931	895	3	e.g.	e.g.	ADV
cblr-2931	895	4	,	,	PUNCT
cblr-2931	895	5	hanly	hanly	ADV
cblr-2931	895	6	v.	v.	ADP
cblr-2931	895	7	sec	sec	PROPN
cblr-2931	895	8	415	415	NUM
cblr-2931	895	9	f.2d	f.2d	ADP
cblr-2931	895	10	589	589	NUM
cblr-2931	895	11	,	,	PUNCT
cblr-2931	895	12	596	596	NUM
cblr-2931	895	13	(	(	PUNCT
cblr-2931	895	14	2d	2d	NUM
cblr-2931	895	15	cir	cir	NOUN
cblr-2931	895	16	.	.	PROPN
cblr-2931	895	17	1969	1969	NUM
cblr-2931	895	18	)	)	PUNCT
cblr-2931	895	19	(	(	PUNCT
cblr-2931	895	20	"	"	PUNCT
cblr-2931	895	21	a	a	DET
cblr-2931	895	22	securities	security	NOUN
cblr-2931	895	23	dealer	dealer	NOUN
cblr-2931	895	24	occupies	occupy	VERB
cblr-2931	895	25	a	a	DET
cblr-2931	895	26	special	special	ADJ
cblr-2931	895	27	relationship	relationship	NOUN
cblr-2931	895	28	to	to	ADP
cblr-2931	895	29	a	a	DET
cblr-2931	895	30	buyer	buyer	NOUN
cblr-2931	895	31	of	of	ADP
cblr-2931	895	32	securities	security	NOUN
cblr-2931	895	33	in	in	ADP
cblr-2931	895	34	that	that	PRON
cblr-2931	895	35	by	by	ADP
cblr-2931	895	36	his	his	PRON
cblr-2931	895	37	position	position	NOUN
cblr-2931	895	38	he	he	PRON
cblr-2931	895	39	implicitly	implicitly	ADV
cblr-2931	895	40	represents	represent	VERB
cblr-2931	895	41	that	that	SCONJ
cblr-2931	895	42	he	he	PRON
cblr-2931	895	43	has	have	VERB
cblr-2931	895	44	an	an	DET
cblr-2931	895	45	adequate	adequate	ADJ
cblr-2931	895	46	basis	basis	NOUN
cblr-2931	895	47	for	for	ADP
cblr-2931	895	48	the	the	DET
cblr-2931	895	49	opinions	opinion	NOUN
cblr-2931	895	50	he	he	PRON
cblr-2931	895	51	renders	render	VERB
cblr-2931	895	52	.	.	PUNCT
cblr-2931	896	1	"	"	PUNCT
cblr-2931	896	2	)	)	PUNCT
cblr-2931	896	3	;	;	PUNCT
cblr-2931	896	4	see	see	VERB
cblr-2931	896	5	also	also	ADV
cblr-2931	896	6	,	,	PUNCT
cblr-2931	896	7	e.g.	e.g.	ADV
cblr-2931	896	8	,	,	PUNCT
cblr-2931	896	9	merrill	merrill	PROPN
cblr-2931	896	10	lynch	lynch	PROPN
cblr-2931	896	11	,	,	PUNCT
cblr-2931	896	12	pierce	pierce	PROPN
cblr-2931	896	13	fenner	fenner	PROPN
cblr-2931	896	14	&	&	CCONJ
cblr-2931	896	15	smith	smith	PROPN
cblr-2931	896	16	,	,	PUNCT
cblr-2931	896	17	inc	inc	PROPN
cblr-2931	896	18	.	.	PROPN
cblr-2931	896	19	,	,	PUNCT
cblr-2931	896	20	exchange	exchange	PROPN
cblr-2931	896	21	act	act	PROPN
cblr-2931	896	22	release	release	VERB
cblr-2931	896	23	no	no	DET
cblr-2931	896	24	.	.	NOUN
cblr-2931	896	25	14149	14149	NUM
cblr-2931	896	26	,	,	PUNCT
cblr-2931	896	27	1977	1977	NUM
cblr-2931	896	28	wl	wl	NOUN
cblr-2931	896	29	187397	187397	NUM
cblr-2931	896	30	,	,	PUNCT
cblr-2931	896	31	at	at	ADP
cblr-2931	896	32	*	*	NUM
cblr-2931	896	33	6	6	NUM
cblr-2931	896	34	(	(	PUNCT
cblr-2931	896	35	nov	nov	PROPN
cblr-2931	896	36	.	.	PROPN
cblr-2931	896	37	9	9	NUM
cblr-2931	896	38	,	,	PUNCT
cblr-2931	896	39	1977	1977	NUM
cblr-2931	896	40	)	)	PUNCT
cblr-2931	896	41	.	.	PUNCT
cblr-2931	897	1	failure	failure	NOUN
cblr-2931	897	2	to	to	PART
cblr-2931	897	3	have	have	AUX
cblr-2931	897	4	such	such	DET
cblr-2931	897	5	a	a	DET
cblr-2931	897	6	reasonable	reasonable	ADJ
cblr-2931	897	7	basis	basis	NOUN
cblr-2931	897	8	for	for	ADP
cblr-2931	897	9	a	a	DET
cblr-2931	897	10	recommendation	recommendation	NOUN
cblr-2931	897	11	can	can	AUX
cblr-2931	897	12	result	result	VERB
cblr-2931	897	13	in	in	ADP
cblr-2931	897	14	a	a	DET
cblr-2931	897	15	violation	violation	NOUN
cblr-2931	897	16	of	of	ADP
cblr-2931	897	17	the	the	DET
cblr-2931	897	18	securities	security	NOUN
cblr-2931	897	19	laws	law	NOUN
cblr-2931	897	20	'	'	PART
cblr-2931	897	21	antifraud	antifraud	PROPN
cblr-2931	897	22	proscriptions	proscription	NOUN
cblr-2931	897	23	.	.	PUNCT
cblr-2931	898	1	as	as	SCONJ
cblr-2931	898	2	observed	observe	VERB
cblr-2931	898	3	many	many	ADJ
cblr-2931	898	4	years	year	NOUN
cblr-2931	898	5	ago	ago	ADV
cblr-2931	898	6	,	,	PUNCT
cblr-2931	898	7	the	the	DET
cblr-2931	898	8	commission	commission	NOUN
cblr-2931	898	9	is	be	AUX
cblr-2931	898	10	relying	rely	VERB
cblr-2931	898	11	on	on	ADP
cblr-2931	898	12	the	the	DET
cblr-2931	898	13	so	so	ADV
cblr-2931	898	14	-	-	PUNCT
cblr-2931	898	15	called	call	VERB
cblr-2931	898	16	"	"	PUNCT
cblr-2931	898	17	shingle	shingle	NOUN
cblr-2931	898	18	"	"	PUNCT
cblr-2931	898	19	theory	theory	NOUN
cblr-2931	898	20	to	to	PART
cblr-2931	898	21	establish	establish	VERB
cblr-2931	898	22	statutory	statutory	ADJ
cblr-2931	898	23	fraud	fraud	NOUN
cblr-2931	898	24	.	.	PUNCT
cblr-2931	899	1	the	the	DET
cblr-2931	899	2	essence	essence	NOUN
cblr-2931	899	3	of	of	ADP
cblr-2931	899	4	this	this	DET
cblr-2931	899	5	theory	theory	NOUN
cblr-2931	899	6	is	be	AUX
cblr-2931	899	7	that	that	SCONJ
cblr-2931	899	8	in	in	ADP
cblr-2931	899	9	certain	certain	ADJ
cblr-2931	899	10	circumstances	circumstance	NOUN
cblr-2931	899	11	one	one	NUM
cblr-2931	899	12	who	who	PRON
cblr-2931	899	13	sells	sell	VERB
cblr-2931	899	14	securities	security	NOUN
cblr-2931	899	15	to	to	ADP
cblr-2931	899	16	the	the	DET
cblr-2931	899	17	public	public	NOUN
cblr-2931	899	18	-	-	PUNCT
cblr-2931	899	19	who	who	PRON
cblr-2931	899	20	hangs	hang	VERB
cblr-2931	899	21	out	out	ADP
cblr-2931	899	22	his	his	PRON
cblr-2931	899	23	shingle	shingle	NOUN
cblr-2931	899	24	-	-	PUNCT
cblr-2931	899	25	implicitly	implicitly	ADV
cblr-2931	899	26	warrants	warrant	VERB
cblr-2931	899	27	the	the	DET
cblr-2931	899	28	soundness	soundness	NOUN
cblr-2931	899	29	of	of	ADP
cblr-2931	899	30	statements	statement	NOUN
cblr-2931	899	31	of	of	ADP
cblr-2931	899	32	stock	stock	NOUN
cblr-2931	899	33	value	value	NOUN
cblr-2931	899	34	,	,	PUNCT
cblr-2931	899	35	estimates	estimate	NOUN
cblr-2931	899	36	of	of	ADP
cblr-2931	899	37	a	a	DET
cblr-2931	899	38	firm	firm	NOUN
cblr-2931	899	39	's	's	PART
cblr-2931	899	40	earnings	earning	NOUN
cblr-2931	899	41	potential	potential	NOUN
cblr-2931	899	42	,	,	PUNCT
cblr-2931	899	43	and	and	CCONJ
cblr-2931	899	44	the	the	DET
cblr-2931	899	45	like	like	ADJ
cblr-2931	899	46	.	.	PUNCT
cblr-2931	900	1	when	when	SCONJ
cblr-2931	900	2	such	such	DET
cblr-2931	900	3	a	a	DET
cblr-2931	900	4	person	person	NOUN
cblr-2931	900	5	conceals	conceal	VERB
cblr-2931	900	6	known	know	VERB
cblr-2931	900	7	information	information	NOUN
cblr-2931	900	8	inconsistent	inconsistent	ADJ
cblr-2931	900	9	with	with	ADP
cblr-2931	900	10	this	this	DET
cblr-2931	900	11	"	"	PUNCT
cblr-2931	900	12	implicit	implicit	ADJ
cblr-2931	900	13	warranty	warranty	NOUN
cblr-2931	900	14	of	of	ADP
cblr-2931	900	15	soundness	soundness	NOUN
cblr-2931	900	16	"	"	PUNCT
cblr-2931	900	17	he	he	PRON
cblr-2931	900	18	has	have	AUX
cblr-2931	900	19	omitted	omit	VERB
cblr-2931	900	20	a	a	DET
cblr-2931	900	21	material	material	ADJ
cblr-2931	900	22	fact	fact	NOUN
cblr-2931	900	23	without	without	ADP
cblr-2931	900	24	which	which	PRON
cblr-2931	900	25	the	the	DET
cblr-2931	900	26	statements	statement	NOUN
cblr-2931	900	27	made	make	VERB
cblr-2931	900	28	would	would	AUX
cblr-2931	900	29	be	be	AUX
cblr-2931	900	30	misleading	misleading	ADJ
cblr-2931	900	31	....	....	PUNCT
cblr-2931	901	1	one	one	NUM
cblr-2931	901	2	element	element	NOUN
cblr-2931	901	3	of	of	ADP
cblr-2931	901	4	this	this	DET
cblr-2931	901	5	warranty	warranty	NOUN
cblr-2931	901	6	...	...	PUNCT
cblr-2931	901	7	is	be	AUX
cblr-2931	901	8	that	that	SCONJ
cblr-2931	901	9	all	all	DET
cblr-2931	901	10	such	such	ADJ
cblr-2931	901	11	statements	statement	NOUN
cblr-2931	901	12	,	,	PUNCT
cblr-2931	901	13	or	or	CCONJ
cblr-2931	901	14	at	at	ADP
cblr-2931	901	15	least	least	ADJ
cblr-2931	901	16	highly	highly	ADV
cblr-2931	901	17	optimistic	optimistic	ADJ
cblr-2931	901	18	ones	one	NOUN
cblr-2931	901	19	,	,	PUNCT
cblr-2931	901	20	have	have	VERB
cblr-2931	901	21	an	an	DET
cblr-2931	901	22	"	"	PUNCT
cblr-2931	901	23	adequate	adequate	ADJ
cblr-2931	901	24	basis	basis	NOUN
cblr-2931	901	25	.	.	PUNCT
cblr-2931	901	26	"	"	PUNCT
cblr-2931	902	1	if	if	SCONJ
cblr-2931	902	2	the	the	DET
cblr-2931	902	3	salesman	salesman	NOUN
cblr-2931	902	4	makes	make	VERB
cblr-2931	902	5	statements	statement	NOUN
cblr-2931	902	6	,	,	PUNCT
cblr-2931	902	7	knowing	know	VERB
cblr-2931	902	8	they	they	PRON
cblr-2931	902	9	had	have	VERB
cblr-2931	902	10	no	no	DET
cblr-2931	902	11	adequate	adequate	ADJ
cblr-2931	902	12	basis	basis	NOUN
cblr-2931	902	13	,	,	PUNCT
cblr-2931	902	14	or	or	CCONJ
cblr-2931	902	15	if	if	SCONJ
cblr-2931	902	16	he	he	PRON
cblr-2931	902	17	is	be	AUX
cblr-2931	902	18	"	"	PUNCT
cblr-2931	902	19	grossly	grossly	ADV
cblr-2931	902	20	careless	careless	ADJ
cblr-2931	902	21	or	or	CCONJ
cblr-2931	902	22	indifferent	indifferent	ADJ
cblr-2931	902	23	to	to	ADP
cblr-2931	902	24	the	the	DET
cblr-2931	902	25	existence	existence	NOUN
cblr-2931	902	26	of	of	ADP
cblr-2931	902	27	an	an	DET
cblr-2931	902	28	adequate	adequate	ADJ
cblr-2931	902	29	basis	basis	NOUN
cblr-2931	902	30	"	"	PUNCT
cblr-2931	902	31	for	for	ADP
cblr-2931	902	32	his	his	PRON
cblr-2931	902	33	statements	statement	NOUN
cblr-2931	902	34	,	,	PUNCT
cblr-2931	902	35	then	then	ADV
cblr-2931	902	36	he	he	PRON
cblr-2931	902	37	has	have	AUX
cblr-2931	902	38	violated	violate	VERB
cblr-2931	902	39	the	the	DET
cblr-2931	902	40	antifraud	antifraud	PROPN
cblr-2931	902	41	provisions	provision	NOUN
cblr-2931	902	42	of	of	ADP
cblr-2931	902	43	the	the	DET
cblr-2931	902	44	securities	security	NOUN
cblr-2931	902	45	laws	law	NOUN
cblr-2931	902	46	,	,	PUNCT
cblr-2931	902	47	principally	principally	ADV
cblr-2931	902	48	§	§	PROPN
cblr-2931	902	49	17(a)(2	17(a)(2	NUM
cblr-2931	902	50	)	)	PUNCT
cblr-2931	902	51	of	of	ADP
cblr-2931	902	52	the	the	DET
cblr-2931	902	53	securities	security	NOUN
cblr-2931	902	54	act	act	NOUN
cblr-2931	902	55	of	of	ADP
cblr-2931	902	56	1933	1933	NUM
cblr-2931	902	57	.	.	PUNCT
cblr-2931	903	1	kahn	kahn	PROPN
cblr-2931	903	2	v.	v.	PROPN
cblr-2931	903	3	sec	sec	PROPN
cblr-2931	903	4	,	,	PUNCT
cblr-2931	903	5	297	297	NUM
cblr-2931	903	6	f.2d	f.2d	NOUN
cblr-2931	903	7	112	112	NUM
cblr-2931	903	8	,	,	PUNCT
cblr-2931	903	9	115	115	NUM
cblr-2931	903	10	(	(	PUNCT
cblr-2931	903	11	2d	2d	NUM
cblr-2931	903	12	cir	cir	NOUN
cblr-2931	903	13	.	.	PUNCT
cblr-2931	903	14	1961	1961	NUM
cblr-2931	903	15	)	)	PUNCT
cblr-2931	903	16	(	(	PUNCT
cblr-2931	903	17	clark	clark	PROPN
cblr-2931	903	18	,	,	PUNCT
cblr-2931	903	19	j.	j.	PROPN
cblr-2931	903	20	,	,	PUNCT
cblr-2931	903	21	concurring	concur	VERB
cblr-2931	903	22	)	)	PUNCT
cblr-2931	903	23	.	.	PUNCT
cblr-2931	904	1	cf	cf	NOUN
cblr-2931	904	2	in	in	ADP
cblr-2931	904	3	re	re	PROPN
cblr-2931	904	4	thomson	thomson	PROPN
cblr-2931	904	5	mckinnon	mckinnon	PROPN
cblr-2931	904	6	sec	sec	PROPN
cblr-2931	904	7	.	.	PROPN
cblr-2931	904	8	,	,	PUNCT
cblr-2931	904	9	inc	inc	PROPN
cblr-2931	904	10	.	.	PROPN
cblr-2931	904	11	,	,	PUNCT
cblr-2931	904	12	143	143	PROPN
cblr-2931	904	13	b.r	b.r	PROPN
cblr-2931	904	14	.	.	PROPN
cblr-2931	904	15	612	612	NUM
cblr-2931	904	16	,	,	PUNCT
cblr-2931	904	17	619	619	NUM
cblr-2931	904	18	(	(	PUNCT
cblr-2931	904	19	bankr	bankr	PROPN
cblr-2931	904	20	.	.	PUNCT
cblr-2931	905	1	s.d.n.y	s.d.n.y	PROPN
cblr-2931	905	2	.	.	PROPN
cblr-2931	905	3	1992	1992	NUM
cblr-2931	905	4	)	)	PUNCT
cblr-2931	906	1	(	(	PUNCT
cblr-2931	906	2	holding	hold	VERB
cblr-2931	906	3	that	that	SCONJ
cblr-2931	906	4	a	a	DET
cblr-2931	906	5	mortgage	mortgage	NOUN
cblr-2931	906	6	broker	broker	NOUN
cblr-2931	906	7	did	do	AUX
cblr-2931	906	8	not	not	PART
cblr-2931	906	9	have	have	VERB
cblr-2931	906	10	the	the	DET
cblr-2931	906	11	heightened	heighten	VERB
cblr-2931	906	12	duty	duty	NOUN
cblr-2931	906	13	with	with	ADP
cblr-2931	906	14	respect	respect	NOUN
cblr-2931	906	15	to	to	ADP
cblr-2931	906	16	recommendations	recommendation	NOUN
cblr-2931	906	17	that	that	PRON
cblr-2931	906	18	applies	apply	VERB
cblr-2931	906	19	to	to	ADP
cblr-2931	906	20	securities	security	NOUN
cblr-2931	906	21	brokers	broker	NOUN
cblr-2931	906	22	)	)	PUNCT
cblr-2931	906	23	.	.	PUNCT
cblr-2931	907	1	176	176	NUM
cblr-2931	907	2	charles	charles	PROPN
cblr-2931	907	3	hughes	hughes	PROPN
cblr-2931	907	4	&	&	CCONJ
cblr-2931	907	5	co.	co.	PROPN
cblr-2931	907	6	v.	v.	ADP
cblr-2931	907	7	sec	sec	PROPN
cblr-2931	907	8	,	,	PUNCT
cblr-2931	907	9	139	139	NUM
cblr-2931	907	10	f.2d	f.2d	NOUN
cblr-2931	907	11	434	434	NUM
cblr-2931	907	12	,	,	PUNCT
cblr-2931	907	13	437	437	NUM
cblr-2931	907	14	-	-	SYM
cblr-2931	907	15	38	38	NUM
cblr-2931	907	16	(	(	PUNCT
cblr-2931	907	17	2d	2d	NUM
cblr-2931	907	18	cir	cir	NOUN
cblr-2931	907	19	.	.	PUNCT
cblr-2931	907	20	1943	1943	NUM
cblr-2931	907	21	)	)	PUNCT
cblr-2931	907	22	.	.	PUNCT
cblr-2931	908	1	177	177	NUM
cblr-2931	908	2	see	see	VERB
cblr-2931	908	3	,	,	PUNCT
cblr-2931	908	4	e.g.	e.g.	ADV
cblr-2931	908	5	,	,	PUNCT
cblr-2931	908	6	8	8	NUM
cblr-2931	908	7	louis	louis	NOUN
cblr-2931	908	8	loss	loss	NOUN
cblr-2931	908	9	&	&	CCONJ
cblr-2931	908	10	joel	joel	PROPN
cblr-2931	908	11	seligman	seligman	PROPN
cblr-2931	908	12	,	,	PUNCT
cblr-2931	908	13	securities	security	NOUN
cblr-2931	908	14	regulation	regulation	NOUN
cblr-2931	908	15	§	§	PROPN
cblr-2931	908	16	9	9	NUM
cblr-2931	908	17	-	-	PUNCT
cblr-2931	908	18	c-1	c-1	NOUN
cblr-2931	908	19	,	,	PUNCT
cblr-2931	908	20	at	at	ADP
cblr-2931	908	21	3816	3816	NUM
cblr-2931	908	22	-	-	SYM
cblr-2931	908	23	18	18	NUM
cblr-2931	908	24	(	(	PUNCT
cblr-2931	908	25	3d	3d	NUM
cblr-2931	908	26	ed	ed	NOUN
cblr-2931	908	27	.	.	PROPN
cblr-2931	908	28	,	,	PUNCT
cblr-2931	908	29	rev	rev	PROPN
cblr-2931	908	30	.	.	PROPN
cblr-2931	908	31	2004	2004	NUM
cblr-2931	908	32	)	)	PUNCT
cblr-2931	908	33	(	(	PUNCT
cblr-2931	908	34	"	"	PUNCT
cblr-2931	908	35	by	by	ADP
cblr-2931	908	36	now	now	ADV
cblr-2931	908	37	-	-	PUNCT
cblr-2931	908	38	one	one	NOUN
cblr-2931	908	39	may	may	AUX
cblr-2931	908	40	add	add	VERB
cblr-2931	908	41	'	'	PUNCT
cblr-2931	908	42	happily'-the	happily'-the	DET
cblr-2931	908	43	shingle	shingle	NOUN
cblr-2931	908	44	theory	theory	NOUN
cblr-2931	908	45	not	not	PART
cblr-2931	908	46	only	only	ADV
cblr-2931	908	47	is	be	AUX
cblr-2931	908	48	unchallenged	unchallenge	VERB
cblr-2931	908	49	but	but	CCONJ
cblr-2931	908	50	has	have	AUX
cblr-2931	908	51	been	be	AUX
cblr-2931	908	52	considerably	considerably	ADV
cblr-2931	908	53	refined	refine	VERB
cblr-2931	908	54	.	.	PUNCT
cblr-2931	909	1	751	751	NUM
cblr-2931	909	2	noted	note	VERB
cblr-2931	909	3	,	,	PUNCT
cblr-2931	909	4	applying	apply	VERB
cblr-2931	909	5	this	this	DET
cblr-2931	909	6	aspect	aspect	NOUN
cblr-2931	909	7	of	of	ADP
cblr-2931	909	8	shingle	shingle	NOUN
cblr-2931	909	9	theory	theory	NOUN
cblr-2931	909	10	,	,	PUNCT
cblr-2931	909	11	a	a	DET
cblr-2931	909	12	broker	broker	NOUN
cblr-2931	909	13	who	who	PRON
cblr-2931	909	14	makes	make	VERB
cblr-2931	909	15	a	a	DET
cblr-2931	909	16	recommendation	recommendation	NOUN
cblr-2931	909	17	is	be	AUX
cblr-2931	909	18	viewed	view	VERB
cblr-2931	909	19	as	as	ADP
cblr-2931	909	20	making	make	VERB
cblr-2931	909	21	an	an	DET
cblr-2931	909	22	implied	imply	VERB
cblr-2931	909	23	representation	representation	NOUN
cblr-2931	909	24	that	that	SCONJ
cblr-2931	909	25	he	he	PRON
cblr-2931	909	26	or	or	CCONJ
cblr-2931	909	27	she	she	PRON
cblr-2931	909	28	has	have	AUX
cblr-2931	909	29	adequate	adequate	ADJ
cblr-2931	909	30	information	information	NOUN
cblr-2931	909	31	on	on	ADP
cblr-2931	909	32	the	the	DET
cblr-2931	909	33	security	security	NOUN
cblr-2931	909	34	in	in	ADP
cblr-2931	909	35	question	question	NOUN
cblr-2931	909	36	for	for	ADP
cblr-2931	909	37	forming	form	VERB
cblr-2931	909	38	the	the	DET
cblr-2931	909	39	basis	basis	NOUN
cblr-2931	909	40	of	of	ADP
cblr-2931	909	41	the	the	DET
cblr-2931	909	42	broker	broker	NOUN
cblr-2931	909	43	's	's	PART
cblr-2931	909	44	opinion	opinion	NOUN
cblr-2931	909	45	.	.	PUNCT
cblr-2931	910	1	7	7	NUM
cblr-2931	910	2	'	'	PUNCT
cblr-2931	910	3	this	this	DET
cblr-2931	910	4	concept	concept	NOUN
cblr-2931	910	5	of	of	ADP
cblr-2931	910	6	implied	imply	VERB
cblr-2931	910	7	representation	representation	NOUN
cblr-2931	910	8	has	have	AUX
cblr-2931	910	9	also	also	ADV
cblr-2931	910	10	been	be	AUX
cblr-2931	910	11	expressed	express	VERB
cblr-2931	910	12	in	in	ADP
cblr-2931	910	13	terms	term	NOUN
cblr-2931	910	14	of	of	ADP
cblr-2931	910	15	a	a	DET
cblr-2931	910	16	broker	broker	NOUN
cblr-2931	910	17	-	-	PUNCT
cblr-2931	910	18	dealer	dealer	NOUN
cblr-2931	910	19	"	"	PUNCT
cblr-2931	910	20	implicitly	implicitly	ADV
cblr-2931	910	21	warrantling	warrantle	VERB
cblr-2931	910	22	]	]	PUNCT
cblr-2931	910	23	the	the	DET
cblr-2931	910	24	soundness	soundness	NOUN
cblr-2931	910	25	of	of	ADP
cblr-2931	910	26	the	the	DET
cblr-2931	910	27	statements	statement	NOUN
cblr-2931	910	28	of	of	ADP
cblr-2931	910	29	stock	stock	NOUN
cblr-2931	910	30	value	value	NOUN
cblr-2931	910	31	,	,	PUNCT
cblr-2931	910	32	"	"	PUNCT
cblr-2931	910	33	"	"	PUNCT
cblr-2931	910	34	'	'	PUNCT
cblr-2931	910	35	but	but	CCONJ
cblr-2931	910	36	this	this	PRON
cblr-2931	910	37	clearly	clearly	ADV
cblr-2931	910	38	is	be	AUX
cblr-2931	910	39	too	too	ADV
cblr-2931	910	40	broad	broad	ADJ
cblr-2931	910	41	a	a	DET
cblr-2931	910	42	statement	statement	NOUN
cblr-2931	910	43	of	of	ADP
cblr-2931	910	44	the	the	DET
cblr-2931	910	45	rule	rule	NOUN
cblr-2931	910	46	.	.	PUNCT
cblr-2931	911	1	to	to	ADP
cblr-2931	911	2	date	date	NOUN
cblr-2931	911	3	,	,	PUNCT
cblr-2931	911	4	the	the	DET
cblr-2931	911	5	concept	concept	NOUN
cblr-2931	911	6	of	of	ADP
cblr-2931	911	7	implied	imply	VERB
cblr-2931	911	8	warranty	warranty	NOUN
cblr-2931	911	9	has	have	AUX
cblr-2931	911	10	not	not	PART
cblr-2931	911	11	been	be	AUX
cblr-2931	911	12	extended	extend	VERB
cblr-2931	911	13	to	to	ADP
cblr-2931	911	14	brokers	broker	NOUN
cblr-2931	911	15	'	'	PART
cblr-2931	911	16	recommendations	recommendation	NOUN
cblr-2931	911	17	,	,	PUNCT
cblr-2931	911	18	and	and	CCONJ
cblr-2931	911	19	the	the	DET
cblr-2931	911	20	appropriate	appropriate	ADJ
cblr-2931	911	21	standard	standard	NOUN
cblr-2931	911	22	of	of	ADP
cblr-2931	911	23	care	care	NOUN
cblr-2931	911	24	,	,	PUNCT
cblr-2931	911	25	whether	whether	SCONJ
cblr-2931	911	26	under	under	ADP
cblr-2931	911	27	the	the	DET
cblr-2931	911	28	shingle	shingle	NOUN
cblr-2931	911	29	theory	theory	NOUN
cblr-2931	911	30	or	or	CCONJ
cblr-2931	911	31	otherwise	otherwise	ADV
cblr-2931	911	32	,	,	PUNCT
cblr-2931	911	33	is	be	AUX
cblr-2931	911	34	necessarily	necessarily	ADV
cblr-2931	911	35	based	base	VERB
cblr-2931	911	36	upon	upon	SCONJ
cblr-2931	911	37	the	the	DET
cblr-2931	911	38	broker	broker	NOUN
cblr-2931	911	39	-	-	PUNCT
cblr-2931	911	40	dealer	dealer	NOUN
cblr-2931	911	41	's	's	PART
cblr-2931	911	42	factual	factual	ADJ
cblr-2931	911	43	basis	basis	NOUN
cblr-2931	911	44	and	and	CCONJ
cblr-2931	911	45	reasonable	reasonable	ADJ
cblr-2931	911	46	belief	belief	NOUN
cblr-2931	911	47	in	in	ADP
cblr-2931	911	48	the	the	DET
cblr-2931	911	49	opinions	opinion	NOUN
cblr-2931	911	50	that	that	PRON
cblr-2931	911	51	form	form	VERB
cblr-2931	911	52	the	the	DET
cblr-2931	911	53	basis	basis	NOUN
cblr-2931	911	54	of	of	ADP
cblr-2931	911	55	the	the	DET
cblr-2931	911	56	recommendation	recommendation	NOUN
cblr-2931	911	57	.	.	PUNCT
cblr-2931	912	1	furthermore	furthermore	ADV
cblr-2931	912	2	,	,	PUNCT
cblr-2931	912	3	the	the	DET
cblr-2931	912	4	shingle	shingle	NOUN
cblr-2931	912	5	theory	theory	NOUN
cblr-2931	912	6	is	be	AUX
cblr-2931	912	7	sometimes	sometimes	ADV
cblr-2931	912	8	applied	apply	VERB
cblr-2931	912	9	to	to	PART
cblr-2931	912	10	bring	bring	VERB
cblr-2931	912	11	within	within	ADP
cblr-2931	912	12	the	the	DET
cblr-2931	912	13	ambit	ambit	NOUN
cblr-2931	912	14	of	of	ADP
cblr-2931	912	15	the	the	DET
cblr-2931	912	16	sec	sec	PROPN
cblr-2931	912	17	antifraud	antifraud	PROPN
cblr-2931	912	18	rules	rule	VERB
cblr-2931	912	19	those	those	PRON
cblr-2931	912	20	.	.	PUNCT
cblr-2931	912	21	.	.	PUNCT
cblr-2931	912	22	.	.	PUNCT
cblr-2931	913	1	moreover	moreover	ADV
cblr-2931	913	2	the	the	DET
cblr-2931	913	3	potentialities	potentiality	NOUN
cblr-2931	913	4	of	of	ADP
cblr-2931	913	5	the	the	DET
cblr-2931	913	6	'	'	PUNCT
cblr-2931	913	7	shingle	shingle	NOUN
cblr-2931	913	8	'	'	PUNCT
cblr-2931	913	9	theory	theory	NOUN
cblr-2931	913	10	are	be	AUX
cblr-2931	913	11	not	not	PART
cblr-2931	913	12	exhausted	exhaust	VERB
cblr-2931	913	13	by	by	ADP
cblr-2931	913	14	markup	markup	ADJ
cblr-2931	913	15	cases	case	NOUN
cblr-2931	913	16	.	.	PUNCT
cblr-2931	913	17	"	"	PUNCT
cblr-2931	913	18	)	)	PUNCT
cblr-2931	913	19	.	.	PUNCT
cblr-2931	914	1	178	178	NUM
cblr-2931	914	2	see	see	VERB
cblr-2931	914	3	,	,	PUNCT
cblr-2931	914	4	e.g.	e.g.	ADV
cblr-2931	914	5	,	,	PUNCT
cblr-2931	914	6	filloramo	filloramo	PROPN
cblr-2931	914	7	v.	v.	ADP
cblr-2931	914	8	johnston	johnston	PROPN
cblr-2931	914	9	,	,	PUNCT
cblr-2931	914	10	lemon	lemon	PROPN
cblr-2931	914	11	&	&	CCONJ
cblr-2931	914	12	co.	co.	PROPN
cblr-2931	914	13	,	,	PUNCT
cblr-2931	914	14	697	697	NUM
cblr-2931	914	15	f.	f.	PROPN
cblr-2931	914	16	supp	supp	PROPN
cblr-2931	914	17	.	.	PUNCT
cblr-2931	915	1	517	517	NUM
cblr-2931	915	2	,	,	PUNCT
cblr-2931	915	3	521	521	NUM
cblr-2931	915	4	(	(	PUNCT
cblr-2931	915	5	d.d.c	d.d.c	PROPN
cblr-2931	915	6	.	.	PROPN
cblr-2931	915	7	1988	1988	NUM
cblr-2931	915	8	)	)	PUNCT
cblr-2931	915	9	(	(	PUNCT
cblr-2931	915	10	upholding	uphold	VERB
cblr-2931	915	11	complaint	complaint	NOUN
cblr-2931	915	12	against	against	ADP
cblr-2931	915	13	broker	broker	NOUN
cblr-2931	915	14	-	-	PUNCT
cblr-2931	915	15	dealer	dealer	NOUN
cblr-2931	915	16	for	for	ADP
cblr-2931	915	17	alleged	allege	VERB
cblr-2931	915	18	misrepresentations	misrepresentation	NOUN
cblr-2931	915	19	regarding	regard	VERB
cblr-2931	915	20	future	future	ADJ
cblr-2931	915	21	events	event	NOUN
cblr-2931	915	22	;	;	PUNCT
cblr-2931	915	23	absence	absence	NOUN
cblr-2931	915	24	of	of	ADP
cblr-2931	915	25	evidence	evidence	NOUN
cblr-2931	915	26	supporting	support	VERB
cblr-2931	915	27	his	his	PRON
cblr-2931	915	28	predictions	prediction	NOUN
cblr-2931	915	29	could	could	AUX
cblr-2931	915	30	lead	lead	VERB
cblr-2931	915	31	jury	jury	NOUN
cblr-2931	915	32	to	to	PART
cblr-2931	915	33	conclude	conclude	VERB
cblr-2931	915	34	that	that	DET
cblr-2931	915	35	broker	broker	NOUN
cblr-2931	915	36	acted	act	VERB
cblr-2931	915	37	recklessly	recklessly	ADV
cblr-2931	915	38	)	)	PUNCT
cblr-2931	915	39	;	;	PUNCT
cblr-2931	915	40	v.f	v.f	PROPN
cblr-2931	915	41	.	.	PROPN
cblr-2931	915	42	minton	minton	PROPN
cblr-2931	915	43	sec	sec	PROPN
cblr-2931	915	44	.	.	PROPN
cblr-2931	915	45	,	,	PUNCT
cblr-2931	915	46	inc	inc	PROPN
cblr-2931	915	47	.	.	PROPN
cblr-2931	915	48	,	,	PUNCT
cblr-2931	915	49	exchange	exchange	PROPN
cblr-2931	915	50	act	act	PROPN
cblr-2931	915	51	release	release	VERB
cblr-2931	915	52	no	no	PRON
cblr-2931	915	53	.	.	PUNCT
cblr-2931	915	54	32074	32074	NUM
cblr-2931	915	55	,	,	PUNCT
cblr-2931	915	56	fed	fed	PROPN
cblr-2931	915	57	.	.	PUNCT
cblr-2931	916	1	sec	sec	PROPN
cblr-2931	916	2	.	.	PROPN
cblr-2931	916	3	l.	l.	PROPN
cblr-2931	916	4	rep	rep	PROPN
cblr-2931	916	5	.	.	PROPN
cblr-2931	916	6	(	(	PUNCT
cblr-2931	916	7	cch	cch	PROPN
cblr-2931	916	8	)	)	PUNCT
cblr-2931	916	9	85,128	85,128	NUM
cblr-2931	916	10	(	(	PUNCT
cblr-2931	916	11	mar	mar	PROPN
cblr-2931	916	12	.	.	PROPN
cblr-2931	916	13	31	31	NUM
cblr-2931	916	14	,	,	PUNCT
cblr-2931	916	15	1993	1993	NUM
cblr-2931	916	16	)	)	PUNCT
cblr-2931	916	17	(	(	PUNCT
cblr-2931	916	18	sanctioning	sanction	VERB
cblr-2931	916	19	brokerage	brokerage	NOUN
cblr-2931	916	20	firm	firm	NOUN
cblr-2931	916	21	and	and	CCONJ
cblr-2931	916	22	its	its	PRON
cblr-2931	916	23	president	president	NOUN
cblr-2931	916	24	for	for	ADP
cblr-2931	916	25	making	make	VERB
cblr-2931	916	26	recommendations	recommendation	NOUN
cblr-2931	916	27	without	without	ADP
cblr-2931	916	28	an	an	DET
cblr-2931	916	29	adequate	adequate	ADJ
cblr-2931	916	30	basis	basis	NOUN
cblr-2931	916	31	)	)	PUNCT
cblr-2931	916	32	.	.	PUNCT
cblr-2931	917	1	the	the	DET
cblr-2931	917	2	shingle	shingle	NOUN
cblr-2931	917	3	theory	theory	NOUN
cblr-2931	917	4	has	have	VERB
cblr-2931	917	5	a	a	DET
cblr-2931	917	6	long	long	ADJ
cblr-2931	917	7	history	history	NOUN
cblr-2931	917	8	with	with	ADP
cblr-2931	917	9	the	the	DET
cblr-2931	917	10	sec	sec	PROPN
cblr-2931	917	11	.	.	PUNCT
cblr-2931	918	1	see	see	VERB
cblr-2931	918	2	generally	generally	ADV
cblr-2931	918	3	nicholas	nicholas	PROPN
cblr-2931	918	4	wolfson	wolfson	PROPN
cblr-2931	918	5	,	,	PUNCT
cblr-2931	918	6	richard	richard	PROPN
cblr-2931	918	7	m.	m.	PROPN
cblr-2931	918	8	phillips	phillips	PROPN
cblr-2931	918	9	&	&	CCONJ
cblr-2931	918	10	thomas	thomas	PROPN
cblr-2931	918	11	a.	a.	PROPN
cblr-2931	918	12	russo	russo	PROPN
cblr-2931	918	13	,	,	PUNCT
cblr-2931	918	14	regulation	regulation	NOUN
cblr-2931	918	15	of	of	ADP
cblr-2931	918	16	brokers	broker	NOUN
cblr-2931	918	17	,	,	PUNCT
cblr-2931	918	18	dealers	dealer	NOUN
cblr-2931	918	19	and	and	CCONJ
cblr-2931	918	20	securities	security	NOUN
cblr-2931	918	21	markets	market	NOUN
cblr-2931	918	22	2	2	NUM
cblr-2931	918	23	-	-	SYM
cblr-2931	918	24	14	14	NUM
cblr-2931	918	25	-	-	PUNCT
cblr-2931	918	26	2	2	NUM
cblr-2931	918	27	-	-	SYM
cblr-2931	918	28	16	16	NUM
cblr-2931	918	29	(	(	PUNCT
cblr-2931	918	30	1977	1977	NUM
cblr-2931	918	31	)	)	PUNCT
cblr-2931	918	32	(	(	PUNCT
cblr-2931	918	33	discussing	discuss	VERB
cblr-2931	918	34	the	the	DET
cblr-2931	918	35	shingle	shingle	NOUN
cblr-2931	918	36	theory	theory	NOUN
cblr-2931	918	37	and	and	CCONJ
cblr-2931	918	38	brokers	broker	NOUN
cblr-2931	918	39	'	'	PART
cblr-2931	918	40	obligations	obligation	NOUN
cblr-2931	918	41	generally	generally	ADV
cblr-2931	918	42	)	)	PUNCT
cblr-2931	918	43	;	;	PUNCT
cblr-2931	918	44	carol	carol	PROPN
cblr-2931	918	45	r.	r.	PROPN
cblr-2931	918	46	goforth	goforth	PROPN
cblr-2931	918	47	,	,	PUNCT
cblr-2931	918	48	stockbrokers	stockbroker	NOUN
cblr-2931	918	49	'	'	PART
cblr-2931	918	50	duties	duty	NOUN
cblr-2931	918	51	to	to	ADP
cblr-2931	918	52	their	their	PRON
cblr-2931	918	53	customers	customer	NOUN
cblr-2931	918	54	,	,	PUNCT
cblr-2931	918	55	33	33	NUM
cblr-2931	918	56	st	st	PROPN
cblr-2931	918	57	.	.	PROPN
cblr-2931	918	58	louis	louis	PROPN
cblr-2931	918	59	u.	u.	PROPN
cblr-2931	918	60	l.j	l.j	PROPN
cblr-2931	918	61	.	.	PROPN
cblr-2931	918	62	407	407	NUM
cblr-2931	918	63	(	(	PUNCT
cblr-2931	918	64	1989	1989	NUM
cblr-2931	918	65	)	)	PUNCT
cblr-2931	918	66	(	(	PUNCT
cblr-2931	918	67	surveying	survey	VERB
cblr-2931	918	68	securities	security	NOUN
cblr-2931	918	69	brokers	broker	NOUN
cblr-2931	918	70	'	'	PART
cblr-2931	918	71	duties	duty	NOUN
cblr-2931	918	72	)	)	PUNCT
cblr-2931	918	73	;	;	PUNCT
cblr-2931	918	74	donald	donald	PROPN
cblr-2931	918	75	c.	c.	PROPN
cblr-2931	918	76	langevoort	langevoort	PROPN
cblr-2931	918	77	,	,	PUNCT
cblr-2931	918	78	selling	sell	VERB
cblr-2931	918	79	hope	hope	NOUN
cblr-2931	918	80	,	,	PUNCT
cblr-2931	918	81	selling	sell	VERB
cblr-2931	918	82	risk	risk	NOUN
cblr-2931	918	83	:	:	PUNCT
cblr-2931	918	84	some	some	DET
cblr-2931	918	85	lessons	lesson	NOUN
cblr-2931	918	86	for	for	ADP
cblr-2931	918	87	law	law	NOUN
cblr-2931	918	88	from	from	ADP
cblr-2931	918	89	behavioral	behavioral	ADJ
cblr-2931	918	90	economics	economic	NOUN
cblr-2931	918	91	about	about	ADP
cblr-2931	918	92	stockbrokers	stockbroker	NOUN
cblr-2931	918	93	and	and	CCONJ
cblr-2931	918	94	sophisticated	sophisticated	ADJ
cblr-2931	918	95	customers	customer	NOUN
cblr-2931	918	96	,	,	PUNCT
cblr-2931	918	97	84	84	NUM
cblr-2931	918	98	calif	calif	NOUN
cblr-2931	918	99	.	.	PUNCT
cblr-2931	919	1	l.	l.	PROPN
cblr-2931	919	2	rev	rev	PROPN
cblr-2931	919	3	.	.	PROPN
cblr-2931	920	1	627	627	NUM
cblr-2931	920	2	(	(	PUNCT
cblr-2931	920	3	1996	1996	NUM
cblr-2931	920	4	)	)	PUNCT
cblr-2931	920	5	(	(	PUNCT
cblr-2931	920	6	discussing	discuss	VERB
cblr-2931	920	7	brokers	broker	NOUN
cblr-2931	920	8	'	'	PART
cblr-2931	920	9	obligations	obligation	NOUN
cblr-2931	920	10	in	in	ADP
cblr-2931	920	11	the	the	DET
cblr-2931	920	12	context	context	NOUN
cblr-2931	920	13	of	of	ADP
cblr-2931	920	14	sophisticated	sophisticated	ADJ
cblr-2931	920	15	customers	customer	NOUN
cblr-2931	920	16	)	)	PUNCT
cblr-2931	920	17	;	;	PUNCT
cblr-2931	920	18	donald	donald	PROPN
cblr-2931	920	19	c.	c.	PROPN
cblr-2931	920	20	langevoort	langevoort	PROPN
cblr-2931	920	21	,	,	PUNCT
cblr-2931	920	22	fraud	fraud	NOUN
cblr-2931	920	23	and	and	CCONJ
cblr-2931	920	24	deception	deception	NOUN
cblr-2931	920	25	by	by	ADP
cblr-2931	920	26	securities	security	NOUN
cblr-2931	920	27	professionals	professional	NOUN
cblr-2931	920	28	,	,	PUNCT
cblr-2931	920	29	61	61	NUM
cblr-2931	920	30	tex	tex	PROPN
cblr-2931	920	31	.	.	PROPN
cblr-2931	920	32	l.	l.	PROPN
cblr-2931	920	33	rev	rev	PROPN
cblr-2931	920	34	.	.	PROPN
cblr-2931	920	35	1247	1247	NUM
cblr-2931	920	36	(	(	PUNCT
cblr-2931	920	37	1983	1983	NUM
cblr-2931	920	38	)	)	PUNCT
cblr-2931	920	39	(	(	PUNCT
cblr-2931	920	40	discussing	discuss	VERB
cblr-2931	920	41	securities	security	NOUN
cblr-2931	920	42	brokers	broker	NOUN
cblr-2931	920	43	'	'	PART
cblr-2931	920	44	fraud	fraud	NOUN
cblr-2931	920	45	)	)	PUNCT
cblr-2931	920	46	;	;	PUNCT
cblr-2931	920	47	robert	robert	PROPN
cblr-2931	920	48	n.	n.	PROPN
cblr-2931	920	49	leavell	leavell	PROPN
cblr-2931	920	50	,	,	PUNCT
cblr-2931	920	51	investment	investment	NOUN
cblr-2931	920	52	advice	advice	NOUN
cblr-2931	920	53	and	and	CCONJ
cblr-2931	920	54	the	the	DET
cblr-2931	920	55	fraud	fraud	NOUN
cblr-2931	920	56	rules	rule	NOUN
cblr-2931	920	57	,	,	PUNCT
cblr-2931	920	58	65	65	NUM
cblr-2931	920	59	mich	mich	PROPN
cblr-2931	920	60	.	.	PUNCT
cblr-2931	921	1	l.	l.	PROPN
cblr-2931	921	2	rev	rev	PROPN
cblr-2931	921	3	.	.	PROPN
cblr-2931	921	4	1569	1569	NUM
cblr-2931	921	5	(	(	PUNCT
cblr-2931	921	6	1967	1967	NUM
cblr-2931	921	7	)	)	PUNCT
cblr-2931	921	8	(	(	PUNCT
cblr-2931	921	9	discussing	discuss	VERB
cblr-2931	921	10	duties	duty	NOUN
cblr-2931	921	11	associated	associate	VERB
cblr-2931	921	12	with	with	ADP
cblr-2931	921	13	the	the	DET
cblr-2931	921	14	giving	giving	NOUN
cblr-2931	921	15	of	of	ADP
cblr-2931	921	16	investment	investment	NOUN
cblr-2931	921	17	advice	advice	NOUN
cblr-2931	921	18	)	)	PUNCT
cblr-2931	921	19	.	.	PUNCT
cblr-2931	922	1	but	but	CCONJ
cblr-2931	922	2	see	see	VERB
cblr-2931	922	3	roberta	roberta	PROPN
cblr-2931	922	4	s.	s.	PROPN
cblr-2931	922	5	karmel	karmel	PROPN
cblr-2931	922	6	,	,	PUNCT
cblr-2931	922	7	is	be	AUX
cblr-2931	922	8	the	the	DET
cblr-2931	922	9	shingle	shingle	NOUN
cblr-2931	922	10	theory	theory	NOUN
cblr-2931	922	11	dead	dead	ADJ
cblr-2931	922	12	?	?	PUNCT
cblr-2931	922	13	,	,	PUNCT
cblr-2931	922	14	52	52	NUM
cblr-2931	922	15	wash	wash	NOUN
cblr-2931	922	16	.	.	PUNCT
cblr-2931	922	17	&	&	CCONJ
cblr-2931	922	18	lee	lee	PROPN
cblr-2931	922	19	l.	l.	PROPN
cblr-2931	922	20	rev	rev	PROPN
cblr-2931	922	21	.	.	PROPN
cblr-2931	922	22	1271	1271	NUM
cblr-2931	922	23	(	(	PUNCT
cblr-2931	922	24	1995	1995	NUM
cblr-2931	922	25	)	)	PUNCT
cblr-2931	922	26	.	.	PUNCT
cblr-2931	923	1	19	19	NUM
cblr-2931	923	2	kahn	kahn	PROPN
cblr-2931	923	3	v.	v.	ADP
cblr-2931	923	4	sec	sec	PROPN
cblr-2931	923	5	,	,	PUNCT
cblr-2931	923	6	297	297	NUM
cblr-2931	923	7	f.2d	f.2d	NOUN
cblr-2931	923	8	112	112	NUM
cblr-2931	923	9	,	,	PUNCT
cblr-2931	923	10	115	115	NUM
cblr-2931	923	11	(	(	PUNCT
cblr-2931	923	12	2d	2d	NUM
cblr-2931	923	13	cir	cir	NOUN
cblr-2931	923	14	.	.	PUNCT
cblr-2931	923	15	1961	1961	NUM
cblr-2931	923	16	)	)	PUNCT
cblr-2931	923	17	(	(	PUNCT
cblr-2931	923	18	clark	clark	PROPN
cblr-2931	923	19	j.	j.	PROPN
cblr-2931	923	20	,	,	PUNCT
cblr-2931	923	21	concurring	concur	VERB
cblr-2931	923	22	)	)	PUNCT
cblr-2931	923	23	.	.	PUNCT
cblr-2931	924	1	[	[	X
cblr-2931	924	2	vol	vol	NOUN
cblr-2931	924	3	.	.	PUNCT
cblr-2931	924	4	2010752	2010752	NUM
cblr-2931	924	5	col	col	PROPN
cblr-2931	924	6	umia	umia	PROPN
cblr-2931	924	7	b	b	PROPN
cblr-2931	924	8	usiness	usiness	PROPN
cblr-2931	924	9	la	la	PROPN
cblr-2931	924	10	w	w	PROPN
cblr-2931	924	11	re	re	PROPN
cblr-2931	924	12	vie	vie	PROPN
cblr-2931	924	13	w	w	PROPN
cblr-2931	924	14	no.3:710	no.3:710	PROPN
cblr-2931	924	15	]	]	PUNCT
cblr-2931	924	16	are	be	AUX
cblr-2931	924	17	existing	exist	VERB
cblr-2931	924	18	stock	stock	NOUN
cblr-2931	924	19	broker	broker	NOUN
cblr-2931	924	20	standards	standard	NOUN
cblr-2931	924	21	sufficient	sufficient	ADJ
cblr-2931	924	22	?	?	PUNCT
cblr-2931	925	1	activities	activity	NOUN
cblr-2931	925	2	of	of	ADP
cblr-2931	925	3	the	the	DET
cblr-2931	925	4	broker	broker	NOUN
cblr-2931	925	5	which	which	PRON
cblr-2931	925	6	otherwise	otherwise	ADV
cblr-2931	925	7	might	might	AUX
cblr-2931	925	8	not	not	PART
cblr-2931	925	9	fall	fall	VERB
cblr-2931	925	10	within	within	ADP
cblr-2931	925	11	the	the	DET
cblr-2931	925	12	literal	literal	ADJ
cblr-2931	925	13	application	application	NOUN
cblr-2931	925	14	of	of	ADP
cblr-2931	925	15	those	those	DET
cblr-2931	925	16	rules	rule	NOUN
cblr-2931	925	17	.	.	PUNCT
cblr-2931	926	1	in	in	ADP
cblr-2931	926	2	many	many	ADJ
cblr-2931	926	3	of	of	ADP
cblr-2931	926	4	these	these	DET
cblr-2931	926	5	cases	case	NOUN
cblr-2931	926	6	,	,	PUNCT
cblr-2931	926	7	brokers	broker	NOUN
cblr-2931	926	8	have	have	AUX
cblr-2931	926	9	held	hold	VERB
cblr-2931	926	10	themselves	themselves	PRON
cblr-2931	926	11	out	out	ADP
cblr-2931	926	12	as	as	ADP
cblr-2931	926	13	having	having	AUX
cblr-2931	926	14	complied	comply	VERB
cblr-2931	926	15	with	with	ADP
cblr-2931	926	16	sec	sec	PROPN
cblr-2931	926	17	regulations	regulation	NOUN
cblr-2931	926	18	.	.	PUNCT
cblr-2931	927	1	those	those	DET
cblr-2931	927	2	activities	activity	NOUN
cblr-2931	927	3	that	that	PRON
cblr-2931	927	4	have	have	AUX
cblr-2931	927	5	been	be	AUX
cblr-2931	927	6	used	use	VERB
cblr-2931	927	7	as	as	ADP
cblr-2931	927	8	a	a	DET
cblr-2931	927	9	basis	basis	NOUN
cblr-2931	927	10	for	for	ADP
cblr-2931	927	11	accountability	accountability	NOUN
cblr-2931	927	12	,	,	PUNCT
cblr-2931	927	13	and	and	CCONJ
cblr-2931	927	14	in	in	ADP
cblr-2931	927	15	some	some	DET
cblr-2931	927	16	cases	case	NOUN
cblr-2931	927	17	liability	liability	NOUN
cblr-2931	927	18	,	,	PUNCT
cblr-2931	927	19	include	include	VERB
cblr-2931	927	20	undisclosed	undisclosed	ADJ
cblr-2931	927	21	insolvency	insolvency	NOUN
cblr-2931	927	22	,	,	PUNCT
cblr-2931	927	23	'	'	PUNCT
cblr-2931	927	24	egregious	egregious	ADJ
cblr-2931	927	25	failures	failure	NOUN
cblr-2931	927	26	to	to	PART
cblr-2931	927	27	comply	comply	VERB
cblr-2931	927	28	with	with	ADP
cblr-2931	927	29	sec	sec	PROPN
cblr-2931	927	30	bookkeeping	bookkeeping	NOUN
cblr-2931	927	31	requirements,'8	requirements,'8	NOUN
cblr-2931	927	32	'	'	PUNCT
cblr-2931	927	33	and	and	CCONJ
cblr-2931	927	34	noncompliance	noncompliance	NOUN
cblr-2931	927	35	with	with	ADP
cblr-2931	927	36	net	net	ADJ
cblr-2931	927	37	capital	capital	NOUN
cblr-2931	927	38	requirements	requirement	NOUN
cblr-2931	927	39	.	.	PUNCT
cblr-2931	928	1	'8	'8	NUM
cblr-2931	929	1	2	2	NUM
cblr-2931	929	2	also	also	ADV
cblr-2931	929	3	,	,	PUNCT
cblr-2931	929	4	the	the	DET
cblr-2931	929	5	sec	sec	PROPN
cblr-2931	929	6	has	have	AUX
cblr-2931	929	7	referred	refer	VERB
cblr-2931	929	8	to	to	ADP
cblr-2931	929	9	the	the	DET
cblr-2931	929	10	shingle	shingle	NOUN
cblr-2931	929	11	theory	theory	NOUN
cblr-2931	929	12	as	as	ADP
cblr-2931	929	13	governing	govern	VERB
cblr-2931	929	14	the	the	DET
cblr-2931	929	15	broker	broker	NOUN
cblr-2931	929	16	's	's	PART
cblr-2931	929	17	obligations	obligation	NOUN
cblr-2931	929	18	with	with	ADP
cblr-2931	929	19	regards	regard	NOUN
cblr-2931	929	20	to	to	ADP
cblr-2931	929	21	execution	execution	NOUN
cblr-2931	929	22	of	of	ADP
cblr-2931	929	23	customer	customer	NOUN
cblr-2931	929	24	orders	order	NOUN
cblr-2931	929	25	.	.	PUNCT
cblr-2931	929	26	'	'	PUNCT
cblr-2931	930	1	3	3	NUM
cblr-2931	930	2	therefore	therefore	ADV
cblr-2931	930	3	,	,	PUNCT
cblr-2931	930	4	the	the	DET
cblr-2931	930	5	sec	sec	PROPN
cblr-2931	930	6	has	have	AUX
cblr-2931	930	7	clearly	clearly	ADV
cblr-2931	930	8	demonstrated	demonstrate	VERB
cblr-2931	930	9	that	that	SCONJ
cblr-2931	930	10	prohibited	prohibit	VERB
cblr-2931	930	11	conduct	conduct	NOUN
cblr-2931	930	12	is	be	AUX
cblr-2931	930	13	not	not	PART
cblr-2931	930	14	limited	limit	VERB
cblr-2931	930	15	to	to	ADP
cblr-2931	930	16	violation	violation	NOUN
cblr-2931	930	17	of	of	ADP
cblr-2931	930	18	any	any	DET
cblr-2931	930	19	specified	specified	ADJ
cblr-2931	930	20	,	,	PUNCT
cblr-2931	930	21	enumerated	enumerate	VERB
cblr-2931	930	22	sec	sec	PROPN
cblr-2931	930	23	rules	rule	NOUN
cblr-2931	930	24	,	,	PUNCT
cblr-2931	930	25	but	but	CCONJ
cblr-2931	930	26	instead	instead	ADV
cblr-2931	930	27	covers	cover	VERB
cblr-2931	930	28	all	all	DET
cblr-2931	930	29	behavior	behavior	NOUN
cblr-2931	930	30	that	that	PRON
cblr-2931	930	31	amounts	amount	VERB
cblr-2931	930	32	to	to	ADP
cblr-2931	930	33	a	a	DET
cblr-2931	930	34	deceptive	deceptive	ADJ
cblr-2931	930	35	or	or	CCONJ
cblr-2931	930	36	manipulative	manipulative	ADJ
cblr-2931	930	37	device	device	NOUN
cblr-2931	930	38	.	.	PUNCT
cblr-2931	930	39	'	'	PUNCT
cblr-2931	931	1	the	the	DET
cblr-2931	931	2	180	180	NUM
cblr-2931	931	3	sec	sec	PROPN
cblr-2931	931	4	v.	v.	PROPN
cblr-2931	931	5	resch	resch	PROPN
cblr-2931	931	6	-	-	PUNCT
cblr-2931	931	7	cassin	cassin	PROPN
cblr-2931	931	8	&	&	CCONJ
cblr-2931	931	9	co.	co.	PROPN
cblr-2931	931	10	,	,	PUNCT
cblr-2931	931	11	362	362	NUM
cblr-2931	931	12	f.	f.	PROPN
cblr-2931	931	13	supp	supp	PROPN
cblr-2931	931	14	.	.	PUNCT
cblr-2931	932	1	964	964	NUM
cblr-2931	932	2	,	,	PUNCT
cblr-2931	932	3	979	979	NUM
cblr-2931	932	4	(	(	PUNCT
cblr-2931	932	5	s.d.n.y	s.d.n.y	PROPN
cblr-2931	932	6	.	.	PROPN
cblr-2931	932	7	1973	1973	NUM
cblr-2931	932	8	)	)	PUNCT
cblr-2931	932	9	;	;	PUNCT
cblr-2931	932	10	see	see	VERB
cblr-2931	932	11	also	also	ADV
cblr-2931	933	1	brennan	brennan	PROPN
cblr-2931	933	2	v.	v.	ADP
cblr-2931	933	3	midwestern	midwestern	ADJ
cblr-2931	933	4	united	united	PROPN
cblr-2931	933	5	life	life	PROPN
cblr-2931	933	6	ins	ins	PROPN
cblr-2931	933	7	.	.	PUNCT
cblr-2931	933	8	co.	co.	PROPN
cblr-2931	933	9	,	,	PUNCT
cblr-2931	933	10	286	286	NUM
cblr-2931	933	11	f.	f.	PROPN
cblr-2931	933	12	supp	supp	PROPN
cblr-2931	933	13	.	.	PUNCT
cblr-2931	934	1	702	702	NUM
cblr-2931	934	2	,	,	PUNCT
cblr-2931	934	3	707	707	NUM
cblr-2931	934	4	(	(	PUNCT
cblr-2931	934	5	n.d	n.d	PROPN
cblr-2931	934	6	.	.	PROPN
cblr-2931	934	7	ind	ind	PROPN
cblr-2931	934	8	.	.	PUNCT
cblr-2931	935	1	1968	1968	NUM
cblr-2931	935	2	)	)	PUNCT
cblr-2931	935	3	,	,	PUNCT
cblr-2931	935	4	affd	affd	VERB
cblr-2931	935	5	417	417	NUM
cblr-2931	935	6	f.2d	f.2d	NOUN
cblr-2931	935	7	147	147	NUM
cblr-2931	935	8	(	(	PUNCT
cblr-2931	935	9	7th	7th	ADJ
cblr-2931	935	10	cir	cir	NOUN
cblr-2931	935	11	.	.	PROPN
cblr-2931	935	12	1969	1969	NUM
cblr-2931	935	13	)	)	PUNCT
cblr-2931	935	14	.	.	PUNCT
cblr-2931	935	15	...	...	PUNCT
cblr-2931	936	1	joseph	joseph	PROPN
cblr-2931	936	2	v.	v.	PROPN
cblr-2931	936	3	shields	shields	PROPN
cblr-2931	936	4	,	,	PUNCT
cblr-2931	936	5	jr	jr	PROPN
cblr-2931	936	6	.	.	PROPN
cblr-2931	936	7	,	,	PUNCT
cblr-2931	936	8	exchange	exchange	PROPN
cblr-2931	936	9	act	act	PROPN
cblr-2931	936	10	release	release	VERB
cblr-2931	936	11	no	no	DET
cblr-2931	936	12	.	.	NOUN
cblr-2931	936	13	8484	8484	NUM
cblr-2931	936	14	,	,	PUNCT
cblr-2931	936	15	[	[	X
cblr-2931	936	16	1967	1967	NUM
cblr-2931	936	17	-	-	SYM
cblr-2931	936	18	1969	1969	NUM
cblr-2931	936	19	transfer	transfer	NOUN
cblr-2931	936	20	binder	binder	NOUN
cblr-2931	936	21	]	]	PUNCT
cblr-2931	936	22	fed	fed	PROPN
cblr-2931	936	23	.	.	PUNCT
cblr-2931	937	1	sec	sec	PROPN
cblr-2931	937	2	.	.	PROPN
cblr-2931	937	3	l.	l.	PROPN
cblr-2931	937	4	rep	rep	PROPN
cblr-2931	937	5	.	.	PROPN
cblr-2931	937	6	(	(	PUNCT
cblr-2931	937	7	cch	cch	PROPN
cblr-2931	937	8	)	)	PUNCT
cblr-2931	937	9	1	1	NUM
cblr-2931	937	10	77,643	77,643	NUM
cblr-2931	937	11	(	(	PUNCT
cblr-2931	937	12	jan	jan	PROPN
cblr-2931	937	13	.	.	PROPN
cblr-2931	937	14	3	3	NUM
cblr-2931	937	15	,	,	PUNCT
cblr-2931	937	16	1969	1969	NUM
cblr-2931	937	17	)	)	PUNCT
cblr-2931	937	18	.	.	PUNCT
cblr-2931	938	1	182	182	NUM
cblr-2931	938	2	sec	sec	PROPN
cblr-2931	938	3	v.	v.	PROPN
cblr-2931	938	4	charles	charles	PROPN
cblr-2931	938	5	plohn	plohn	PROPN
cblr-2931	938	6	&	&	CCONJ
cblr-2931	938	7	co.	co.	PROPN
cblr-2931	938	8	,	,	PUNCT
cblr-2931	938	9	433	433	NUM
cblr-2931	938	10	f.2d	f.2d	ADP
cblr-2931	938	11	376	376	NUM
cblr-2931	938	12	(	(	PUNCT
cblr-2931	938	13	2d	2d	NUM
cblr-2931	938	14	cir	cir	NOUN
cblr-2931	938	15	.	.	PROPN
cblr-2931	938	16	1970	1970	NUM
cblr-2931	938	17	)	)	PUNCT
cblr-2931	938	18	;	;	PUNCT
cblr-2931	938	19	see	see	VERB
cblr-2931	938	20	also	also	ADV
cblr-2931	938	21	joseph	joseph	PROPN
cblr-2931	938	22	,	,	PUNCT
cblr-2931	938	23	supra	supra	PROPN
cblr-2931	938	24	note	note	NOUN
cblr-2931	938	25	181	181	NUM
cblr-2931	938	26	.	.	PUNCT
cblr-2931	939	1	for	for	ADP
cblr-2931	939	2	other	other	ADJ
cblr-2931	939	3	decisions	decision	NOUN
cblr-2931	939	4	employing	employ	VERB
cblr-2931	939	5	the	the	DET
cblr-2931	939	6	shingle	shingle	NOUN
cblr-2931	939	7	theory	theory	NOUN
cblr-2931	939	8	,	,	PUNCT
cblr-2931	939	9	see	see	VERB
cblr-2931	939	10	,	,	PUNCT
cblr-2931	939	11	for	for	ADP
cblr-2931	939	12	example	example	NOUN
cblr-2931	939	13	,	,	PUNCT
cblr-2931	939	14	hanly	hanly	ADV
cblr-2931	939	15	v.	v.	ADP
cblr-2931	939	16	sec	sec	PROPN
cblr-2931	939	17	,	,	PUNCT
cblr-2931	939	18	415	415	NUM
cblr-2931	939	19	f.2d	f.2d	SYM
cblr-2931	939	20	589	589	NUM
cblr-2931	939	21	(	(	PUNCT
cblr-2931	939	22	2d	2d	NUM
cblr-2931	939	23	cir	cir	NOUN
cblr-2931	939	24	.	.	PROPN
cblr-2931	939	25	1969	1969	NUM
cblr-2931	939	26	)	)	PUNCT
cblr-2931	939	27	;	;	PUNCT
cblr-2931	939	28	hamilton	hamilton	PROPN
cblr-2931	939	29	waters	waters	PROPN
cblr-2931	939	30	&	&	CCONJ
cblr-2931	939	31	co.	co.	PROPN
cblr-2931	939	32	,	,	PUNCT
cblr-2931	939	33	exchange	exchange	NOUN
cblr-2931	939	34	act	act	PROPN
cblr-2931	939	35	release	release	VERB
cblr-2931	939	36	no	no	PRON
cblr-2931	939	37	.	.	NOUN
cblr-2931	939	38	7725	7725	NUM
cblr-2931	939	39	,	,	PUNCT
cblr-2931	939	40	1965	1965	NUM
cblr-2931	939	41	wl	wl	NOUN
cblr-2931	939	42	87585	87585	NUM
cblr-2931	939	43	(	(	PUNCT
cblr-2931	939	44	oct	oct	PROPN
cblr-2931	939	45	.	.	PROPN
cblr-2931	939	46	18	18	NUM
cblr-2931	939	47	,	,	PUNCT
cblr-2931	939	48	1965	1965	NUM
cblr-2931	939	49	)	)	PUNCT
cblr-2931	939	50	;	;	PUNCT
cblr-2931	939	51	in	in	ADP
cblr-2931	939	52	the	the	DET
cblr-2931	939	53	matter	matter	NOUN
cblr-2931	939	54	of	of	ADP
cblr-2931	939	55	b.	b.	PROPN
cblr-2931	939	56	fennekohl	fennekohl	PROPN
cblr-2931	939	57	&	&	CCONJ
cblr-2931	939	58	co.	co.	PROPN
cblr-2931	939	59	,	,	PUNCT
cblr-2931	939	60	exchange	exchange	NOUN
cblr-2931	939	61	act	act	PROPN
cblr-2931	939	62	release	release	VERB
cblr-2931	939	63	no	no	NOUN
cblr-2931	939	64	.	.	NOUN
cblr-2931	939	65	6898	6898	NUM
cblr-2931	939	66	,	,	PUNCT
cblr-2931	939	67	1962	1962	NUM
cblr-2931	939	68	wl	wl	NOUN
cblr-2931	939	69	68130	68130	NUM
cblr-2931	939	70	(	(	PUNCT
cblr-2931	939	71	sept	sept	PROPN
cblr-2931	939	72	.	.	PROPN
cblr-2931	939	73	18	18	NUM
cblr-2931	939	74	,	,	PUNCT
cblr-2931	939	75	1962	1962	NUM
cblr-2931	939	76	)	)	PUNCT
cblr-2931	939	77	;	;	PUNCT
cblr-2931	939	78	alexander	alexander	PROPN
cblr-2931	939	79	reid	reid	PROPN
cblr-2931	939	80	&	&	CCONJ
cblr-2931	939	81	co.	co.	PROPN
cblr-2931	939	82	,	,	PUNCT
cblr-2931	939	83	exchange	exchange	NOUN
cblr-2931	939	84	act	act	PROPN
cblr-2931	939	85	release	release	VERB
cblr-2931	939	86	no	no	NOUN
cblr-2931	939	87	.	.	NOUN
cblr-2931	939	88	6727	6727	NUM
cblr-2931	939	89	,	,	PUNCT
cblr-2931	939	90	1962	1962	NUM
cblr-2931	939	91	wl	wl	SYM
cblr-2931	939	92	68704	68704	NUM
cblr-2931	939	93	(	(	PUNCT
cblr-2931	939	94	feb	feb	PROPN
cblr-2931	939	95	.	.	PROPN
cblr-2931	939	96	8	8	NUM
cblr-2931	939	97	,	,	PUNCT
cblr-2931	939	98	1962	1962	NUM
cblr-2931	939	99	)	)	PUNCT
cblr-2931	939	100	;	;	PUNCT
cblr-2931	939	101	duker	duker	NOUN
cblr-2931	939	102	&	&	CCONJ
cblr-2931	939	103	duker	duker	PROPN
cblr-2931	939	104	,	,	PUNCT
cblr-2931	939	105	exchange	exchange	NOUN
cblr-2931	939	106	act	act	NOUN
cblr-2931	939	107	release	release	VERB
cblr-2931	939	108	no	no	NOUN
cblr-2931	939	109	.	.	NOUN
cblr-2931	939	110	2350	2350	NUM
cblr-2931	939	111	,	,	PUNCT
cblr-2931	939	112	1939	1939	NUM
cblr-2931	939	113	wl	wl	NOUN
cblr-2931	939	114	36426	36426	NUM
cblr-2931	939	115	(	(	PUNCT
cblr-2931	939	116	dec	dec	PROPN
cblr-2931	939	117	.	.	PROPN
cblr-2931	939	118	19	19	NUM
cblr-2931	939	119	,	,	PUNCT
cblr-2931	939	120	1939	1939	NUM
cblr-2931	939	121	)	)	PUNCT
cblr-2931	939	122	.	.	PUNCT
cblr-2931	940	1	1	1	X
cblr-2931	940	2	"	"	PUNCT
cblr-2931	940	3	see	see	VERB
cblr-2931	940	4	,	,	PUNCT
cblr-2931	940	5	e.g.	e.g.	ADV
cblr-2931	940	6	,	,	PUNCT
cblr-2931	940	7	richardt	richardt	ADJ
cblr-2931	940	8	-	-	PUNCT
cblr-2931	940	9	alyn	alyn	PROPN
cblr-2931	940	10	&	&	CCONJ
cblr-2931	940	11	co.	co.	PROPN
cblr-2931	940	12	,	,	PUNCT
cblr-2931	940	13	exchange	exchange	NOUN
cblr-2931	940	14	act	act	PROPN
cblr-2931	940	15	release	release	VERB
cblr-2931	940	16	no	no	NOUN
cblr-2931	940	17	.	.	NOUN
cblr-2931	940	18	151	151	NUM
cblr-2931	940	19	,	,	PUNCT
cblr-2931	940	20	1999	1999	NUM
cblr-2931	940	21	wl	wl	NOUN
cblr-2931	940	22	777449	777449	NUM
cblr-2931	940	23	,	,	PUNCT
cblr-2931	940	24	at	at	ADP
cblr-2931	940	25	*	*	PROPN
cblr-2931	940	26	13	13	NUM
cblr-2931	940	27	(	(	PUNCT
cblr-2931	940	28	sept	sept	PROPN
cblr-2931	940	29	.	.	PROPN
cblr-2931	940	30	30	30	NUM
cblr-2931	940	31	,	,	PUNCT
cblr-2931	940	32	1999	1999	NUM
cblr-2931	940	33	)	)	PUNCT
cblr-2931	940	34	(	(	PUNCT
cblr-2931	940	35	"	"	PUNCT
cblr-2931	940	36	the	the	DET
cblr-2931	940	37	commission	commission	NOUN
cblr-2931	940	38	has	have	AUX
cblr-2931	940	39	variously	variously	ADV
cblr-2931	940	40	articulated	articulate	VERB
cblr-2931	940	41	this	this	DET
cblr-2931	940	42	duty	duty	NOUN
cblr-2931	940	43	[	[	X
cblr-2931	940	44	the	the	DET
cblr-2931	940	45	best	good	ADJ
cblr-2931	940	46	execution	execution	NOUN
cblr-2931	940	47	obligation	obligation	NOUN
cblr-2931	940	48	]	]	PUNCT
cblr-2931	940	49	in	in	ADP
cblr-2931	940	50	terms	term	NOUN
cblr-2931	940	51	of	of	ADP
cblr-2931	940	52	the	the	DET
cblr-2931	940	53	'	'	PUNCT
cblr-2931	940	54	shingle	shingle	NOUN
cblr-2931	940	55	'	'	PUNCT
cblr-2931	940	56	theory	theory	NOUN
cblr-2931	940	57	,	,	PUNCT
cblr-2931	940	58	a	a	DET
cblr-2931	940	59	relationship	relationship	NOUN
cblr-2931	940	60	of	of	ADP
cblr-2931	940	61	trust	trust	NOUN
cblr-2931	940	62	and	and	CCONJ
cblr-2931	940	63	confidence	confidence	NOUN
cblr-2931	940	64	,	,	PUNCT
cblr-2931	940	65	and	and	CCONJ
cblr-2931	940	66	agency	agency	NOUN
cblr-2931	940	67	"	"	PUNCT
cblr-2931	940	68	)	)	PUNCT
cblr-2931	940	69	(	(	PUNCT
cblr-2931	940	70	citing	cite	VERB
cblr-2931	940	71	order	order	NOUN
cblr-2931	940	72	execution	execution	NOUN
cblr-2931	940	73	obligations	obligation	NOUN
cblr-2931	940	74	,	,	PUNCT
cblr-2931	940	75	62	62	NUM
cblr-2931	940	76	sec	sec	PROPN
cblr-2931	940	77	docket	docket	NOUN
cblr-2931	940	78	at	at	ADP
cblr-2931	940	79	2242	2242	NUM
cblr-2931	940	80	-	-	SYM
cblr-2931	940	81	44	44	NUM
cblr-2931	940	82	)	)	PUNCT
cblr-2931	940	83	;	;	PUNCT
cblr-2931	940	84	newton	newton	PROPN
cblr-2931	940	85	v.	v.	PROPN
cblr-2931	940	86	merrill	merrill	PROPN
cblr-2931	940	87	lynch	lynch	PROPN
cblr-2931	940	88	,	,	PUNCT
cblr-2931	940	89	pierce	pierce	PROPN
cblr-2931	940	90	,	,	PUNCT
cblr-2931	940	91	fenner	fenner	PROPN
cblr-2931	940	92	&	&	CCONJ
cblr-2931	940	93	smith	smith	PROPN
cblr-2931	940	94	,	,	PUNCT
cblr-2931	940	95	inc	inc	PROPN
cblr-2931	940	96	.	.	PROPN
cblr-2931	940	97	,	,	PUNCT
cblr-2931	940	98	135	135	NUM
cblr-2931	940	99	f.3d	f.3d	NUM
cblr-2931	940	100	266	266	NUM
cblr-2931	940	101	,	,	PUNCT
cblr-2931	940	102	270	270	NUM
cblr-2931	940	103	(	(	PUNCT
cblr-2931	940	104	3d	3d	NUM
cblr-2931	940	105	cir	cir	NOUN
cblr-2931	940	106	.	.	PUNCT
cblr-2931	940	107	1998	1998	NUM
cblr-2931	940	108	)	)	PUNCT
cblr-2931	940	109	;	;	PUNCT
cblr-2931	940	110	e.f	e.f	PROPN
cblr-2931	940	111	.	.	PROPN
cblr-2931	940	112	hutton	hutton	PROPN
cblr-2931	940	113	&	&	CCONJ
cblr-2931	940	114	co.	co.	PROPN
cblr-2931	940	115	,	,	PUNCT
cblr-2931	940	116	exchange	exchange	NOUN
cblr-2931	940	117	act	act	PROPN
cblr-2931	940	118	release	release	VERB
cblr-2931	940	119	no	no	NOUN
cblr-2931	940	120	.	.	NOUN
cblr-2931	940	121	34	34	NUM
cblr-2931	940	122	-	-	SYM
cblr-2931	940	123	25887	25887	NUM
cblr-2931	940	124	,	,	PUNCT
cblr-2931	940	125	41	41	NUM
cblr-2931	940	126	sec	sec	PROPN
cblr-2931	940	127	docket	docket	NOUN
cblr-2931	940	128	413	413	NUM
cblr-2931	940	129	,	,	PUNCT
cblr-2931	940	130	1988	1988	NUM
cblr-2931	940	131	wl	wl	PROPN
cblr-2931	940	132	901859	901859	NUM
cblr-2931	940	133	(	(	PUNCT
cblr-2931	940	134	july	july	PROPN
cblr-2931	940	135	6	6	NUM
cblr-2931	940	136	,	,	PUNCT
cblr-2931	940	137	1988	1988	NUM
cblr-2931	940	138	)	)	PUNCT
cblr-2931	940	139	;	;	PUNCT
cblr-2931	940	140	randall	randall	PROPN
cblr-2931	940	141	w.	w.	PROPN
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cblr-2931	940	143	,	,	PUNCT
cblr-2931	940	144	deja	deja	NOUN
cblr-2931	940	145	vu	vu	NOUN
cblr-2931	940	146	all	all	ADV
cblr-2931	940	147	over	over	ADV
cblr-2931	940	148	again	again	ADV
cblr-2931	940	149	:	:	PUNCT
cblr-2931	940	150	the	the	DET
cblr-2931	940	151	sec	sec	PROPN
cblr-2931	940	152	's	's	PART
cblr-2931	940	153	return	return	NOUN
cblr-2931	940	154	to	to	ADP
cblr-2931	940	155	agency	agency	NOUN
cblr-2931	940	156	theory	theory	NOUN
cblr-2931	940	157	in	in	ADP
cblr-2931	940	158	regulating	regulate	VERB
cblr-2931	940	159	brokerdealers	brokerdealer	NOUN
cblr-2931	940	160	,	,	PUNCT
cblr-2931	940	161	1990	1990	NUM
cblr-2931	940	162	colum	colum	NOUN
cblr-2931	940	163	.	.	PUNCT
cblr-2931	941	1	bus	bus	NOUN
cblr-2931	941	2	.	.	PUNCT
cblr-2931	942	1	l.	l.	PROPN
cblr-2931	942	2	rev	rev	PROPN
cblr-2931	942	3	.	.	PROPN
cblr-2931	942	4	61	61	NUM
cblr-2931	942	5	(	(	PUNCT
cblr-2931	942	6	1990	1990	NUM
cblr-2931	942	7	)	)	PUNCT
cblr-2931	942	8	.	.	PUNCT
cblr-2931	943	1	'	'	PUNCT
cblr-2931	943	2	"	"	PUNCT
cblr-2931	943	3	sec	sec	PROPN
cblr-2931	943	4	rule	rule	VERB
cblr-2931	943	5	15c1	15c1	NUM
cblr-2931	943	6	-	-	SYM
cblr-2931	943	7	2	2	NUM
cblr-2931	943	8	generally	generally	ADV
cblr-2931	943	9	prohibits	prohibit	VERB
cblr-2931	943	10	fraud	fraud	NOUN
cblr-2931	943	11	and	and	CCONJ
cblr-2931	943	12	misrepresentation	misrepresentation	NOUN
cblr-2931	943	13	by	by	ADP
cblr-2931	943	14	broker	broker	NOUN
cblr-2931	943	15	-	-	PUNCT
cblr-2931	943	16	dealers	dealer	NOUN
cblr-2931	943	17	.	.	PUNCT
cblr-2931	944	1	subsection	subsection	NOUN
cblr-2931	944	2	(	(	PUNCT
cblr-2931	944	3	c	c	NOUN
cblr-2931	944	4	)	)	PUNCT
cblr-2931	944	5	of	of	ADP
cblr-2931	944	6	that	that	DET
cblr-2931	944	7	rule	rule	NOUN
cblr-2931	944	8	expressly	expressly	ADV
cblr-2931	944	9	provides	provide	VERB
cblr-2931	944	10	that	that	SCONJ
cblr-2931	944	11	the	the	DET
cblr-2931	944	12	scope	scope	NOUN
cblr-2931	944	13	of	of	ADP
cblr-2931	944	14	the	the	DET
cblr-2931	944	15	rule	rule	NOUN
cblr-2931	944	16	prohibiting	prohibit	VERB
cblr-2931	944	17	fraudulent	fraudulent	ADJ
cblr-2931	944	18	conduct	conduct	NOUN
cblr-2931	944	19	"	"	PUNCT
cblr-2931	944	20	shall	shall	AUX
cblr-2931	944	21	not	not	PART
cblr-2931	944	22	be	be	AUX
cblr-2931	944	23	limited	limit	VERB
cblr-2931	944	24	by	by	ADP
cblr-2931	944	25	any	any	DET
cblr-2931	944	26	specific	specific	ADJ
cblr-2931	944	27	definitions	definition	NOUN
cblr-2931	944	28	of	of	ADP
cblr-2931	944	29	the	the	DET
cblr-2931	944	30	term	term	NOUN
cblr-2931	944	31	'	'	PUNCT
cblr-2931	944	32	manipulative	manipulative	ADJ
cblr-2931	944	33	,	,	PUNCT
cblr-2931	944	34	deceptive	deceptive	ADJ
cblr-2931	944	35	,	,	PUNCT
cblr-2931	944	36	or	or	CCONJ
cblr-2931	944	37	other	other	ADJ
cblr-2931	944	38	fraudulent	fraudulent	ADJ
cblr-2931	944	39	device	device	NOUN
cblr-2931	944	40	or	or	CCONJ
cblr-2931	944	41	contrivance	contrivance	NOUN
cblr-2931	944	42	'	'	PUNCT
cblr-2931	944	43	contained	contain	VERB
cblr-2931	944	44	in	in	ADP
cblr-2931	944	45	other	other	ADJ
cblr-2931	944	46	rules	rule	NOUN
cblr-2931	944	47	adopted	adopt	VERB
cblr-2931	944	48	753	753	NUM
cblr-2931	944	49	754	754	NUM
cblr-2931	944	50	columbia	columbia	PROPN
cblr-2931	944	51	business	business	NOUN
cblr-2931	944	52	law	law	NOUN
cblr-2931	944	53	review	review	NOUN
cblr-2931	945	1	[	[	X
cblr-2931	945	2	vol	vol	NOUN
cblr-2931	945	3	.	.	PUNCT
cblr-2931	945	4	2010	2010	NUM
cblr-2931	945	5	shingle	shingle	NOUN
cblr-2931	945	6	theory	theory	NOUN
cblr-2931	945	7	as	as	ADP
cblr-2931	945	8	a	a	DET
cblr-2931	945	9	basis	basis	NOUN
cblr-2931	945	10	for	for	ADP
cblr-2931	945	11	violation	violation	NOUN
cblr-2931	945	12	of	of	ADP
cblr-2931	945	13	the	the	DET
cblr-2931	945	14	antifraud	antifraud	PROPN
cblr-2931	945	15	rules	rule	NOUN
cblr-2931	945	16	is	be	AUX
cblr-2931	945	17	based	base	VERB
cblr-2931	945	18	on	on	ADP
cblr-2931	945	19	an	an	DET
cblr-2931	945	20	implied	imply	VERB
cblr-2931	945	21	representation	representation	NOUN
cblr-2931	945	22	that	that	SCONJ
cblr-2931	945	23	the	the	DET
cblr-2931	945	24	broker	broker	NOUN
cblr-2931	945	25	will	will	AUX
cblr-2931	945	26	deal	deal	VERB
cblr-2931	945	27	with	with	ADP
cblr-2931	945	28	the	the	DET
cblr-2931	945	29	customer	customer	NOUN
cblr-2931	945	30	fairly	fairly	ADV
cblr-2931	945	31	and	and	CCONJ
cblr-2931	945	32	in	in	ADP
cblr-2931	945	33	a	a	DET
cblr-2931	945	34	professional	professional	ADJ
cblr-2931	945	35	manner	manner	NOUN
cblr-2931	945	36	.	.	PUNCT
cblr-2931	946	1	"	"	PUNCT
cblr-2931	946	2	'	'	PUNCT
cblr-2931	946	3	this	this	DET
cblr-2931	946	4	same	same	ADJ
cblr-2931	946	5	obligation	obligation	NOUN
cblr-2931	946	6	to	to	PART
cblr-2931	946	7	conduct	conduct	VERB
cblr-2931	946	8	one	one	PRON
cblr-2931	946	9	's	's	PART
cblr-2931	946	10	business	business	NOUN
cblr-2931	946	11	in	in	ADP
cblr-2931	946	12	a	a	DET
cblr-2931	946	13	fair	fair	ADJ
cblr-2931	946	14	manner	manner	NOUN
cblr-2931	946	15	is	be	AUX
cblr-2931	946	16	found	find	VERB
cblr-2931	946	17	in	in	ADP
cblr-2931	946	18	finra	finra	PROPN
cblr-2931	946	19	(	(	PUNCT
cblr-2931	946	20	formerly	formerly	ADV
cblr-2931	946	21	the	the	DET
cblr-2931	946	22	nasd	nasd	NOUN
cblr-2931	946	23	)	)	PUNCT
cblr-2931	946	24	rules	rule	NOUN
cblr-2931	946	25	.	.	PUNCT
cblr-2931	947	1	'86	'86	NOUN
cblr-2931	947	2	pursuant	pursuant	ADJ
cblr-2931	947	3	to	to	ADP
cblr-2931	947	4	section	section	NOUN
cblr-2931	947	5	15(c)(1	15(c)(1	NUM
cblr-2931	947	6	)	)	PUNCT
cblr-2931	947	7	of	of	ADP
cblr-2931	947	8	the	the	DET
cblr-2931	947	9	act	act	NOUN
cblr-2931	947	10	.	.	PUNCT
cblr-2931	947	11	"	"	PUNCT
cblr-2931	948	1	17	17	NUM
cblr-2931	948	2	c.f.r	c.f.r	NOUN
cblr-2931	948	3	.	.	PUNCT
cblr-2931	949	1	§	§	PROPN
cblr-2931	949	2	240.15cl-2(c	240.15cl-2(c	NUM
cblr-2931	949	3	)	)	PUNCT
cblr-2931	949	4	(	(	PUNCT
cblr-2931	949	5	2010	2010	NUM
cblr-2931	949	6	)	)	PUNCT
cblr-2931	950	1	;	;	PUNCT
cblr-2931	950	2	see	see	VERB
cblr-2931	950	3	also	also	ADV
cblr-2931	950	4	the	the	DET
cblr-2931	950	5	general	general	PROPN
cblr-2931	950	6	antifraud	antifraud	PROPN
cblr-2931	950	7	proscriptions	proscription	NOUN
cblr-2931	950	8	of	of	ADP
cblr-2931	950	9	sec	sec	PROPN
cblr-2931	950	10	rule	rule	NOUN
cblr-2931	950	11	10b-5	10b-5	NUM
cblr-2931	950	12	,	,	PUNCT
cblr-2931	950	13	17	17	NUM
cblr-2931	950	14	c.f.r	c.f.r	NOUN
cblr-2931	950	15	.	.	PUNCT
cblr-2931	951	1	§	§	PROPN
cblr-2931	951	2	240.10b-5	240.10b-5	NUM
cblr-2931	951	3	(	(	PUNCT
cblr-2931	951	4	2010	2010	NUM
cblr-2931	951	5	)	)	PUNCT
cblr-2931	951	6	.	.	PUNCT
cblr-2931	951	7	"	"	PUNCT
cblr-2931	952	1	gartz	gartz	NOUN
cblr-2931	952	2	,	,	PUNCT
cblr-2931	952	3	exchange	exchange	NOUN
cblr-2931	952	4	act	act	NOUN
cblr-2931	952	5	release	release	VERB
cblr-2931	952	6	no	no	NOUN
cblr-2931	952	7	.	.	NOUN
cblr-2931	952	8	113	113	NUM
cblr-2931	952	9	,	,	PUNCT
cblr-2931	952	10	1997	1997	NUM
cblr-2931	952	11	wl	wl	SYM
cblr-2931	952	12	441913	441913	NUM
cblr-2931	952	13	,	,	PUNCT
cblr-2931	952	14	at	at	ADP
cblr-2931	952	15	*	*	NUM
cblr-2931	952	16	19	19	NUM
cblr-2931	952	17	n.33	n.33	PROPN
cblr-2931	952	18	(	(	PUNCT
cblr-2931	952	19	aug	aug	PROPN
cblr-2931	952	20	.	.	PROPN
cblr-2931	952	21	6	6	NUM
cblr-2931	952	22	,	,	PUNCT
cblr-2931	952	23	1997	1997	NUM
cblr-2931	952	24	)	)	PUNCT
cblr-2931	952	25	(	(	PUNCT
cblr-2931	952	26	"	"	PUNCT
cblr-2931	952	27	under	under	ADP
cblr-2931	952	28	the	the	DET
cblr-2931	952	29	shingle	shingle	NOUN
cblr-2931	952	30	theory	theory	NOUN
cblr-2931	952	31	,	,	PUNCT
cblr-2931	952	32	investors	investor	NOUN
cblr-2931	952	33	are	be	AUX
cblr-2931	952	34	entitled	entitle	VERB
cblr-2931	952	35	to	to	PART
cblr-2931	952	36	rely	rely	VERB
cblr-2931	952	37	on	on	ADP
cblr-2931	952	38	the	the	DET
cblr-2931	952	39	implied	imply	VERB
cblr-2931	952	40	representation	representation	NOUN
cblr-2931	952	41	that	that	SCONJ
cblr-2931	952	42	they	they	PRON
cblr-2931	952	43	will	will	AUX
cblr-2931	952	44	be	be	AUX
cblr-2931	952	45	dealt	deal	VERB
cblr-2931	952	46	with	with	ADP
cblr-2931	952	47	fairly	fairly	ADV
cblr-2931	952	48	,	,	PUNCT
cblr-2931	952	49	honestly	honestly	ADV
cblr-2931	952	50	and	and	CCONJ
cblr-2931	952	51	in	in	ADP
cblr-2931	952	52	accord	accord	NOUN
cblr-2931	952	53	with	with	ADP
cblr-2931	952	54	industry	industry	NOUN
cblr-2931	952	55	standards	standard	NOUN
cblr-2931	952	56	.	.	PUNCT
cblr-2931	952	57	"	"	PUNCT
cblr-2931	953	1	(	(	PUNCT
cblr-2931	953	2	citing	cite	VERB
cblr-2931	953	3	trost	trost	PROPN
cblr-2931	953	4	&	&	CCONJ
cblr-2931	953	5	co.	co.	PROPN
cblr-2931	953	6	,	,	PUNCT
cblr-2931	953	7	12	12	NUM
cblr-2931	953	8	s.e.c	s.e.c	NOUN
cblr-2931	953	9	.	.	PUNCT
cblr-2931	954	1	531	531	NUM
cblr-2931	954	2	,	,	PUNCT
cblr-2931	954	3	535	535	NUM
cblr-2931	954	4	(	(	PUNCT
cblr-2931	954	5	1942	1942	NUM
cblr-2931	954	6	)	)	PUNCT
cblr-2931	954	7	)	)	PUNCT
cblr-2931	954	8	)	)	PUNCT
cblr-2931	954	9	;	;	PUNCT
cblr-2931	954	10	see	see	VERB
cblr-2931	954	11	also	also	ADV
cblr-2931	954	12	,	,	PUNCT
cblr-2931	954	13	e.g.	e.g.	ADV
cblr-2931	954	14	,	,	PUNCT
cblr-2931	954	15	in	in	ADP
cblr-2931	954	16	the	the	DET
cblr-2931	954	17	matter	matter	NOUN
cblr-2931	954	18	of	of	ADP
cblr-2931	954	19	johansen	johansen	PROPN
cblr-2931	954	20	,	,	PUNCT
cblr-2931	954	21	complaint	complaint	VERB
cblr-2931	954	22	no	no	INTJ
cblr-2931	954	23	.	.	PUNCT
cblr-2931	955	1	c8a940073	c8a940073	NOUN
cblr-2931	955	2	,	,	PUNCT
cblr-2931	955	3	1997	1997	NUM
cblr-2931	955	4	wl	wl	PROPN
cblr-2931	955	5	1121295	1121295	NUM
cblr-2931	955	6	,	,	PUNCT
cblr-2931	955	7	at	at	ADP
cblr-2931	955	8	*	*	NOUN
cblr-2931	955	9	8	8	NUM
cblr-2931	955	10	n.12	n.12	NOUN
cblr-2931	955	11	(	(	PUNCT
cblr-2931	955	12	n.a.s.d.r	n.a.s.d.r	PROPN
cblr-2931	955	13	sept	sept	PROPN
cblr-2931	955	14	.	.	PROPN
cblr-2931	955	15	18	18	NUM
cblr-2931	955	16	,	,	PUNCT
cblr-2931	955	17	1997	1997	NUM
cblr-2931	955	18	)	)	PUNCT
cblr-2931	955	19	(	(	PUNCT
cblr-2931	955	20	"	"	PUNCT
cblr-2931	955	21	this	this	DET
cblr-2931	955	22	obligation	obligation	NOUN
cblr-2931	955	23	has	have	AUX
cblr-2931	955	24	been	be	AUX
cblr-2931	955	25	referred	refer	VERB
cblr-2931	955	26	to	to	ADP
cblr-2931	955	27	as	as	ADP
cblr-2931	955	28	one	one	NUM
cblr-2931	955	29	derived	derive	VERB
cblr-2931	955	30	from	from	ADP
cblr-2931	955	31	the	the	DET
cblr-2931	955	32	'	'	PUNCT
cblr-2931	955	33	shingle	shingle	NOUN
cblr-2931	955	34	theory	theory	NOUN
cblr-2931	955	35	,	,	PUNCT
cblr-2931	955	36	'	'	PUNCT
cblr-2931	955	37	on	on	ADP
cblr-2931	955	38	the	the	DET
cblr-2931	955	39	basis	basis	NOUN
cblr-2931	955	40	that	that	SCONJ
cblr-2931	955	41	brokers	broker	NOUN
cblr-2931	955	42	who	who	PRON
cblr-2931	955	43	hang	hang	VERB
cblr-2931	955	44	out	out	ADP
cblr-2931	955	45	a	a	DET
cblr-2931	955	46	'	'	PUNCT
cblr-2931	955	47	shingle	shingle	NOUN
cblr-2931	955	48	'	'	PUNCT
cblr-2931	955	49	implicitly	implicitly	ADV
cblr-2931	955	50	represent	represent	VERB
cblr-2931	955	51	to	to	ADP
cblr-2931	955	52	their	their	PRON
cblr-2931	955	53	customers	customer	NOUN
cblr-2931	955	54	that	that	SCONJ
cblr-2931	955	55	the	the	DET
cblr-2931	955	56	prices	price	NOUN
cblr-2931	955	57	they	they	PRON
cblr-2931	955	58	are	be	AUX
cblr-2931	955	59	charging	charge	VERB
cblr-2931	955	60	in	in	ADP
cblr-2931	955	61	securities	security	NOUN
cblr-2931	955	62	transactions	transaction	NOUN
cblr-2931	955	63	are	be	AUX
cblr-2931	955	64	reasonably	reasonably	ADV
cblr-2931	955	65	related	related	ADJ
cblr-2931	955	66	to	to	ADP
cblr-2931	955	67	the	the	DET
cblr-2931	955	68	prices	price	NOUN
cblr-2931	955	69	charged	charge	VERB
cblr-2931	955	70	in	in	ADP
cblr-2931	955	71	an	an	DET
cblr-2931	955	72	open	open	ADJ
cblr-2931	955	73	and	and	CCONJ
cblr-2931	955	74	competitive	competitive	ADJ
cblr-2931	955	75	market	market	NOUN
cblr-2931	955	76	.	.	PUNCT
cblr-2931	955	77	"	"	PUNCT
cblr-2931	956	1	(	(	PUNCT
cblr-2931	956	2	citing	cite	VERB
cblr-2931	956	3	sec	sec	PROPN
cblr-2931	956	4	v.	v.	ADP
cblr-2931	956	5	first	first	PROPN
cblr-2931	956	6	jersey	jersey	PROPN
cblr-2931	956	7	sec	sec	PROPN
cblr-2931	956	8	.	.	PROPN
cblr-2931	956	9	,	,	PUNCT
cblr-2931	956	10	inc	inc	PROPN
cblr-2931	956	11	.	.	PROPN
cblr-2931	956	12	,	,	PUNCT
cblr-2931	956	13	101	101	NUM
cblr-2931	956	14	f.3d	f.3d	NUM
cblr-2931	956	15	1450	1450	NUM
cblr-2931	956	16	,	,	PUNCT
cblr-2931	956	17	1469	1469	NUM
cblr-2931	956	18	(	(	PUNCT
cblr-2931	956	19	2d	2d	NUM
cblr-2931	956	20	cir	cir	NOUN
cblr-2931	956	21	.	.	PUNCT
cblr-2931	956	22	1996	1996	NUM
cblr-2931	956	23	)	)	PUNCT
cblr-2931	956	24	)	)	PUNCT
cblr-2931	956	25	)	)	PUNCT
cblr-2931	956	26	;	;	PUNCT
cblr-2931	956	27	mac	mac	PROPN
cblr-2931	956	28	robbins	robbins	PROPN
cblr-2931	956	29	&	&	CCONJ
cblr-2931	956	30	co.	co.	PROPN
cblr-2931	956	31	,	,	PUNCT
cblr-2931	956	32	exchange	exchange	NOUN
cblr-2931	956	33	act	act	PROPN
cblr-2931	956	34	release	release	VERB
cblr-2931	956	35	no	no	NOUN
cblr-2931	956	36	.	.	NOUN
cblr-2931	956	37	6846	6846	NUM
cblr-2931	956	38	,	,	PUNCT
cblr-2931	956	39	1962	1962	NUM
cblr-2931	956	40	wl	wl	NOUN
cblr-2931	956	41	67931	67931	NUM
cblr-2931	956	42	,	,	PUNCT
cblr-2931	956	43	at	at	ADP
cblr-2931	956	44	*	*	NOUN
cblr-2931	956	45	2	2	NUM
cblr-2931	956	46	(	(	PUNCT
cblr-2931	956	47	july	july	PROPN
cblr-2931	956	48	11	11	NUM
cblr-2931	956	49	,	,	PUNCT
cblr-2931	956	50	1962	1962	NUM
cblr-2931	956	51	)	)	PUNCT
cblr-2931	956	52	(	(	PUNCT
cblr-2931	956	53	discussing	discuss	VERB
cblr-2931	956	54	the	the	DET
cblr-2931	956	55	shingle	shingle	NOUN
cblr-2931	956	56	theory	theory	NOUN
cblr-2931	956	57	in	in	ADP
cblr-2931	956	58	the	the	DET
cblr-2931	956	59	context	context	NOUN
cblr-2931	956	60	of	of	ADP
cblr-2931	956	61	boiler	boiler	NOUN
cblr-2931	956	62	room	room	NOUN
cblr-2931	956	63	operations	operation	NOUN
cblr-2931	956	64	)	)	PUNCT
cblr-2931	956	65	;	;	PUNCT
cblr-2931	956	66	nat'l	nat'l	PROPN
cblr-2931	956	67	ass'n	ass'n	PROPN
cblr-2931	956	68	sec	sec	PROPN
cblr-2931	956	69	.	.	PUNCT
cblr-2931	957	1	dealers	dealers	PROPN
cblr-2931	957	2	,	,	PUNCT
cblr-2931	957	3	inc	inc	PROPN
cblr-2931	957	4	.	.	PROPN
cblr-2931	957	5	,	,	PUNCT
cblr-2931	957	6	exchange	exchange	PROPN
cblr-2931	957	7	act	act	PROPN
cblr-2931	957	8	release	release	VERB
cblr-2931	957	9	no	no	DET
cblr-2931	957	10	.	.	NOUN
cblr-2931	957	11	3700	3700	NUM
cblr-2931	957	12	,	,	PUNCT
cblr-2931	957	13	1945	1945	NUM
cblr-2931	957	14	wl	wl	NOUN
cblr-2931	957	15	26103	26103	NUM
cblr-2931	957	16	,	,	PUNCT
cblr-2931	957	17	at	at	ADP
cblr-2931	957	18	*	*	NUM
cblr-2931	957	19	11	11	NUM
cblr-2931	957	20	(	(	PUNCT
cblr-2931	957	21	june	june	PROPN
cblr-2931	957	22	11	11	NUM
cblr-2931	957	23	,	,	PUNCT
cblr-2931	957	24	1945	1945	NUM
cblr-2931	957	25	)	)	PUNCT
cblr-2931	957	26	(	(	PUNCT
cblr-2931	957	27	"	"	PUNCT
cblr-2931	957	28	[	[	X
cblr-2931	957	29	a	a	X
cblr-2931	957	30	]	]	X
cblr-2931	957	31	member	member	NOUN
cblr-2931	957	32	's	's	PART
cblr-2931	957	33	failure	failure	NOUN
cblr-2931	957	34	to	to	PART
cblr-2931	957	35	live	live	VERB
cblr-2931	957	36	up	up	ADP
cblr-2931	957	37	to	to	ADP
cblr-2931	957	38	obligations	obligation	NOUN
cblr-2931	957	39	owed	owe	VERB
cblr-2931	957	40	to	to	ADP
cblr-2931	957	41	a	a	DET
cblr-2931	957	42	customer	customer	NOUN
cblr-2931	957	43	.	.	PUNCT
cblr-2931	957	44	.	.	PUNCT
cblr-2931	958	1	.	.	PUNCT
cblr-2931	959	1	constitutes	constitute	VERB
cblr-2931	959	2	a	a	DET
cblr-2931	959	3	breach	breach	NOUN
cblr-2931	959	4	of	of	ADP
cblr-2931	959	5	'	'	PUNCT
cblr-2931	959	6	just	just	ADV
cblr-2931	959	7	and	and	CCONJ
cblr-2931	959	8	equitable	equitable	ADJ
cblr-2931	959	9	principles	principle	NOUN
cblr-2931	959	10	of	of	ADP
cblr-2931	959	11	trade	trade	NOUN
cblr-2931	959	12	'	'	PUNCT
cblr-2931	959	13	.	.	PUNCT
cblr-2931	960	1	..	..	PUNCT
cblr-2931	960	2	.	.	PUNCT
cblr-2931	961	1	"	"	PUNCT
cblr-2931	961	2	)	)	PUNCT
cblr-2931	961	3	;	;	PUNCT
cblr-2931	961	4	duker	duker	NOUN
cblr-2931	961	5	&	&	CCONJ
cblr-2931	961	6	duker	duker	PROPN
cblr-2931	961	7	,	,	PUNCT
cblr-2931	961	8	exchange	exchange	NOUN
cblr-2931	961	9	act	act	NOUN
cblr-2931	961	10	release	release	VERB
cblr-2931	961	11	no	no	NOUN
cblr-2931	961	12	.	.	NOUN
cblr-2931	961	13	2350	2350	NUM
cblr-2931	961	14	,	,	PUNCT
cblr-2931	961	15	1939	1939	NUM
cblr-2931	961	16	wl	wl	NOUN
cblr-2931	961	17	36426	36426	NUM
cblr-2931	961	18	,	,	PUNCT
cblr-2931	961	19	at	at	ADP
cblr-2931	961	20	*	*	PROPN
cblr-2931	961	21	2	2	NUM
cblr-2931	961	22	(	(	PUNCT
cblr-2931	961	23	dec	dec	PROPN
cblr-2931	961	24	.	.	PROPN
cblr-2931	961	25	19	19	NUM
cblr-2931	961	26	,	,	PUNCT
cblr-2931	961	27	1939	1939	NUM
cblr-2931	961	28	)	)	PUNCT
cblr-2931	961	29	(	(	PUNCT
cblr-2931	961	30	"	"	PUNCT
cblr-2931	961	31	inherent	inherent	ADJ
cblr-2931	961	32	in	in	ADP
cblr-2931	961	33	the	the	DET
cblr-2931	961	34	relationship	relationship	NOUN
cblr-2931	961	35	between	between	ADP
cblr-2931	961	36	a	a	DET
cblr-2931	961	37	dealer	dealer	NOUN
cblr-2931	961	38	and	and	CCONJ
cblr-2931	961	39	his	his	PRON
cblr-2931	961	40	customer	customer	NOUN
cblr-2931	961	41	is	be	AUX
cblr-2931	961	42	the	the	DET
cblr-2931	961	43	vital	vital	ADJ
cblr-2931	961	44	representation	representation	NOUN
cblr-2931	961	45	that	that	SCONJ
cblr-2931	961	46	the	the	DET
cblr-2931	961	47	customer	customer	NOUN
cblr-2931	961	48	will	will	AUX
cblr-2931	961	49	be	be	AUX
cblr-2931	961	50	dealt	deal	VERB
cblr-2931	961	51	with	with	ADP
cblr-2931	961	52	fairly	fairly	ADV
cblr-2931	961	53	,	,	PUNCT
cblr-2931	961	54	and	and	CCONJ
cblr-2931	961	55	in	in	ADP
cblr-2931	961	56	accordance	accordance	NOUN
cblr-2931	961	57	with	with	ADP
cblr-2931	961	58	the	the	DET
cblr-2931	961	59	standards	standard	NOUN
cblr-2931	961	60	of	of	ADP
cblr-2931	961	61	the	the	DET
cblr-2931	961	62	profession	profession	NOUN
cblr-2931	961	63	.	.	PUNCT
cblr-2931	962	1	"	"	PUNCT
cblr-2931	962	2	)	)	PUNCT
cblr-2931	962	3	;	;	PUNCT
cblr-2931	962	4	market	market	NOUN
cblr-2931	962	5	surveillance	surveillance	NOUN
cblr-2931	962	6	comm	comm	NOUN
cblr-2931	962	7	.	.	PUNCT
cblr-2931	963	1	v.	v.	PROPN
cblr-2931	963	2	r.	r.	PROPN
cblr-2931	963	3	b.	b.	PROPN
cblr-2931	963	4	marich	marich	PROPN
cblr-2931	963	5	,	,	PUNCT
cblr-2931	963	6	inc	inc	PROPN
cblr-2931	963	7	.	.	PROPN
cblr-2931	963	8	et	et	PROPN
cblr-2931	963	9	al	al	PROPN
cblr-2931	963	10	.	.	PROPN
cblr-2931	963	11	,	,	PUNCT
cblr-2931	963	12	complaint	complaint	VERB
cblr-2931	963	13	no	no	PRON
cblr-2931	963	14	.	.	PUNCT
cblr-2931	964	1	ms-849	ms-849	PROPN
cblr-2931	964	2	,	,	PUNCT
cblr-2931	964	3	n.27	n.27	X
cblr-2931	964	4	(	(	PUNCT
cblr-2931	964	5	nbcc	nbcc	NOUN
cblr-2931	964	6	decision	decision	NOUN
cblr-2931	964	7	dec	dec	PROPN
cblr-2931	964	8	.	.	PROPN
cblr-2931	964	9	23	23	NUM
cblr-2931	964	10	,	,	PUNCT
cblr-2931	964	11	1991	1991	NUM
cblr-2931	964	12	)	)	PUNCT
cblr-2931	964	13	(	(	PUNCT
cblr-2931	964	14	"	"	PUNCT
cblr-2931	964	15	[	[	X
cblr-2931	964	16	a	a	X
cblr-2931	964	17	]	]	X
cblr-2931	964	18	broker	broker	NOUN
cblr-2931	964	19	/	/	SYM
cblr-2931	964	20	dealer	dealer	NOUN
cblr-2931	964	21	's	's	PART
cblr-2931	964	22	professional	professional	ADJ
cblr-2931	964	23	'	'	PUNCT
cblr-2931	964	24	shingle	shingle	NOUN
cblr-2931	964	25	'	'	PUNCT
cblr-2931	964	26	impliedly	impliedly	ADV
cblr-2931	964	27	represents	represent	VERB
cblr-2931	964	28	that	that	SCONJ
cblr-2931	964	29	he	he	PRON
cblr-2931	964	30	will	will	AUX
cblr-2931	964	31	engage	engage	VERB
cblr-2931	964	32	in	in	ADP
cblr-2931	964	33	fair	fair	ADJ
cblr-2931	964	34	and	and	CCONJ
cblr-2931	964	35	honest	honest	ADJ
cblr-2931	964	36	dealings	dealing	NOUN
cblr-2931	964	37	with	with	ADP
cblr-2931	964	38	customers	customer	NOUN
cblr-2931	964	39	,	,	PUNCT
cblr-2931	964	40	according	accord	VERB
cblr-2931	964	41	to	to	ADP
cblr-2931	964	42	industry	industry	NOUN
cblr-2931	964	43	standards	standard	NOUN
cblr-2931	964	44	.	.	PUNCT
cblr-2931	964	45	"	"	PUNCT
cblr-2931	964	46	)	)	PUNCT
cblr-2931	964	47	;	;	PUNCT
cblr-2931	964	48	see	see	VERB
cblr-2931	964	49	also	also	ADV
cblr-2931	964	50	,	,	PUNCT
cblr-2931	964	51	e.g.	e.g.	ADV
cblr-2931	964	52	,	,	PUNCT
cblr-2931	964	53	in	in	ADP
cblr-2931	964	54	the	the	DET
cblr-2931	964	55	matter	matter	NOUN
cblr-2931	964	56	of	of	ADP
cblr-2931	964	57	shvarts	shvart	NOUN
cblr-2931	964	58	,	,	PUNCT
cblr-2931	964	59	complaint	complaint	NOUN
cblr-2931	964	60	no	no	DET
cblr-2931	964	61	.	.	PUNCT
cblr-2931	964	62	caf980029	caf980029	NOUN
cblr-2931	964	63	,	,	PUNCT
cblr-2931	964	64	2000	2000	NUM
cblr-2931	964	65	wl	wl	NOUN
cblr-2931	964	66	768524	768524	NUM
cblr-2931	964	67	,	,	PUNCT
cblr-2931	964	68	at	at	ADP
cblr-2931	964	69	*	*	NUM
cblr-2931	964	70	7	7	NUM
cblr-2931	964	71	(	(	PUNCT
cblr-2931	964	72	n.a.s.d.r	n.a.s.d.r	PROPN
cblr-2931	964	73	.	.	PUNCT
cblr-2931	965	1	june	june	PROPN
cblr-2931	965	2	2	2	NUM
cblr-2931	965	3	,	,	PUNCT
cblr-2931	965	4	2000	2000	NUM
cblr-2931	965	5	)	)	PUNCT
cblr-2931	965	6	;	;	PUNCT
cblr-2931	965	7	payment	payment	NOUN
cblr-2931	965	8	for	for	ADP
cblr-2931	965	9	order	order	NOUN
cblr-2931	965	10	flow	flow	NOUN
cblr-2931	965	11	,	,	PUNCT
cblr-2931	965	12	exchange	exchange	NOUN
cblr-2931	965	13	act	act	NOUN
cblr-2931	965	14	release	release	VERB
cblr-2931	965	15	no	no	DET
cblr-2931	965	16	.	.	NOUN
cblr-2931	965	17	34902	34902	NUM
cblr-2931	965	18	,	,	PUNCT
cblr-2931	965	19	57	57	NUM
cblr-2931	965	20	sec	sec	PROPN
cblr-2931	965	21	docket	docket	NOUN
cblr-2931	965	22	2315	2315	NUM
cblr-2931	965	23	,	,	PUNCT
cblr-2931	965	24	1994	1994	NUM
cblr-2931	965	25	wl	wl	PROPN
cblr-2931	965	26	587790	587790	NUM
cblr-2931	965	27	(	(	PUNCT
cblr-2931	965	28	oct	oct	PROPN
cblr-2931	965	29	.	.	PROPN
cblr-2931	965	30	27	27	NUM
cblr-2931	965	31	,	,	PUNCT
cblr-2931	965	32	1994	1994	NUM
cblr-2931	965	33	)	)	PUNCT
cblr-2931	965	34	;	;	PUNCT
cblr-2931	965	35	suitability	suitability	NOUN
cblr-2931	965	36	of	of	ADP
cblr-2931	965	37	investment	investment	NOUN
cblr-2931	965	38	advice	advice	NOUN
cblr-2931	965	39	provided	provide	VERB
cblr-2931	965	40	by	by	ADP
cblr-2931	965	41	investment	investment	NOUN
cblr-2931	965	42	advisers	adviser	NOUN
cblr-2931	965	43	,	,	PUNCT
cblr-2931	965	44	exchange	exchange	NOUN
cblr-2931	965	45	act	act	NOUN
cblr-2931	965	46	release	release	VERB
cblr-2931	965	47	no	no	PRON
cblr-2931	965	48	.	.	NOUN
cblr-2931	965	49	1406	1406	NUM
cblr-2931	965	50	,	,	PUNCT
cblr-2931	965	51	56	56	NUM
cblr-2931	965	52	sec	sec	PROPN
cblr-2931	965	53	docket	docket	NOUN
cblr-2931	965	54	724	724	NUM
cblr-2931	965	55	,	,	PUNCT
cblr-2931	965	56	1994	1994	NUM
cblr-2931	965	57	wl	wl	SYM
cblr-2931	965	58	84902	84902	NUM
cblr-2931	965	59	(	(	PUNCT
cblr-2931	965	60	mar	mar	PROPN
cblr-2931	965	61	.	.	PROPN
cblr-2931	965	62	14	14	NUM
cblr-2931	965	63	,	,	PUNCT
cblr-2931	965	64	1994	1994	NUM
cblr-2931	965	65	)	)	PUNCT
cblr-2931	965	66	.	.	PUNCT
cblr-2931	966	1	"	"	PUNCT
cblr-2931	966	2	finra	finra	PROPN
cblr-2931	966	3	manual	manual	NOUN
cblr-2931	966	4	rule	rule	VERB
cblr-2931	966	5	2010	2010	NUM
cblr-2931	966	6	,	,	PUNCT
cblr-2931	966	7	available	available	ADJ
cblr-2931	966	8	at	at	ADP
cblr-2931	966	9	http://finra.complinet.com/	http://finra.complinet.com/	PROPN
cblr-2931	966	10	en	en	PROPN
cblr-2931	966	11	/	/	SYM
cblr-2931	966	12	display	display	NOUN
cblr-2931	966	13	-	-	PUNCT
cblr-2931	966	14	main.html?rbid=2403&element	main.html?rbid=2403&element	NOUN
cblr-2931	966	15	id=5504	id=5504	NOUN
cblr-2931	966	16	(	(	PUNCT
cblr-2931	966	17	"	"	PUNCT
cblr-2931	966	18	a	a	DET
cblr-2931	966	19	member	member	NOUN
cblr-2931	966	20	,	,	PUNCT
cblr-2931	966	21	in	in	ADP
cblr-2931	966	22	the	the	DET
cblr-2931	966	23	conduct	conduct	NOUN
cblr-2931	966	24	of	of	ADP
cblr-2931	966	25	its	its	PRON
cblr-2931	966	26	business	business	NOUN
cblr-2931	966	27	,	,	PUNCT
cblr-2931	966	28	shall	shall	AUX
cblr-2931	966	29	observe	observe	VERB
cblr-2931	966	30	high	high	ADJ
cblr-2931	966	31	standards	standard	NOUN
cblr-2931	966	32	of	of	ADP
cblr-2931	966	33	commercial	commercial	ADJ
cblr-2931	966	34	honor	honor	NOUN
cblr-2931	966	35	and	and	CCONJ
cblr-2931	966	36	just	just	ADV
cblr-2931	966	37	and	and	CCONJ
cblr-2931	966	38	equitable	equitable	ADJ
cblr-2931	966	39	principles	principle	NOUN
cblr-2931	966	40	of	of	ADP
cblr-2931	966	41	trade	trade	NOUN
cblr-2931	966	42	.	.	PUNCT
cblr-2931	966	43	"	"	PUNCT
cblr-2931	966	44	)	)	PUNCT
cblr-2931	966	45	;	;	PUNCT
cblr-2931	966	46	see	see	VERB
cblr-2931	966	47	also	also	ADV
cblr-2931	966	48	nasd	nasd	PROPN
cblr-2931	966	49	rule	rule	PROPN
cblr-2931	966	50	im-23102(a)(1	im-23102(a)(1	PROPN
cblr-2931	966	51	)	)	PUNCT
cblr-2931	966	52	,	,	PUNCT
cblr-2931	966	53	available	available	ADJ
cblr-2931	966	54	at	at	ADP
cblr-2931	966	55	http://finra.complinet.com/en/display/displaymain	http://finra.complinet.com/en/display/displaymain	PROPN
cblr-2931	966	56	.	.	PUNCT
cblr-2931	967	1	no	no	INTJ
cblr-2931	967	2	.	.	PUNCT
cblr-2931	968	1	3:7101	3:7101	NUM
cblr-2931	968	2	are	be	AUX
cblr-2931	968	3	existing	exist	VERB
cblr-2931	968	4	stock	stock	NOUN
cblr-2931	968	5	broker	broker	NOUN
cblr-2931	968	6	standards	standard	NOUN
cblr-2931	968	7	sufficient	sufficient	ADJ
cblr-2931	968	8	?	?	PUNCT
cblr-2931	969	1	the	the	DET
cblr-2931	969	2	foregoing	forego	VERB
cblr-2931	969	3	discussion	discussion	NOUN
cblr-2931	969	4	demonstrates	demonstrate	VERB
cblr-2931	969	5	how	how	SCONJ
cblr-2931	969	6	general	general	ADJ
cblr-2931	969	7	principles	principle	NOUN
cblr-2931	969	8	,	,	PUNCT
cblr-2931	969	9	including	include	VERB
cblr-2931	969	10	general	general	ADJ
cblr-2931	969	11	fiduciary	fiduciary	ADJ
cblr-2931	969	12	obligations	obligation	NOUN
cblr-2931	969	13	,	,	PUNCT
cblr-2931	969	14	have	have	AUX
cblr-2931	969	15	played	play	VERB
cblr-2931	969	16	a	a	DET
cblr-2931	969	17	significant	significant	ADJ
cblr-2931	969	18	role	role	NOUN
cblr-2931	969	19	in	in	ADP
cblr-2931	969	20	broker	broker	NOUN
cblr-2931	969	21	-	-	PUNCT
cblr-2931	969	22	dealer	dealer	NOUN
cblr-2931	969	23	regulation	regulation	NOUN
cblr-2931	969	24	.	.	PUNCT
cblr-2931	970	1	without	without	ADP
cblr-2931	970	2	defining	define	VERB
cblr-2931	970	3	each	each	PRON
cblr-2931	970	4	and	and	CCONJ
cblr-2931	970	5	every	every	DET
cblr-2931	970	6	potential	potential	ADJ
cblr-2931	970	7	prohibited	prohibit	VERB
cblr-2931	970	8	practice	practice	NOUN
cblr-2931	970	9	,	,	PUNCT
cblr-2931	970	10	this	this	DET
cblr-2931	970	11	approach	approach	NOUN
cblr-2931	970	12	to	to	ADP
cblr-2931	970	13	regulation	regulation	NOUN
cblr-2931	970	14	has	have	AUX
cblr-2931	970	15	proven	prove	VERB
cblr-2931	970	16	satisfactory	satisfactory	ADJ
cblr-2931	970	17	in	in	ADP
cblr-2931	970	18	addressing	address	VERB
cblr-2931	970	19	improper	improper	ADJ
cblr-2931	970	20	practices	practice	NOUN
cblr-2931	970	21	.	.	PUNCT
cblr-2931	971	1	regulation	regulation	NOUN
cblr-2931	971	2	will	will	AUX
cblr-2931	971	3	not	not	PART
cblr-2931	971	4	entirely	entirely	ADV
cblr-2931	971	5	prevent	prevent	VERB
cblr-2931	971	6	unscrupulous	unscrupulous	ADJ
cblr-2931	971	7	conduct	conduct	NOUN
cblr-2931	971	8	.	.	PUNCT
cblr-2931	972	1	the	the	DET
cblr-2931	972	2	best	good	ADJ
cblr-2931	972	3	that	that	PRON
cblr-2931	972	4	can	can	AUX
cblr-2931	972	5	be	be	AUX
cblr-2931	972	6	hoped	hope	VERB
cblr-2931	972	7	for	for	ADP
cblr-2931	972	8	is	be	AUX
cblr-2931	972	9	that	that	PRON
cblr-2931	972	10	regulation	regulation	NOUN
cblr-2931	972	11	will	will	AUX
cblr-2931	972	12	provide	provide	VERB
cblr-2931	972	13	a	a	DET
cblr-2931	972	14	sound	sound	ADJ
cblr-2931	972	15	basis	basis	NOUN
cblr-2931	972	16	for	for	ADP
cblr-2931	972	17	determining	determine	VERB
cblr-2931	972	18	when	when	SCONJ
cblr-2931	972	19	the	the	DET
cblr-2931	972	20	line	line	NOUN
cblr-2931	972	21	between	between	ADP
cblr-2931	972	22	proper	proper	ADJ
cblr-2931	972	23	and	and	CCONJ
cblr-2931	972	24	improper	improper	ADJ
cblr-2931	972	25	conduct	conduct	NOUN
cblr-2931	972	26	has	have	AUX
cblr-2931	972	27	been	be	AUX
cblr-2931	972	28	crossed	cross	VERB
cblr-2931	972	29	.	.	PUNCT
cblr-2931	973	1	although	although	SCONJ
cblr-2931	973	2	broker	broker	NOUN
cblr-2931	973	3	-	-	PUNCT
cblr-2931	973	4	dealer	dealer	NOUN
cblr-2931	973	5	regulation	regulation	NOUN
cblr-2931	973	6	is	be	AUX
cblr-2931	973	7	premised	premise	VERB
cblr-2931	973	8	on	on	ADP
cblr-2931	973	9	general	general	ADJ
cblr-2931	973	10	principles	principle	NOUN
cblr-2931	973	11	and	and	CCONJ
cblr-2931	973	12	standards	standard	NOUN
cblr-2931	973	13	,	,	PUNCT
cblr-2931	973	14	there	there	PRON
cblr-2931	973	15	are	be	VERB
cblr-2931	973	16	instances	instance	NOUN
cblr-2931	973	17	in	in	ADP
cblr-2931	973	18	which	which	PRON
cblr-2931	973	19	regulators	regulator	NOUN
cblr-2931	973	20	have	have	AUX
cblr-2931	973	21	engaged	engage	VERB
cblr-2931	973	22	in	in	ADP
cblr-2931	973	23	more	more	ADV
cblr-2931	973	24	specific	specific	ADJ
cblr-2931	973	25	rulemaking	rulemaking	NOUN
cblr-2931	973	26	.	.	PUNCT
cblr-2931	974	1	striking	strike	VERB
cblr-2931	974	2	examples	example	NOUN
cblr-2931	974	3	are	be	AUX
cblr-2931	974	4	the	the	DET
cblr-2931	974	5	rules	rule	NOUN
cblr-2931	974	6	that	that	PRON
cblr-2931	974	7	developed	develop	VERB
cblr-2931	974	8	in	in	ADP
cblr-2931	974	9	the	the	DET
cblr-2931	974	10	wake	wake	NOUN
cblr-2931	974	11	of	of	ADP
cblr-2931	974	12	various	various	ADJ
cblr-2931	974	13	public	public	ADJ
cblr-2931	974	14	offering	offering	NOUN
cblr-2931	974	15	abuses	abuse	NOUN
cblr-2931	974	16	that	that	PRON
cblr-2931	974	17	occurred	occur	VERB
cblr-2931	974	18	in	in	ADP
cblr-2931	974	19	the	the	DET
cblr-2931	974	20	1990s	1990s	NUM
cblr-2931	974	21	.	.	PUNCT
cblr-2931	975	1	the	the	DET
cblr-2931	975	2	section	section	NOUN
cblr-2931	975	3	that	that	PRON
cblr-2931	975	4	follows	follow	VERB
cblr-2931	975	5	discusses	discuss	VERB
cblr-2931	975	6	the	the	DET
cblr-2931	975	7	regulatory	regulatory	ADJ
cblr-2931	975	8	responses	response	NOUN
cblr-2931	975	9	to	to	ADP
cblr-2931	975	10	these	these	DET
cblr-2931	975	11	events	event	NOUN
cblr-2931	975	12	.	.	PUNCT
cblr-2931	976	1	html?rbid=2403&elementid=3640	html?rbid=2403&elementid=3640	VERB
cblr-2931	976	2	(	(	PUNCT
cblr-2931	976	3	"	"	PUNCT
cblr-2931	976	4	implicit	implicit	ADJ
cblr-2931	976	5	in	in	ADP
cblr-2931	976	6	all	all	DET
cblr-2931	976	7	member	member	NOUN
cblr-2931	976	8	and	and	CCONJ
cblr-2931	976	9	registered	register	VERB
cblr-2931	976	10	representative	representative	ADJ
cblr-2931	976	11	relationships	relationship	NOUN
cblr-2931	976	12	with	with	ADP
cblr-2931	976	13	customers	customer	NOUN
cblr-2931	976	14	and	and	CCONJ
cblr-2931	976	15	others	other	NOUN
cblr-2931	976	16	is	be	AUX
cblr-2931	976	17	the	the	DET
cblr-2931	976	18	fundamental	fundamental	ADJ
cblr-2931	976	19	responsibility	responsibility	NOUN
cblr-2931	976	20	for	for	ADP
cblr-2931	976	21	fair	fair	ADJ
cblr-2931	976	22	dealing	dealing	NOUN
cblr-2931	976	23	.	.	PUNCT
cblr-2931	977	1	sales	sale	NOUN
cblr-2931	977	2	efforts	effort	NOUN
cblr-2931	977	3	must	must	AUX
cblr-2931	977	4	therefore	therefore	ADV
cblr-2931	977	5	be	be	AUX
cblr-2931	977	6	undertaken	undertake	VERB
cblr-2931	977	7	only	only	ADV
cblr-2931	977	8	on	on	ADP
cblr-2931	977	9	a	a	DET
cblr-2931	977	10	basis	basis	NOUN
cblr-2931	977	11	that	that	PRON
cblr-2931	977	12	can	can	AUX
cblr-2931	977	13	be	be	AUX
cblr-2931	977	14	judged	judge	VERB
cblr-2931	977	15	as	as	ADP
cblr-2931	977	16	being	be	AUX
cblr-2931	977	17	within	within	ADP
cblr-2931	977	18	the	the	DET
cblr-2931	977	19	ethical	ethical	ADJ
cblr-2931	977	20	standards	standard	NOUN
cblr-2931	977	21	of	of	ADP
cblr-2931	977	22	the	the	DET
cblr-2931	977	23	association	association	NOUN
cblr-2931	977	24	's	's	PART
cblr-2931	977	25	rules	rule	NOUN
cblr-2931	977	26	,	,	PUNCT
cblr-2931	977	27	with	with	ADP
cblr-2931	977	28	particular	particular	ADJ
cblr-2931	977	29	emphasis	emphasis	NOUN
cblr-2931	977	30	on	on	ADP
cblr-2931	977	31	the	the	DET
cblr-2931	977	32	requirement	requirement	NOUN
cblr-2931	977	33	to	to	PART
cblr-2931	977	34	deal	deal	VERB
cblr-2931	977	35	fairly	fairly	ADV
cblr-2931	977	36	with	with	ADP
cblr-2931	977	37	the	the	DET
cblr-2931	977	38	public	public	NOUN
cblr-2931	977	39	.	.	PUNCT
cblr-2931	978	1	"	"	PUNCT
cblr-2931	978	2	)	)	PUNCT
cblr-2931	978	3	;	;	PUNCT
cblr-2931	978	4	nasd	nasd	NOUN
cblr-2931	978	5	rule	rule	PROPN
cblr-2931	978	6	im-23102(b)(5)(d	im-23102(b)(5)(d	PROPN
cblr-2931	978	7	)	)	PUNCT
cblr-2931	978	8	,	,	PUNCT
cblr-2931	978	9	available	available	ADJ
cblr-2931	978	10	at	at	ADP
cblr-2931	978	11	http://finra.complinet.com/en/display/displaymai	http://finra.complinet.com/en/display/displaymai	PROPN
cblr-2931	978	12	n.html?rbid=2403&element	n.html?rbid=2403&element	PROPN
cblr-2931	978	13	id=3640	id=3640	PROPN
cblr-2931	978	14	:	:	PUNCT
cblr-2931	978	15	the	the	DET
cblr-2931	978	16	commission	commission	NOUN
cblr-2931	978	17	has	have	AUX
cblr-2931	978	18	also	also	ADV
cblr-2931	978	19	recognized	recognize	VERB
cblr-2931	978	20	that	that	SCONJ
cblr-2931	978	21	brokers	broker	NOUN
cblr-2931	978	22	and	and	CCONJ
cblr-2931	978	23	dealers	dealer	NOUN
cblr-2931	978	24	have	have	VERB
cblr-2931	978	25	an	an	DET
cblr-2931	978	26	obligation	obligation	NOUN
cblr-2931	978	27	of	of	ADP
cblr-2931	978	28	fair	fair	ADJ
cblr-2931	978	29	dealing	dealing	NOUN
cblr-2931	978	30	in	in	ADP
cblr-2931	978	31	actions	action	NOUN
cblr-2931	978	32	under	under	ADP
cblr-2931	978	33	the	the	DET
cblr-2931	978	34	general	general	ADJ
cblr-2931	978	35	anti	anti	ADJ
cblr-2931	978	36	-	-	ADJ
cblr-2931	978	37	fraud	fraud	ADJ
cblr-2931	978	38	provisions	provision	NOUN
cblr-2931	978	39	of	of	ADP
cblr-2931	978	40	the	the	DET
cblr-2931	978	41	federal	federal	ADJ
cblr-2931	978	42	securities	security	NOUN
cblr-2931	978	43	laws	law	NOUN
cblr-2931	978	44	.	.	PUNCT
cblr-2931	979	1	the	the	DET
cblr-2931	979	2	commission	commission	NOUN
cblr-2931	979	3	bases	base	VERB
cblr-2931	979	4	this	this	DET
cblr-2931	979	5	obligation	obligation	NOUN
cblr-2931	979	6	on	on	ADP
cblr-2931	979	7	the	the	DET
cblr-2931	979	8	principle	principle	NOUN
cblr-2931	979	9	that	that	SCONJ
cblr-2931	979	10	when	when	SCONJ
cblr-2931	979	11	a	a	DET
cblr-2931	979	12	securities	security	NOUN
cblr-2931	979	13	dealer	dealer	NOUN
cblr-2931	979	14	opens	open	VERB
cblr-2931	979	15	his	his	PRON
cblr-2931	979	16	business	business	NOUN
cblr-2931	979	17	he	he	PRON
cblr-2931	979	18	is	be	AUX
cblr-2931	979	19	,	,	PUNCT
cblr-2931	979	20	in	in	ADP
cblr-2931	979	21	effect	effect	NOUN
cblr-2931	979	22	,	,	PUNCT
cblr-2931	979	23	representing	represent	VERB
cblr-2931	979	24	that	that	SCONJ
cblr-2931	979	25	he	he	PRON
cblr-2931	979	26	will	will	AUX
cblr-2931	979	27	deal	deal	VERB
cblr-2931	979	28	fairly	fairly	ADV
cblr-2931	979	29	with	with	ADP
cblr-2931	979	30	the	the	DET
cblr-2931	979	31	public	public	NOUN
cblr-2931	979	32	.	.	PUNCT
cblr-2931	980	1	certain	certain	ADJ
cblr-2931	980	2	of	of	ADP
cblr-2931	980	3	the	the	DET
cblr-2931	980	4	commission	commission	NOUN
cblr-2931	980	5	's	's	PART
cblr-2931	980	6	cases	case	NOUN
cblr-2931	980	7	on	on	ADP
cblr-2931	980	8	fair	fair	ADJ
cblr-2931	980	9	dealing	dealing	NOUN
cblr-2931	980	10	involve	involve	VERB
cblr-2931	980	11	practices	practice	NOUN
cblr-2931	980	12	not	not	PART
cblr-2931	980	13	covered	cover	VERB
cblr-2931	980	14	in	in	ADP
cblr-2931	980	15	the	the	DET
cblr-2931	980	16	foregoing	forego	VERB
cblr-2931	980	17	illustrations	illustration	NOUN
cblr-2931	980	18	.	.	PUNCT
cblr-2931	981	1	usually	usually	ADV
cblr-2931	981	2	,	,	PUNCT
cblr-2931	981	3	any	any	DET
cblr-2931	981	4	breach	breach	NOUN
cblr-2931	981	5	of	of	ADP
cblr-2931	981	6	the	the	DET
cblr-2931	981	7	obligation	obligation	NOUN
cblr-2931	981	8	of	of	ADP
cblr-2931	981	9	fair	fair	ADJ
cblr-2931	981	10	dealing	dealing	NOUN
cblr-2931	981	11	as	as	SCONJ
cblr-2931	981	12	determined	determine	VERB
cblr-2931	981	13	by	by	ADP
cblr-2931	981	14	the	the	DET
cblr-2931	981	15	commission	commission	NOUN
cblr-2931	981	16	under	under	ADP
cblr-2931	981	17	the	the	DET
cblr-2931	981	18	antifraud	antifraud	PROPN
cblr-2931	981	19	provisions	provision	NOUN
cblr-2931	981	20	of	of	ADP
cblr-2931	981	21	the	the	DET
cblr-2931	981	22	securities	security	NOUN
cblr-2931	981	23	laws	law	NOUN
cblr-2931	981	24	could	could	AUX
cblr-2931	981	25	be	be	AUX
cblr-2931	981	26	considered	consider	VERB
cblr-2931	981	27	a	a	DET
cblr-2931	981	28	violation	violation	NOUN
cblr-2931	981	29	of	of	ADP
cblr-2931	981	30	the	the	DET
cblr-2931	981	31	association	association	NOUN
cblr-2931	981	32	's	's	PART
cblr-2931	981	33	rules	rule	NOUN
cblr-2931	981	34	.	.	PUNCT
cblr-2931	982	1	755	755	NUM
cblr-2931	982	2	e.	e.	PROPN
cblr-2931	982	3	public	public	PROPN
cblr-2931	982	4	offering	offer	VERB
cblr-2931	982	5	sales	sale	NOUN
cblr-2931	982	6	practices	practice	VERB
cblr-2931	982	7	an	an	DET
cblr-2931	982	8	example	example	NOUN
cblr-2931	982	9	of	of	ADP
cblr-2931	982	10	broker	broker	NOUN
cblr-2931	982	11	-	-	PUNCT
cblr-2931	982	12	dealer	dealer	NOUN
cblr-2931	982	13	rulemaking	rulemaking	NOUN
cblr-2931	982	14	with	with	ADP
cblr-2931	982	15	specific	specific	ADJ
cblr-2931	982	16	,	,	PUNCT
cblr-2931	982	17	detailed	detailed	ADJ
cblr-2931	982	18	rules	rule	NOUN
cblr-2931	982	19	occurred	occur	VERB
cblr-2931	982	20	in	in	ADP
cblr-2931	982	21	the	the	DET
cblr-2931	982	22	aftermath	aftermath	NOUN
cblr-2931	982	23	of	of	ADP
cblr-2931	982	24	problems	problem	NOUN
cblr-2931	982	25	in	in	ADP
cblr-2931	982	26	the	the	DET
cblr-2931	982	27	late	late	ADJ
cblr-2931	982	28	1990s	1990	NOUN
cblr-2931	982	29	regarding	regard	VERB
cblr-2931	982	30	certain	certain	ADJ
cblr-2931	982	31	practices	practice	NOUN
cblr-2931	982	32	in	in	ADP
cblr-2931	982	33	connection	connection	NOUN
cblr-2931	982	34	with	with	ADP
cblr-2931	982	35	public	public	ADJ
cblr-2931	982	36	offerings	offering	NOUN
cblr-2931	982	37	.	.	PUNCT
cblr-2931	983	1	during	during	ADP
cblr-2931	983	2	that	that	DET
cblr-2931	983	3	era	era	NOUN
cblr-2931	983	4	there	there	PRON
cblr-2931	983	5	was	be	VERB
cblr-2931	983	6	an	an	DET
cblr-2931	983	7	upsurge	upsurge	NOUN
cblr-2931	983	8	in	in	ADP
cblr-2931	983	9	a	a	DET
cblr-2931	983	10	number	number	NOUN
cblr-2931	983	11	of	of	ADP
cblr-2931	983	12	questionable	questionable	ADJ
cblr-2931	983	13	practices	practice	NOUN
cblr-2931	983	14	.	.	PUNCT
cblr-2931	984	1	"	"	PUNCT
cblr-2931	984	2	"	"	PUNCT
cblr-2931	984	3	for	for	ADP
cblr-2931	984	4	example	example	NOUN
cblr-2931	984	5	,	,	PUNCT
cblr-2931	984	6	there	there	PRON
cblr-2931	984	7	were	be	VERB
cblr-2931	984	8	instances	instance	NOUN
cblr-2931	984	9	of	of	ADP
cblr-2931	984	10	allocating	allocate	VERB
cblr-2931	984	11	"	"	PUNCT
cblr-2931	984	12	hot	hot	ADJ
cblr-2931	984	13	issues"-those	issues"-those	PROPN
cblr-2931	984	14	that	that	PRON
cblr-2931	984	15	were	be	AUX
cblr-2931	984	16	anticipated	anticipate	VERB
cblr-2931	984	17	to	to	PART
cblr-2931	984	18	trade	trade	VERB
cblr-2931	984	19	above	above	ADP
cblr-2931	984	20	the	the	DET
cblr-2931	984	21	offering	offering	NOUN
cblr-2931	984	22	price	price	NOUN
cblr-2931	984	23	.	.	PUNCT
cblr-2931	985	1	there	there	PRON
cblr-2931	985	2	were	be	VERB
cblr-2931	985	3	preexisting	preexist	VERB
cblr-2931	985	4	principles	principle	NOUN
cblr-2931	985	5	regarding	regard	VERB
cblr-2931	985	6	improper	improper	ADJ
cblr-2931	985	7	allocation	allocation	NOUN
cblr-2931	985	8	practices	practice	NOUN
cblr-2931	985	9	;	;	PUNCT
cblr-2931	985	10	'	'	PUNCT
cblr-2931	985	11	nevertheless	nevertheless	ADV
cblr-2931	985	12	,	,	PUNCT
cblr-2931	985	13	the	the	DET
cblr-2931	985	14	nasd	nasd	NOUN
cblr-2931	985	15	saw	see	VERB
cblr-2931	985	16	fit	fit	ADJ
cblr-2931	985	17	to	to	PART
cblr-2931	985	18	propose	propose	VERB
cblr-2931	985	19	more	more	ADV
cblr-2931	985	20	detailed	detailed	ADJ
cblr-2931	985	21	rules	rule	NOUN
cblr-2931	985	22	regarding	regard	VERB
cblr-2931	985	23	allocation	allocation	NOUN
cblr-2931	985	24	of	of	ADP
cblr-2931	985	25	public	public	ADJ
cblr-2931	985	26	offerings	offering	NOUN
cblr-2931	985	27	.	.	PUNCT
cblr-2931	986	1	"	"	PUNCT
cblr-2931	986	2	'	'	PUNCT
cblr-2931	986	3	the	the	DET
cblr-2931	986	4	pernicious	pernicious	ADJ
cblr-2931	986	5	practice	practice	NOUN
cblr-2931	986	6	of	of	ADP
cblr-2931	986	7	laddering	ladder	VERB
cblr-2931	986	8	,	,	PUNCT
cblr-2931	986	9	or	or	CCONJ
cblr-2931	986	10	pre	pre	ADJ
cblr-2931	986	11	-	-	ADJ
cblr-2931	986	12	selling	sell	VERB
cblr-2931	986	13	the	the	DET
cblr-2931	986	14	aftermarket	aftermarket	NOUN
cblr-2931	986	15	,	,	PUNCT
cblr-2931	986	16	grew	grow	VERB
cblr-2931	986	17	during	during	ADP
cblr-2931	986	18	the	the	DET
cblr-2931	986	19	1990s	1990s	NUM
cblr-2931	986	20	.	.	PUNCT
cblr-2931	987	1	laddering	ladder	VERB
cblr-2931	987	2	consists	consist	VERB
cblr-2931	987	3	of	of	ADP
cblr-2931	987	4	requiring	require	VERB
cblr-2931	987	5	purchasers	purchaser	NOUN
cblr-2931	987	6	of	of	ADP
cblr-2931	987	7	registered	register	VERB
cblr-2931	987	8	offerings	offering	NOUN
cblr-2931	987	9	to	to	PART
cblr-2931	987	10	commit	commit	VERB
cblr-2931	987	11	to	to	PART
cblr-2931	987	12	purchase	purchase	VERB
cblr-2931	987	13	shares	share	NOUN
cblr-2931	987	14	in	in	ADP
cblr-2931	987	15	the	the	DET
cblr-2931	987	16	aftermarket	aftermarket	NOUN
cblr-2931	987	17	in	in	ADP
cblr-2931	987	18	order	order	NOUN
cblr-2931	987	19	to	to	PART
cblr-2931	987	20	get	get	VERB
cblr-2931	987	21	part	part	NOUN
cblr-2931	987	22	of	of	ADP
cblr-2931	987	23	the	the	DET
cblr-2931	987	24	public	public	ADJ
cblr-2931	987	25	offering	offering	NOUN
cblr-2931	987	26	allocation	allocation	NOUN
cblr-2931	987	27	.	.	PUNCT
cblr-2931	988	1	this	this	DET
cblr-2931	988	2	practice	practice	NOUN
cblr-2931	988	3	not	not	PART
cblr-2931	988	4	only	only	ADV
cblr-2931	988	5	provides	provide	VERB
cblr-2931	988	6	improper	improper	ADJ
cblr-2931	988	7	consideration	consideration	NOUN
cblr-2931	988	8	for	for	ADP
cblr-2931	988	9	the	the	DET
cblr-2931	988	10	allocation	allocation	NOUN
cblr-2931	988	11	of	of	ADP
cblr-2931	988	12	ipo	ipo	NOUN
cblr-2931	988	13	shares	share	NOUN
cblr-2931	988	14	,	,	PUNCT
cblr-2931	988	15	but	but	CCONJ
cblr-2931	988	16	also	also	ADV
cblr-2931	988	17	creates	create	VERB
cblr-2931	988	18	additional	additional	ADJ
cblr-2931	988	19	demand	demand	NOUN
cblr-2931	988	20	in	in	ADP
cblr-2931	988	21	the	the	DET
cblr-2931	988	22	aftermarket	aftermarket	NOUN
cblr-2931	988	23	,	,	PUNCT
cblr-2931	988	24	designed	design	VERB
cblr-2931	988	25	to	to	PART
cblr-2931	988	26	ensure	ensure	VERB
cblr-2931	988	27	an	an	DET
cblr-2931	988	28	increase	increase	NOUN
cblr-2931	988	29	in	in	ADP
cblr-2931	988	30	prices	price	NOUN
cblr-2931	988	31	once	once	SCONJ
cblr-2931	988	32	the	the	DET
cblr-2931	988	33	shares	share	NOUN
cblr-2931	988	34	are	be	AUX
cblr-2931	988	35	publicly	publicly	ADV
cblr-2931	988	36	traded	trade	VERB
cblr-2931	988	37	.	.	PUNCT
cblr-2931	988	38	'	'	PUNCT
cblr-2931	989	1	laddering	ladder	VERB
cblr-2931	989	2	generates	generate	VERB
cblr-2931	989	3	buying	buy	VERB
cblr-2931	989	4	interest	interest	NOUN
cblr-2931	989	5	in	in	ADP
cblr-2931	989	6	offered	offer	VERB
cblr-2931	989	7	securities	security	NOUN
cblr-2931	989	8	that	that	PRON
cblr-2931	989	9	would	would	AUX
cblr-2931	989	10	not	not	PART
cblr-2931	989	11	exist	exist	VERB
cblr-2931	989	12	otherwise	otherwise	ADV
cblr-2931	989	13	.	.	PUNCT
cblr-2931	990	1	this	this	DET
cblr-2931	990	2	practice	practice	NOUN
cblr-2931	990	3	violates	violate	VERB
cblr-2931	990	4	a	a	DET
cblr-2931	990	5	number	number	NOUN
cblr-2931	990	6	of	of	ADP
cblr-2931	990	7	existing	exist	VERB
cblr-2931	990	8	rules	rule	NOUN
cblr-2931	990	9	and	and	CCONJ
cblr-2931	990	10	principles	principle	NOUN
cblr-2931	990	11	.	.	PUNCT
cblr-2931	991	1	for	for	ADP
cblr-2931	991	2	instance	instance	NOUN
cblr-2931	991	3	,	,	PUNCT
cblr-2931	991	4	a	a	DET
cblr-2931	991	5	1	1	NUM
cblr-2931	991	6	see	see	VERB
cblr-2931	991	7	generally	generally	ADV
cblr-2931	991	8	hazen	hazen	PROPN
cblr-2931	991	9	,	,	PUNCT
cblr-2931	991	10	supra	supra	PROPN
cblr-2931	991	11	note	note	NOUN
cblr-2931	991	12	93	93	NUM
cblr-2931	991	13	.	.	PUNCT
cblr-2931	991	14	'	'	PUNCT
cblr-2931	991	15	"	"	PUNCT
cblr-2931	991	16	see	see	VERB
cblr-2931	991	17	finra	finra	PROPN
cblr-2931	991	18	manual	manual	NOUN
cblr-2931	991	19	rule	rule	NOUN
cblr-2931	991	20	5110	5110	NUM
cblr-2931	991	21	,	,	PUNCT
cblr-2931	991	22	available	available	ADJ
cblr-2931	991	23	at	at	ADP
cblr-2931	991	24	http://finra.complinet.com/en/display/display-main.html?rbid=2403&eleme	http://finra.complinet.com/en/display/display-main.html?rbid=2403&eleme	PROPN
cblr-2931	991	25	nt	nt	PROPN
cblr-2931	991	26	id=6831	id=6831	PROPN
cblr-2931	991	27	and	and	CCONJ
cblr-2931	991	28	finra	finra	PROPN
cblr-2931	991	29	manual	manual	NOUN
cblr-2931	991	30	rule	rule	VERB
cblr-2931	991	31	5190	5190	NUM
cblr-2931	991	32	,	,	PUNCT
cblr-2931	991	33	available	available	ADJ
cblr-2931	991	34	at	at	ADP
cblr-2931	991	35	http://finra.complinet.com/en/display/display-main.html?rbid=2403&eleme	http://finra.complinet.com/en/display/display-main.html?rbid=2403&eleme	PROPN
cblr-2931	991	36	nt	nt	ADP
cblr-2931	991	37	id=6833	id=6833	PROPN
cblr-2931	991	38	(	(	PUNCT
cblr-2931	991	39	addressing	address	VERB
cblr-2931	991	40	filing	filing	NOUN
cblr-2931	991	41	requirements	requirement	NOUN
cblr-2931	991	42	for	for	ADP
cblr-2931	991	43	underwriters	underwriter	NOUN
cblr-2931	991	44	associated	associate	VERB
cblr-2931	991	45	with	with	ADP
cblr-2931	991	46	ipos	ipos	PROPN
cblr-2931	991	47	)	)	PUNCT
cblr-2931	991	48	.	.	PUNCT
cblr-2931	992	1	189	189	NUM
cblr-2931	992	2	see	see	VERB
cblr-2931	992	3	finra	finra	PROPN
cblr-2931	992	4	proposed	propose	VERB
cblr-2931	992	5	rule	rule	NOUN
cblr-2931	992	6	5131	5131	NUM
cblr-2931	992	7	,	,	PUNCT
cblr-2931	992	8	available	available	ADJ
cblr-2931	992	9	at	at	ADP
cblr-2931	992	10	http://www.finra.org/web/groups/industry/@ip/@reg/@rulfil/documents/rulef	http://www.finra.org/web/groups/industry/@ip/@reg/@rulfil/documents/rulef	PROPN
cblr-2931	992	11	ilings	iling	NOUN
cblr-2931	992	12	/	/	SYM
cblr-2931	992	13	p120939.pdf	p120939.pdf	NOUN
cblr-2931	992	14	;	;	PUNCT
cblr-2931	992	15	nasd	nasd	NOUN
cblr-2931	992	16	proposed	propose	VERB
cblr-2931	992	17	rule	rule	NOUN
cblr-2931	992	18	2712	2712	NUM
cblr-2931	992	19	,	,	PUNCT
cblr-2931	992	20	available	available	ADJ
cblr-2931	992	21	at	at	ADP
cblr-2931	992	22	http://www	http://www	PROPN
cblr-2931	992	23	.	.	PUNCT
cblr-2931	993	1	complinet.com/file-store/pdf/rulebooks/nasd	complinet.com/file-store/pdf/rulebooks/nasd	NOUN
cblr-2931	993	2	0255.pdf	0255.pdf	PROPN
cblr-2931	993	3	(	(	PUNCT
cblr-2931	993	4	proposing	propose	VERB
cblr-2931	993	5	a	a	DET
cblr-2931	993	6	rule	rule	NOUN
cblr-2931	993	7	to	to	PART
cblr-2931	993	8	end	end	VERB
cblr-2931	993	9	abusive	abusive	ADJ
cblr-2931	993	10	ipo	ipo	NOUN
cblr-2931	993	11	allocation	allocation	NOUN
cblr-2931	993	12	processes	process	NOUN
cblr-2931	993	13	)	)	PUNCT
cblr-2931	993	14	;	;	PUNCT
cblr-2931	993	15	see	see	VERB
cblr-2931	993	16	also	also	ADV
cblr-2931	993	17	nyse	nyse	PROPN
cblr-2931	993	18	/	/	SYM
cblr-2931	993	19	nasd	nasd	PROPN
cblr-2931	993	20	ipo	ipo	PROPN
cblr-2931	993	21	advisory	advisory	PROPN
cblr-2931	993	22	committee	committee	PROPN
cblr-2931	993	23	report	report	NOUN
cblr-2931	993	24	(	(	PUNCT
cblr-2931	993	25	may	may	PROPN
cblr-2931	993	26	2003	2003	NUM
cblr-2931	993	27	)	)	PUNCT
cblr-2931	993	28	,	,	PUNCT
cblr-2931	993	29	available	available	ADJ
cblr-2931	993	30	at	at	ADP
cblr-2931	993	31	http://www.finra.o	http://www.finra.o	ADP
cblr-2931	993	32	rg	rg	PROPN
cblr-2931	993	33	/	/	SYM
cblr-2931	993	34	web	web	NOUN
cblr-2931	993	35	/	/	SYM
cblr-2931	993	36	groups	group	NOUN
cblr-2931	993	37	/	/	SYM
cblr-2931	993	38	industry/@ip/@reg/@guide	industry/@ip/@reg/@guide	NOUN
cblr-2931	993	39	/	/	SYM
cblr-2931	993	40	documents	document	NOUN
cblr-2931	993	41	/	/	SYM
cblr-2931	993	42	industry	industry	NOUN
cblr-2931	993	43	/	/	SYM
cblr-2931	993	44	p010373.pdf	p010373.pdf	PROPN
cblr-2931	993	45	.	.	PUNCT
cblr-2931	994	1	10	10	NUM
cblr-2931	994	2	see	see	VERB
cblr-2931	994	3	,	,	PUNCT
cblr-2931	994	4	e.g.	e.g.	ADV
cblr-2931	994	5	,	,	PUNCT
cblr-2931	994	6	jenny	jenny	PROPN
cblr-2931	994	7	anderson	anderson	PROPN
cblr-2931	994	8	,	,	PUNCT
cblr-2931	994	9	2	2	NUM
cblr-2931	994	10	firms	firm	NOUN
cblr-2931	994	11	to	to	PART
cblr-2931	994	12	pay	pay	VERB
cblr-2931	994	13	$	$	SYM
cblr-2931	994	14	40	40	NUM
cblr-2931	994	15	million	million	NUM
cblr-2931	994	16	each	each	PRON
cblr-2931	994	17	in	in	ADP
cblr-2931	994	18	lp.o	lp.o	PROPN
cblr-2931	994	19	.	.	PUNCT
cblr-2931	995	1	case	case	NOUN
cblr-2931	995	2	,	,	PUNCT
cblr-2931	995	3	n.y	n.y	PROPN
cblr-2931	995	4	.	.	PROPN
cblr-2931	995	5	tmes	tmes	PROPN
cblr-2931	995	6	,	,	PUNCT
cblr-2931	995	7	jan	jan	PROPN
cblr-2931	995	8	.	.	PROPN
cblr-2931	995	9	26	26	NUM
cblr-2931	995	10	,	,	PUNCT
cblr-2931	995	11	2005	2005	NUM
cblr-2931	995	12	,	,	PUNCT
cblr-2931	995	13	available	available	ADJ
cblr-2931	995	14	at	at	ADP
cblr-2931	995	15	http://www.nytimes.co	http://www.nytimes.co	NOUN
cblr-2931	995	16	m/2005/01/26	m/2005/01/26	NOUN
cblr-2931	995	17	/	/	SYM
cblr-2931	995	18	business/26wall.html	business/26wall.html	PROPN
cblr-2931	995	19	.	.	PUNCT
cblr-2931	996	1	col	col	PROPN
cblr-2931	996	2	umbia	umbia	PROPN
cblr-2931	996	3	b	b	PROPN
cblr-2931	996	4	usiness	usiness	PROPN
cblr-2931	996	5	la	la	PROPN
cblr-2931	996	6	w	w	PROPN
cblr-2931	996	7	re	re	PROPN
cblr-2931	996	8	vie	vie	PROPN
cblr-2931	996	9	w	w	PROPN
cblr-2931	997	1	[	[	X
cblr-2931	997	2	vol	vol	NOUN
cblr-2931	997	3	.	.	PUNCT
cblr-2931	998	1	2010756	2010756	NUM
cblr-2931	998	2	no	no	NOUN
cblr-2931	998	3	.	.	NOUN
cblr-2931	998	4	3:7	3:7	NUM
cblr-2931	998	5	10	10	NUM
cblr-2931	998	6	]	]	PUNCT
cblr-2931	998	7	are	be	AUX
cblr-2931	998	8	exsting	exste	VERB
cblr-2931	998	9	stock	stock	NOUN
cblr-2931	998	10	broker	broker	NOUN
cblr-2931	998	11	standards	standard	NOUN
cblr-2931	998	12	sufficient	sufficient	ADJ
cblr-2931	998	13	?	?	PUNCT
cblr-2931	999	1	distribution	distribution	NOUN
cblr-2931	999	2	plan	plan	NOUN
cblr-2931	999	3	requiring	require	VERB
cblr-2931	999	4	purchasers	purchaser	NOUN
cblr-2931	999	5	to	to	PART
cblr-2931	999	6	commit	commit	VERB
cblr-2931	999	7	to	to	ADP
cblr-2931	999	8	aftermarket	aftermarket	NOUN
cblr-2931	999	9	purchases	purchase	NOUN
cblr-2931	999	10	would	would	AUX
cblr-2931	999	11	have	have	VERB
cblr-2931	999	12	to	to	PART
cblr-2931	999	13	be	be	AUX
cblr-2931	999	14	disclosed	disclose	VERB
cblr-2931	999	15	in	in	ADP
cblr-2931	999	16	the	the	DET
cblr-2931	999	17	offering	offering	NOUN
cblr-2931	999	18	registration	registration	NOUN
cblr-2931	999	19	statement	statement	NOUN
cblr-2931	999	20	filed	file	VERB
cblr-2931	999	21	with	with	ADP
cblr-2931	999	22	the	the	DET
cblr-2931	999	23	sec	sec	PROPN
cblr-2931	999	24	.	.	PUNCT
cblr-2931	999	25	'	'	PUNCT
cblr-2931	1000	1	regardless	regardless	ADV
cblr-2931	1000	2	of	of	ADP
cblr-2931	1000	3	disclosure	disclosure	NOUN
cblr-2931	1000	4	,	,	PUNCT
cblr-2931	1000	5	pre	pre	ADJ
cblr-2931	1000	6	-	-	ADJ
cblr-2931	1000	7	selling	sell	VERB
cblr-2931	1000	8	the	the	DET
cblr-2931	1000	9	aftermarket	aftermarket	NOUN
cblr-2931	1000	10	implicates	implicate	VERB
cblr-2931	1000	11	the	the	DET
cblr-2931	1000	12	antifraud	antifraud	NOUN
cblr-2931	1000	13	and	and	CCONJ
cblr-2931	1000	14	anti	anti	ADJ
cblr-2931	1000	15	-	-	ADJ
cblr-2931	1000	16	manipulation	manipulation	NOUN
cblr-2931	1000	17	rules	rule	NOUN
cblr-2931	1000	18	,	,	PUNCT
cblr-2931	1000	19	as	as	SCONJ
cblr-2931	1000	20	those	those	DET
cblr-2931	1000	21	sales	sale	NOUN
cblr-2931	1000	22	are	be	AUX
cblr-2931	1000	23	designed	design	VERB
cblr-2931	1000	24	to	to	PART
cblr-2931	1000	25	produce	produce	VERB
cblr-2931	1000	26	artificial	artificial	ADJ
cblr-2931	1000	27	demand	demand	NOUN
cblr-2931	1000	28	.	.	PUNCT
cblr-2931	1001	1	solicitation	solicitation	NOUN
cblr-2931	1001	2	of	of	ADP
cblr-2931	1001	3	commitments	commitment	NOUN
cblr-2931	1001	4	to	to	PART
cblr-2931	1001	5	purchase	purchase	VERB
cblr-2931	1001	6	in	in	ADP
cblr-2931	1001	7	the	the	DET
cblr-2931	1001	8	aftermarket	aftermarket	NOUN
cblr-2931	1001	9	violates	violate	VERB
cblr-2931	1001	10	the	the	DET
cblr-2931	1001	11	securities	security	NOUN
cblr-2931	1001	12	act	act	PROPN
cblr-2931	1001	13	's	's	PART
cblr-2931	1001	14	anti	anti	ADJ
cblr-2931	1001	15	-	-	ADJ
cblr-2931	1001	16	gun	gun	ADJ
cblr-2931	1001	17	jumping	jumping	NOUN
cblr-2931	1001	18	provisions	provision	NOUN
cblr-2931	1001	19	.	.	PUNCT
cblr-2931	1002	1	'9	'9	NOUN
cblr-2931	1003	1	2	2	NUM
cblr-2931	1003	2	also	also	ADV
cblr-2931	1003	3	,	,	PUNCT
cblr-2931	1003	4	in	in	ADP
cblr-2931	1003	5	the	the	DET
cblr-2931	1003	6	1990s	1990	NOUN
cblr-2931	1003	7	,	,	PUNCT
cblr-2931	1003	8	many	many	ADJ
cblr-2931	1003	9	ipos	ipos	NOUN
cblr-2931	1003	10	were	be	AUX
cblr-2931	1003	11	marketed	market	VERB
cblr-2931	1003	12	by	by	ADP
cblr-2931	1003	13	"	"	PUNCT
cblr-2931	1003	14	spinning"'19	spinning"'19	PROPN
cblr-2931	1003	15	ipo	ipo	NOUN
cblr-2931	1003	16	shares	share	NOUN
cblr-2931	1003	17	to	to	PART
cblr-2931	1003	18	favored	favor	VERB
cblr-2931	1003	19	customers	customer	NOUN
cblr-2931	1003	20	in	in	ADP
cblr-2931	1003	21	exchange	exchange	NOUN
cblr-2931	1003	22	for	for	ADP
cblr-2931	1003	23	a	a	DET
cblr-2931	1003	24	quid	quid	ADJ
cblr-2931	1003	25	pro	pro	X
cblr-2931	1003	26	quo	quo	NOUN
cblr-2931	1003	27	.	.	PUNCT
cblr-2931	1004	1	some	some	DET
cblr-2931	1004	2	shares	share	NOUN
cblr-2931	1004	3	were	be	AUX
cblr-2931	1004	4	given	give	VERB
cblr-2931	1004	5	to	to	ADP
cblr-2931	1004	6	parties	party	NOUN
cblr-2931	1004	7	who	who	PRON
cblr-2931	1004	8	planned	plan	VERB
cblr-2931	1004	9	to	to	PART
cblr-2931	1004	10	"	"	PUNCT
cblr-2931	1004	11	flip"194	flip"194	X
cblr-2931	1004	12	the	the	DET
cblr-2931	1004	13	shares	share	NOUN
cblr-2931	1004	14	by	by	ADP
cblr-2931	1004	15	reselling	resell	VERB
cblr-2931	1004	16	them	they	PRON
cblr-2931	1004	17	immediately	immediately	ADV
cblr-2931	1004	18	into	into	ADP
cblr-2931	1004	19	the	the	DET
cblr-2931	1004	20	public	public	ADJ
cblr-2931	1004	21	market	market	NOUN
cblr-2931	1004	22	.	.	PUNCT
cblr-2931	1005	1	although	although	SCONJ
cblr-2931	1005	2	not	not	PART
cblr-2931	1005	3	explicitly	explicitly	ADV
cblr-2931	1005	4	fraudulent	fraudulent	ADJ
cblr-2931	1005	5	or	or	CCONJ
cblr-2931	1005	6	otherwise	otherwise	ADV
cblr-2931	1005	7	per	per	X
cblr-2931	1005	8	se	se	X
cblr-2931	1005	9	manipulative	manipulative	NOUN
cblr-2931	1005	10	,	,	PUNCT
cblr-2931	1005	11	these	these	DET
cblr-2931	1005	12	practices	practice	NOUN
cblr-2931	1005	13	proved	prove	VERB
cblr-2931	1005	14	problematic	problematic	ADJ
cblr-2931	1005	15	and	and	CCONJ
cblr-2931	1005	16	have	have	AUX
cblr-2931	1005	17	been	be	AUX
cblr-2931	1005	18	attacked	attack	VERB
cblr-2931	1005	19	as	as	ADP
cblr-2931	1005	20	manipulative	manipulative	ADJ
cblr-2931	1005	21	and	and	CCONJ
cblr-2931	1005	22	deceptive	deceptive	ADJ
cblr-2931	1005	23	.	.	PUNCT
cblr-2931	1006	1	even	even	ADV
cblr-2931	1006	2	without	without	ADP
cblr-2931	1006	3	explicit	explicit	ADJ
cblr-2931	1006	4	rules	rule	NOUN
cblr-2931	1006	5	,	,	PUNCT
cblr-2931	1006	6	severe	severe	ADJ
cblr-2931	1006	7	sanctions	sanction	NOUN
cblr-2931	1006	8	may	may	AUX
cblr-2931	1006	9	be	be	AUX
cblr-2931	1006	10	imposed	impose	VERB
cblr-2931	1006	11	against	against	ADP
cblr-2931	1006	12	brokerage	brokerage	NOUN
cblr-2931	1006	13	firms	firm	NOUN
cblr-2931	1006	14	that	that	PRON
cblr-2931	1006	15	engage	engage	VERB
cblr-2931	1006	16	in	in	ADP
cblr-2931	1006	17	these	these	DET
cblr-2931	1006	18	and	and	CCONJ
cblr-2931	1006	19	other	other	ADJ
cblr-2931	1006	20	improper	improper	ADJ
cblr-2931	1006	21	ipo	ipo	NOUN
cblr-2931	1006	22	practices	practice	NOUN
cblr-2931	1006	23	.	.	PUNCT
cblr-2931	1007	1	"9	"9	PROPN
cblr-2931	1007	2	s	s	PART
cblr-2931	1007	3	191	191	NUM
cblr-2931	1007	4	the	the	DET
cblr-2931	1007	5	1933	1933	NUM
cblr-2931	1007	6	act	act	NOUN
cblr-2931	1007	7	disclosure	disclosure	NOUN
cblr-2931	1007	8	requirements	requirement	NOUN
cblr-2931	1007	9	are	be	AUX
cblr-2931	1007	10	discussed	discuss	VERB
cblr-2931	1007	11	in	in	ADP
cblr-2931	1007	12	hazen	hazen	PROPN
cblr-2931	1007	13	,	,	PUNCT
cblr-2931	1007	14	supra	supra	PROPN
cblr-2931	1007	15	note	note	NOUN
cblr-2931	1007	16	93	93	NUM
cblr-2931	1007	17	,	,	PUNCT
cblr-2931	1007	18	ch	ch	NOUN
cblr-2931	1007	19	.	.	PROPN
cblr-2931	1007	20	3	3	NUM
cblr-2931	1007	21	.	.	PUNCT
cblr-2931	1007	22	"	"	PUNCT
cblr-2931	1008	1	securities	security	NOUN
cblr-2931	1008	2	act	act	NOUN
cblr-2931	1008	3	of	of	ADP
cblr-2931	1008	4	1933	1933	NUM
cblr-2931	1008	5	,	,	PUNCT
cblr-2931	1008	6	section	section	NOUN
cblr-2931	1008	7	5(a	5(a	NUM
cblr-2931	1008	8	)	)	PUNCT
cblr-2931	1008	9	,	,	PUNCT
cblr-2931	1008	10	15	15	NUM
cblr-2931	1008	11	u.s.c	u.s.c	ADJ
cblr-2931	1008	12	.	.	PUNCT
cblr-2931	1009	1	§	§	PROPN
cblr-2931	1009	2	77e(a	77e(a	NUM
cblr-2931	1009	3	)	)	PUNCT
cblr-2931	1009	4	(	(	PUNCT
cblr-2931	1009	5	2010	2010	NUM
cblr-2931	1009	6	)	)	PUNCT
cblr-2931	1009	7	,	,	PUNCT
cblr-2931	1009	8	prohibits	prohibit	VERB
cblr-2931	1009	9	sales	sale	NOUN
cblr-2931	1009	10	of	of	ADP
cblr-2931	1009	11	securities	security	NOUN
cblr-2931	1009	12	covered	cover	VERB
cblr-2931	1009	13	by	by	ADP
cblr-2931	1009	14	a	a	DET
cblr-2931	1009	15	1933	1933	NUM
cblr-2931	1009	16	act	act	NOUN
cblr-2931	1009	17	registration	registration	NOUN
cblr-2931	1009	18	prior	prior	ADV
cblr-2931	1009	19	to	to	ADP
cblr-2931	1009	20	the	the	DET
cblr-2931	1009	21	registration	registration	NOUN
cblr-2931	1009	22	statement	statement	NOUN
cblr-2931	1009	23	's	's	PART
cblr-2931	1009	24	effective	effective	ADJ
cblr-2931	1009	25	date	date	NOUN
cblr-2931	1009	26	,	,	PUNCT
cblr-2931	1009	27	which	which	PRON
cblr-2931	1009	28	is	be	AUX
cblr-2931	1009	29	the	the	DET
cblr-2931	1009	30	date	date	NOUN
cblr-2931	1009	31	that	that	PRON
cblr-2931	1009	32	the	the	DET
cblr-2931	1009	33	public	public	ADJ
cblr-2931	1009	34	offering	offering	NOUN
cblr-2931	1009	35	begins	begin	VERB
cblr-2931	1009	36	.	.	PUNCT
cblr-2931	1010	1	in	in	ADP
cblr-2931	1010	2	securing	secure	VERB
cblr-2931	1010	3	commitments	commitment	NOUN
cblr-2931	1010	4	of	of	ADP
cblr-2931	1010	5	securities	security	NOUN
cblr-2931	1010	6	sales	sale	NOUN
cblr-2931	1010	7	prior	prior	ADV
cblr-2931	1010	8	to	to	ADP
cblr-2931	1010	9	the	the	DET
cblr-2931	1010	10	offering	offering	NOUN
cblr-2931	1010	11	date	date	NOUN
cblr-2931	1010	12	,	,	PUNCT
cblr-2931	1010	13	section	section	NOUN
cblr-2931	1010	14	5(a	5(a	NUM
cblr-2931	1010	15	)	)	PUNCT
cblr-2931	1010	16	is	be	AUX
cblr-2931	1010	17	violated	violate	VERB
cblr-2931	1010	18	.	.	PUNCT
cblr-2931	1011	1	193	193	NUM
cblr-2931	1011	2	spinning	spinning	NOUN
cblr-2931	1011	3	is	be	AUX
cblr-2931	1011	4	when	when	SCONJ
cblr-2931	1011	5	the	the	DET
cblr-2931	1011	6	underwriter	underwriter	NOUN
cblr-2931	1011	7	diverts	divert	VERB
cblr-2931	1011	8	hot	hot	ADJ
cblr-2931	1011	9	issues	issue	NOUN
cblr-2931	1011	10	to	to	PART
cblr-2931	1011	11	venture	venture	VERB
cblr-2931	1011	12	capitalists	capitalist	NOUN
cblr-2931	1011	13	and/or	and/or	CCONJ
cblr-2931	1011	14	executives	executive	NOUN
cblr-2931	1011	15	of	of	ADP
cblr-2931	1011	16	companies	company	NOUN
cblr-2931	1011	17	,	,	PUNCT
cblr-2931	1011	18	who	who	PRON
cblr-2931	1011	19	in	in	ADP
cblr-2931	1011	20	turn	turn	NOUN
cblr-2931	1011	21	have	have	VERB
cblr-2931	1011	22	the	the	DET
cblr-2931	1011	23	potential	potential	NOUN
cblr-2931	1011	24	to	to	PART
cblr-2931	1011	25	direct	direct	VERB
cblr-2931	1011	26	their	their	PRON
cblr-2931	1011	27	company	company	NOUN
cblr-2931	1011	28	's	's	PART
cblr-2931	1011	29	future	future	ADJ
cblr-2931	1011	30	offerings	offering	NOUN
cblr-2931	1011	31	to	to	ADP
cblr-2931	1011	32	the	the	DET
cblr-2931	1011	33	underwriters	underwriter	NOUN
cblr-2931	1011	34	.	.	PUNCT
cblr-2931	1012	1	see	see	VERB
cblr-2931	1012	2	,	,	PUNCT
cblr-2931	1012	3	e.g.	e.g.	ADV
cblr-2931	1012	4	,	,	PUNCT
cblr-2931	1012	5	spitzer	spitzer	PROPN
cblr-2931	1012	6	v.	v.	PROPN
cblr-2931	1012	7	mcleod	mcleod	PROPN
cblr-2931	1012	8	,	,	PUNCT
cblr-2931	1012	9	2006	2006	NUM
cblr-2931	1012	10	wl	wl	SYM
cblr-2931	1012	11	1374014	1374014	NUM
cblr-2931	1012	12	(	(	PUNCT
cblr-2931	1012	13	n.y	n.y	PROPN
cblr-2931	1012	14	.	.	PROPN
cblr-2931	1012	15	sup	sup	PROPN
cblr-2931	1012	16	.	.	PUNCT
cblr-2931	1013	1	ct	ct	NUM
cblr-2931	1013	2	.	.	NOUN
cblr-2931	1013	3	2006	2006	NUM
cblr-2931	1013	4	)	)	PUNCT
cblr-2931	1014	1	(	(	PUNCT
cblr-2931	1014	2	upholding	uphold	VERB
cblr-2931	1014	3	civil	civil	ADJ
cblr-2931	1014	4	fraud	fraud	NOUN
cblr-2931	1014	5	suit	suit	NOUN
cblr-2931	1014	6	for	for	ADP
cblr-2931	1014	7	undisclosed	undisclosed	ADJ
cblr-2931	1014	8	spinning	spinning	NOUN
cblr-2931	1014	9	in	in	ADP
cblr-2931	1014	10	connection	connection	NOUN
cblr-2931	1014	11	with	with	ADP
cblr-2931	1014	12	ipo	ipo	NOUN
cblr-2931	1014	13	)	)	PUNCT
cblr-2931	1014	14	.	.	PUNCT
cblr-2931	1015	1	cf	cf	NOUN
cblr-2931	1015	2	in	in	ADP
cblr-2931	1015	3	re	re	PROPN
cblr-2931	1015	4	ebay	ebay	PROPN
cblr-2931	1015	5	,	,	PUNCT
cblr-2931	1015	6	inc	inc	PROPN
cblr-2931	1015	7	s'holders	s'holders	PROPN
cblr-2931	1015	8	'	'	PART
cblr-2931	1015	9	litig	litig	NOUN
cblr-2931	1015	10	.	.	PUNCT
cblr-2931	1015	11	,	,	PUNCT
cblr-2931	1016	1	2004	2004	NUM
cblr-2931	1016	2	del	del	PROPN
cblr-2931	1016	3	.	.	PROPN
cblr-2931	1016	4	ch	ch	PROPN
cblr-2931	1016	5	.	.	PROPN
cblr-2931	1016	6	lexis	lexis	PROPN
cblr-2931	1016	7	4	4	NUM
cblr-2931	1016	8	(	(	PUNCT
cblr-2931	1016	9	del	del	PROPN
cblr-2931	1016	10	.	.	PROPN
cblr-2931	1016	11	ch	ch	PROPN
cblr-2931	1016	12	.	.	PUNCT
cblr-2931	1016	13	jan	jan	PROPN
cblr-2931	1016	14	.	.	PROPN
cblr-2931	1016	15	23	23	NUM
cblr-2931	1016	16	,	,	PUNCT
cblr-2931	1016	17	2004	2004	NUM
cblr-2931	1016	18	)	)	PUNCT
cblr-2931	1016	19	(	(	PUNCT
cblr-2931	1016	20	excusing	excuse	VERB
cblr-2931	1016	21	demand	demand	NOUN
cblr-2931	1016	22	requirement	requirement	NOUN
cblr-2931	1016	23	for	for	ADP
cblr-2931	1016	24	derivative	derivative	ADJ
cblr-2931	1016	25	suit	suit	NOUN
cblr-2931	1016	26	challenging	challenge	VERB
cblr-2931	1016	27	alleged	alleged	ADJ
cblr-2931	1016	28	spinning	spinning	NOUN
cblr-2931	1016	29	in	in	ADP
cblr-2931	1016	30	connection	connection	NOUN
cblr-2931	1016	31	with	with	ADP
cblr-2931	1016	32	ipo	ipo	NOUN
cblr-2931	1016	33	)	)	PUNCT
cblr-2931	1016	34	.	.	PUNCT
cblr-2931	1016	35	"	"	PUNCT
cblr-2931	1017	1	"	"	PUNCT
cblr-2931	1017	2	'	'	PUNCT
cblr-2931	1017	3	flipping	flip	VERB
cblr-2931	1017	4	'	'	PUNCT
cblr-2931	1017	5	is	be	AUX
cblr-2931	1017	6	the	the	DET
cblr-2931	1017	7	practice	practice	NOUN
cblr-2931	1017	8	of	of	ADP
cblr-2931	1017	9	buying	buy	VERB
cblr-2931	1017	10	a	a	DET
cblr-2931	1017	11	'	'	PUNCT
cblr-2931	1017	12	hot	hot	ADJ
cblr-2931	1017	13	issue	issue	NOUN
cblr-2931	1017	14	'	'	PUNCT
cblr-2931	1017	15	and	and	CCONJ
cblr-2931	1017	16	then	then	ADV
cblr-2931	1017	17	selling	sell	VERB
cblr-2931	1017	18	it	it	PRON
cblr-2931	1017	19	within	within	ADP
cblr-2931	1017	20	a	a	DET
cblr-2931	1017	21	short	short	ADJ
cblr-2931	1017	22	period	period	NOUN
cblr-2931	1017	23	of	of	ADP
cblr-2931	1017	24	time	time	NOUN
cblr-2931	1017	25	into	into	ADP
cblr-2931	1017	26	a	a	DET
cblr-2931	1017	27	rising	rise	VERB
cblr-2931	1017	28	market	market	NOUN
cblr-2931	1017	29	,	,	PUNCT
cblr-2931	1017	30	earning	earn	VERB
cblr-2931	1017	31	a	a	DET
cblr-2931	1017	32	quick	quick	ADJ
cblr-2931	1017	33	profit	profit	NOUN
cblr-2931	1017	34	on	on	ADP
cblr-2931	1017	35	the	the	DET
cblr-2931	1017	36	transactions	transaction	NOUN
cblr-2931	1017	37	.	.	PUNCT
cblr-2931	1017	38	"	"	PUNCT
cblr-2931	1018	1	in	in	ADP
cblr-2931	1018	2	the	the	DET
cblr-2931	1018	3	matter	matter	NOUN
cblr-2931	1018	4	of	of	ADP
cblr-2931	1018	5	account	account	PROPN
cblr-2931	1018	6	management	management	PROPN
cblr-2931	1018	7	corp	corp	PROPN
cblr-2931	1018	8	.	.	PROPN
cblr-2931	1018	9	,	,	PUNCT
cblr-2931	1018	10	exchange	exchange	PROPN
cblr-2931	1018	11	act	act	PROPN
cblr-2931	1018	12	release	release	VERB
cblr-2931	1018	13	no	no	DET
cblr-2931	1018	14	.	.	NOUN
cblr-2931	1018	15	36314	36314	NUM
cblr-2931	1018	16	,	,	PUNCT
cblr-2931	1018	17	60	60	NUM
cblr-2931	1018	18	sec	sec	PROPN
cblr-2931	1018	19	docket	docket	NOUN
cblr-2931	1018	20	962	962	NUM
cblr-2931	1018	21	,	,	PUNCT
cblr-2931	1018	22	1995	1995	NUM
cblr-2931	1018	23	wl	wl	NOUN
cblr-2931	1018	24	579449	579449	NUM
cblr-2931	1018	25	,	,	PUNCT
cblr-2931	1018	26	at	at	ADP
cblr-2931	1018	27	*	*	NOUN
cblr-2931	1018	28	3	3	NUM
cblr-2931	1018	29	(	(	PUNCT
cblr-2931	1018	30	sept	sept	PROPN
cblr-2931	1018	31	.	.	PROPN
cblr-2931	1018	32	29	29	NUM
cblr-2931	1018	33	,	,	PUNCT
cblr-2931	1018	34	1995	1995	NUM
cblr-2931	1018	35	)	)	PUNCT
cblr-2931	1018	36	.	.	PUNCT
cblr-2931	1019	1	195	195	NUM
cblr-2931	1019	2	for	for	ADP
cblr-2931	1019	3	example	example	NOUN
cblr-2931	1019	4	,	,	PUNCT
cblr-2931	1019	5	severe	severe	ADJ
cblr-2931	1019	6	penalties	penalty	NOUN
cblr-2931	1019	7	have	have	AUX
cblr-2931	1019	8	been	be	AUX
cblr-2931	1019	9	imposed	impose	VERB
cblr-2931	1019	10	against	against	ADP
cblr-2931	1019	11	firms	firm	NOUN
cblr-2931	1019	12	charged	charge	VERB
cblr-2931	1019	13	with	with	ADP
cblr-2931	1019	14	improper	improper	ADJ
cblr-2931	1019	15	ipo	ipo	NOUN
cblr-2931	1019	16	practices	practice	NOUN
cblr-2931	1019	17	.	.	PUNCT
cblr-2931	1020	1	see	see	VERB
cblr-2931	1020	2	,	,	PUNCT
cblr-2931	1020	3	e.g.	e.g.	ADV
cblr-2931	1020	4	,	,	PUNCT
cblr-2931	1020	5	sec	sec	PROPN
cblr-2931	1020	6	v.	v.	PROPN
cblr-2931	1020	7	morgan	morgan	PROPN
cblr-2931	1020	8	stanley	stanley	PROPN
cblr-2931	1020	9	&	&	CCONJ
cblr-2931	1020	10	co.	co.	PROPN
cblr-2931	1020	11	,	,	PUNCT
cblr-2931	1020	12	civ	civ	NOUN
cblr-2931	1020	13	.	.	PUNCT
cblr-2931	1021	1	action	action	NOUN
cblr-2931	1021	2	no	no	INTJ
cblr-2931	1021	3	.	.	PUNCT
cblr-2931	1022	1	1:05	1:05	NUM
cblr-2931	1022	2	cv00166	cv00166	NOUN
cblr-2931	1022	3	(	(	PUNCT
cblr-2931	1022	4	d.d.c	d.d.c	PROPN
cblr-2931	1022	5	.	.	PUNCT
cblr-2931	1022	6	)	)	PUNCT
cblr-2931	1022	7	,	,	PUNCT
cblr-2931	1022	8	litigation	litigation	NOUN
cblr-2931	1022	9	release	release	VERB
cblr-2931	1022	10	no	no	NOUN
cblr-2931	1022	11	.	.	NOUN
cblr-2931	1022	12	19050	19050	NUM
cblr-2931	1022	13	,	,	PUNCT
cblr-2931	1022	14	757	757	NUM
cblr-2931	1022	15	columbia	columbia	PROPN
cblr-2931	1022	16	business	business	NOUN
cblr-2931	1022	17	law	law	PROPN
cblr-2931	1022	18	review	review	VERB
cblr-2931	1022	19	there	there	PRON
cblr-2931	1022	20	are	be	VERB
cblr-2931	1022	21	several	several	ADJ
cblr-2931	1022	22	other	other	ADJ
cblr-2931	1022	23	offering	offering	NOUN
cblr-2931	1022	24	practices	practice	NOUN
cblr-2931	1022	25	that	that	PRON
cblr-2931	1022	26	were	be	AUX
cblr-2931	1022	27	addressed	address	VERB
cblr-2931	1022	28	by	by	ADP
cblr-2931	1022	29	proposed	propose	VERB
cblr-2931	1022	30	nasd	nasd	NOUN
cblr-2931	1022	31	and	and	CCONJ
cblr-2931	1022	32	finra	finra	PROPN
cblr-2931	1022	33	rulemaking.19	rulemaking.19	PROPN
cblr-2931	1022	34	6	6	NUM
cblr-2931	1022	35	the	the	DET
cblr-2931	1022	36	risk	risk	NOUN
cblr-2931	1022	37	in	in	ADP
cblr-2931	1022	38	adopting	adopt	VERB
cblr-2931	1022	39	such	such	DET
cblr-2931	1022	40	a	a	DET
cblr-2931	1022	41	detailed	detailed	ADJ
cblr-2931	1022	42	taxonomy	taxonomy	NOUN
cblr-2931	1022	43	of	of	ADP
cblr-2931	1022	44	prohibited	prohibit	VERB
cblr-2931	1022	45	practices	practice	NOUN
cblr-2931	1022	46	is	be	AUX
cblr-2931	1022	47	that	that	SCONJ
cblr-2931	1022	48	they	they	PRON
cblr-2931	1022	49	will	will	AUX
cblr-2931	1022	50	be	be	AUX
cblr-2931	1022	51	interpreted	interpret	VERB
cblr-2931	1022	52	as	as	ADP
cblr-2931	1022	53	providing	provide	VERB
cblr-2931	1022	54	an	an	DET
cblr-2931	1022	55	exhaustive	exhaustive	ADJ
cblr-2931	1022	56	list	list	NOUN
cblr-2931	1022	57	of	of	ADP
cblr-2931	1022	58	prohibited	prohibit	VERB
cblr-2931	1022	59	practices	practice	NOUN
cblr-2931	1022	60	.	.	PUNCT
cblr-2931	1023	1	however	however	ADV
cblr-2931	1023	2	,	,	PUNCT
cblr-2931	1023	3	these	these	DET
cblr-2931	1023	4	rules	rule	NOUN
cblr-2931	1023	5	were	be	AUX
cblr-2931	1023	6	not	not	PART
cblr-2931	1023	7	drafted	draft	VERB
cblr-2931	1023	8	with	with	ADP
cblr-2931	1023	9	such	such	ADJ
cblr-2931	1023	10	intent	intent	NOUN
cblr-2931	1023	11	,	,	PUNCT
cblr-2931	1023	12	and	and	CCONJ
cblr-2931	1023	13	consequently	consequently	ADV
cblr-2931	1023	14	,	,	PUNCT
cblr-2931	1023	15	should	should	AUX
cblr-2931	1023	16	not	not	PART
cblr-2931	1023	17	be	be	AUX
cblr-2931	1023	18	viewed	view	VERB
cblr-2931	1023	19	as	as	ADP
cblr-2931	1023	20	providing	provide	VERB
cblr-2931	1023	21	a	a	DET
cblr-2931	1023	22	complete	complete	ADJ
cblr-2931	1023	23	list	list	NOUN
cblr-2931	1023	24	of	of	ADP
cblr-2931	1023	25	impermissible	impermissible	ADJ
cblr-2931	1023	26	behaviors	behavior	NOUN
cblr-2931	1023	27	.	.	PUNCT
cblr-2931	1024	1	thus	thus	ADV
cblr-2931	1024	2	these	these	DET
cblr-2931	1024	3	rules	rule	NOUN
cblr-2931	1024	4	should	should	AUX
cblr-2931	1024	5	not	not	PART
cblr-2931	1024	6	be	be	AUX
cblr-2931	1024	7	used	use	VERB
cblr-2931	1024	8	to	to	PART
cblr-2931	1024	9	provide	provide	VERB
cblr-2931	1024	10	safe	safe	ADJ
cblr-2931	1024	11	harbors	harbor	NOUN
cblr-2931	1024	12	for	for	ADP
cblr-2931	1024	13	unenumerated	unenumerated	ADJ
cblr-2931	1024	14	deceptive	deceptive	ADJ
cblr-2931	1024	15	practices	practice	NOUN
cblr-2931	1024	16	.	.	PUNCT
cblr-2931	1025	1	instead	instead	ADV
cblr-2931	1025	2	,	,	PUNCT
cblr-2931	1025	3	it	it	PRON
cblr-2931	1025	4	is	be	AUX
cblr-2931	1025	5	imperative	imperative	ADJ
cblr-2931	1025	6	that	that	SCONJ
cblr-2931	1025	7	such	such	ADJ
cblr-2931	1025	8	rules	rule	NOUN
cblr-2931	1025	9	be	be	AUX
cblr-2931	1025	10	viewed	view	VERB
cblr-2931	1025	11	as	as	ADP
cblr-2931	1025	12	supplementing	supplement	VERB
cblr-2931	1025	13	,	,	PUNCT
cblr-2931	1025	14	rather	rather	ADV
cblr-2931	1025	15	than	than	ADP
cblr-2931	1025	16	replacing	replace	VERB
cblr-2931	1025	17	,	,	PUNCT
cblr-2931	1025	18	general	general	ADJ
cblr-2931	1025	19	principles	principle	NOUN
cblr-2931	1025	20	,	,	PUNCT
cblr-2931	1025	21	standards	standard	NOUN
cblr-2931	1025	22	,	,	PUNCT
cblr-2931	1025	23	and	and	CCONJ
cblr-2931	1025	24	the	the	DET
cblr-2931	1025	25	antifraud	antifraud	PROPN
cblr-2931	1025	26	rules	rule	VERB
cblr-2931	1025	27	that	that	PRON
cblr-2931	1025	28	apply	apply	VERB
cblr-2931	1025	29	to	to	ADP
cblr-2931	1025	30	broker	broker	NOUN
cblr-2931	1025	31	-	-	PUNCT
cblr-2931	1025	32	dealers	dealer	NOUN
cblr-2931	1025	33	.	.	PUNCT
cblr-2931	1026	1	2005	2005	NUM
cblr-2931	1026	2	wl	wl	SYM
cblr-2931	1026	3	156766	156766	NUM
cblr-2931	1026	4	(	(	PUNCT
cblr-2931	1026	5	jan	jan	PROPN
cblr-2931	1026	6	.	.	PROPN
cblr-2931	1026	7	25	25	NUM
cblr-2931	1026	8	,	,	PUNCT
cblr-2931	1026	9	2005	2005	NUM
cblr-2931	1026	10	)	)	PUNCT
cblr-2931	1026	11	;	;	PUNCT
cblr-2931	1026	12	sec	sec	PROPN
cblr-2931	1026	13	v.	v.	PROPN
cblr-2931	1026	14	goldman	goldman	PROPN
cblr-2931	1026	15	sachs	sachs	PROPN
cblr-2931	1026	16	&	&	CCONJ
cblr-2931	1026	17	co.	co.	PROPN
cblr-2931	1026	18	,	,	PUNCT
cblr-2931	1026	19	05	05	NUM
cblr-2931	1026	20	cv853	cv853	PROPN
cblr-2931	1026	21	(	(	PUNCT
cblr-2931	1026	22	s.d.n.y	s.d.n.y	PROPN
cblr-2931	1026	23	.	.	PROPN
cblr-2931	1026	24	2005	2005	NUM
cblr-2931	1026	25	)	)	PUNCT
cblr-2931	1026	26	,	,	PUNCT
cblr-2931	1026	27	litigation	litigation	NOUN
cblr-2931	1026	28	release	release	VERB
cblr-2931	1026	29	no	no	PRON
cblr-2931	1026	30	.	.	NOUN
cblr-2931	1026	31	19051	19051	NUM
cblr-2931	1026	32	,	,	PUNCT
cblr-2931	1026	33	2005	2005	NUM
cblr-2931	1026	34	wl	wl	NOUN
cblr-2931	1026	35	156767	156767	NUM
cblr-2931	1026	36	(	(	PUNCT
cblr-2931	1026	37	jan	jan	PROPN
cblr-2931	1026	38	.	.	PROPN
cblr-2931	1026	39	25	25	NUM
cblr-2931	1026	40	,	,	PUNCT
cblr-2931	1026	41	2005	2005	NUM
cblr-2931	1026	42	)	)	PUNCT
cblr-2931	1026	43	.	.	PUNCT
cblr-2931	1027	1	these	these	PRON
cblr-2931	1027	2	were	be	AUX
cblr-2931	1027	3	two	two	NUM
cblr-2931	1027	4	instances	instance	NOUN
cblr-2931	1027	5	in	in	ADP
cblr-2931	1027	6	which	which	PRON
cblr-2931	1027	7	the	the	DET
cblr-2931	1027	8	firm	firm	NOUN
cblr-2931	1027	9	agreed	agree	VERB
cblr-2931	1027	10	to	to	ADP
cblr-2931	1027	11	$	$	SYM
cblr-2931	1027	12	40	40	NUM
cblr-2931	1027	13	million	million	NUM
cblr-2931	1027	14	fines	fine	NOUN
cblr-2931	1027	15	without	without	ADP
cblr-2931	1027	16	admitting	admit	VERB
cblr-2931	1027	17	guilt	guilt	NOUN
cblr-2931	1027	18	.	.	PUNCT
cblr-2931	1028	1	the	the	DET
cblr-2931	1028	2	sec	sec	PROPN
cblr-2931	1028	3	charged	charge	VERB
cblr-2931	1028	4	the	the	DET
cblr-2931	1028	5	firms	firm	NOUN
cblr-2931	1028	6	with	with	ADP
cblr-2931	1028	7	various	various	ADJ
cblr-2931	1028	8	improper	improper	ADJ
cblr-2931	1028	9	practices	practice	NOUN
cblr-2931	1028	10	,	,	PUNCT
cblr-2931	1028	11	including	include	VERB
cblr-2931	1028	12	(	(	PUNCT
cblr-2931	1028	13	1	1	NUM
cblr-2931	1028	14	)	)	PUNCT
cblr-2931	1028	15	pre	pre	ADJ
cblr-2931	1028	16	-	-	VERB
cblr-2931	1028	17	selling	sell	VERB
cblr-2931	1028	18	the	the	DET
cblr-2931	1028	19	aftermarket	aftermarket	NOUN
cblr-2931	1028	20	by	by	ADP
cblr-2931	1028	21	telling	tell	VERB
cblr-2931	1028	22	certain	certain	ADJ
cblr-2931	1028	23	customers	customer	NOUN
cblr-2931	1028	24	that	that	SCONJ
cblr-2931	1028	25	they	they	PRON
cblr-2931	1028	26	could	could	AUX
cblr-2931	1028	27	obtain	obtain	VERB
cblr-2931	1028	28	good	good	ADJ
cblr-2931	1028	29	allocations	allocation	NOUN
cblr-2931	1028	30	of	of	ADP
cblr-2931	1028	31	"	"	PUNCT
cblr-2931	1028	32	hot	hot	ADJ
cblr-2931	1028	33	"	"	PUNCT
cblr-2931	1028	34	ipos	ipos	NOUN
cblr-2931	1028	35	if	if	SCONJ
cblr-2931	1028	36	they	they	PRON
cblr-2931	1028	37	expressed	express	VERB
cblr-2931	1028	38	an	an	DET
cblr-2931	1028	39	interest	interest	NOUN
cblr-2931	1028	40	in	in	ADP
cblr-2931	1028	41	buying	buy	VERB
cblr-2931	1028	42	shares	share	NOUN
cblr-2931	1028	43	in	in	ADP
cblr-2931	1028	44	the	the	DET
cblr-2931	1028	45	immediate	immediate	ADJ
cblr-2931	1028	46	aftermarket	aftermarket	NOUN
cblr-2931	1028	47	and	and	CCONJ
cblr-2931	1028	48	(	(	PUNCT
cblr-2931	1028	49	2	2	X
cblr-2931	1028	50	)	)	PUNCT
cblr-2931	1028	51	encouraging	encourage	VERB
cblr-2931	1028	52	flipping	flip	VERB
cblr-2931	1028	53	by	by	ADP
cblr-2931	1028	54	soliciting	solicit	VERB
cblr-2931	1028	55	aftermarket	aftermarket	NOUN
cblr-2931	1028	56	interest	interest	NOUN
cblr-2931	1028	57	from	from	ADP
cblr-2931	1028	58	customers	customer	NOUN
cblr-2931	1028	59	that	that	PRON
cblr-2931	1028	60	the	the	DET
cblr-2931	1028	61	firm	firm	NOUN
cblr-2931	1028	62	knew	know	VERB
cblr-2931	1028	63	had	have	VERB
cblr-2931	1028	64	no	no	DET
cblr-2931	1028	65	interest	interest	NOUN
cblr-2931	1028	66	in	in	ADP
cblr-2931	1028	67	owning	own	VERB
cblr-2931	1028	68	the	the	DET
cblr-2931	1028	69	shares	share	NOUN
cblr-2931	1028	70	for	for	ADP
cblr-2931	1028	71	the	the	DET
cblr-2931	1028	72	long	long	ADJ
cblr-2931	1028	73	term	term	NOUN
cblr-2931	1028	74	,	,	PUNCT
cblr-2931	1028	75	resulting	result	VERB
cblr-2931	1028	76	in	in	ADP
cblr-2931	1028	77	the	the	DET
cblr-2931	1028	78	customers	customer	NOUN
cblr-2931	1028	79	flipping	flip	VERB
cblr-2931	1028	80	both	both	PRON
cblr-2931	1028	81	their	their	PRON
cblr-2931	1028	82	ipo	ipo	NOUN
cblr-2931	1028	83	allocations	allocation	NOUN
cblr-2931	1028	84	and	and	CCONJ
cblr-2931	1028	85	aftermarket	aftermarket	NOUN
cblr-2931	1028	86	purchases	purchase	NOUN
cblr-2931	1028	87	.	.	PUNCT
cblr-2931	1029	1	a	a	DET
cblr-2931	1029	2	number	number	NOUN
cblr-2931	1029	3	of	of	ADP
cblr-2931	1029	4	other	other	ADJ
cblr-2931	1029	5	manipulative	manipulative	ADJ
cblr-2931	1029	6	practices	practice	NOUN
cblr-2931	1029	7	were	be	AUX
cblr-2931	1029	8	also	also	ADV
cblr-2931	1029	9	alleged	allege	VERB
cblr-2931	1029	10	:	:	PUNCT
cblr-2931	1029	11	suggesting	suggest	VERB
cblr-2931	1029	12	to	to	ADP
cblr-2931	1029	13	certain	certain	ADJ
cblr-2931	1029	14	customers	customer	NOUN
cblr-2931	1029	15	the	the	DET
cblr-2931	1029	16	aftermarket	aftermarket	NOUN
cblr-2931	1029	17	price	price	NOUN
cblr-2931	1029	18	limits	limit	NOUN
cblr-2931	1029	19	they	they	PRON
cblr-2931	1029	20	should	should	AUX
cblr-2931	1029	21	provide	provide	VERB
cblr-2931	1029	22	in	in	ADP
cblr-2931	1029	23	order	order	NOUN
cblr-2931	1029	24	to	to	PART
cblr-2931	1029	25	obtain	obtain	VERB
cblr-2931	1029	26	a	a	DET
cblr-2931	1029	27	good	good	ADJ
cblr-2931	1029	28	ipo	ipo	NOUN
cblr-2931	1029	29	allocation	allocation	NOUN
cblr-2931	1029	30	;	;	PUNCT
cblr-2931	1029	31	in	in	ADP
cblr-2931	1029	32	certain	certain	ADJ
cblr-2931	1029	33	cases	case	NOUN
cblr-2931	1029	34	,	,	PUNCT
cblr-2931	1029	35	encouraging	encourage	VERB
cblr-2931	1029	36	customers	customer	NOUN
cblr-2931	1029	37	to	to	PART
cblr-2931	1029	38	increase	increase	VERB
cblr-2931	1029	39	the	the	DET
cblr-2931	1029	40	aftermarket	aftermarket	NOUN
cblr-2931	1029	41	prices	price	NOUN
cblr-2931	1029	42	they	they	PRON
cblr-2931	1029	43	originally	originally	ADV
cblr-2931	1029	44	said	say	VERB
cblr-2931	1029	45	they	they	PRON
cblr-2931	1029	46	would	would	AUX
cblr-2931	1029	47	be	be	AUX
cblr-2931	1029	48	willing	willing	ADJ
cblr-2931	1029	49	to	to	PART
cblr-2931	1029	50	pay	pay	VERB
cblr-2931	1029	51	;	;	PUNCT
cblr-2931	1029	52	accepting	accept	VERB
cblr-2931	1029	53	customers	customer	NOUN
cblr-2931	1029	54	'	'	PART
cblr-2931	1029	55	indications	indication	NOUN
cblr-2931	1029	56	that	that	SCONJ
cblr-2931	1029	57	they	they	PRON
cblr-2931	1029	58	would	would	AUX
cblr-2931	1029	59	purchase	purchase	VERB
cblr-2931	1029	60	shares	share	NOUN
cblr-2931	1029	61	in	in	ADP
cblr-2931	1029	62	the	the	DET
cblr-2931	1029	63	aftermarket	aftermarket	NOUN
cblr-2931	1029	64	interest	interest	NOUN
cblr-2931	1029	65	equal	equal	ADJ
cblr-2931	1029	66	to	to	ADP
cblr-2931	1029	67	or	or	CCONJ
cblr-2931	1029	68	greater	great	ADJ
cblr-2931	1029	69	than	than	ADP
cblr-2931	1029	70	their	their	PRON
cblr-2931	1029	71	ipo	ipo	NOUN
cblr-2931	1029	72	allocations	allocation	NOUN
cblr-2931	1029	73	(	(	PUNCT
cblr-2931	1029	74	such	such	ADJ
cblr-2931	1029	75	as	as	ADP
cblr-2931	1029	76	"	"	PUNCT
cblr-2931	1029	77	1	1	NUM
cblr-2931	1029	78	for	for	ADP
cblr-2931	1029	79	1	1	NUM
cblr-2931	1029	80	"	"	PUNCT
cblr-2931	1029	81	or	or	CCONJ
cblr-2931	1029	82	some	some	DET
cblr-2931	1029	83	other	other	ADJ
cblr-2931	1029	84	ratio	ratio	NOUN
cblr-2931	1029	85	)	)	PUNCT
cblr-2931	1029	86	;	;	PUNCT
cblr-2931	1029	87	and	and	CCONJ
cblr-2931	1029	88	in	in	ADP
cblr-2931	1029	89	one	one	NUM
cblr-2931	1029	90	case	case	NOUN
cblr-2931	1029	91	,	,	PUNCT
cblr-2931	1029	92	soliciting	solicit	VERB
cblr-2931	1029	93	an	an	DET
cblr-2931	1029	94	aftermarket	aftermarket	NOUN
cblr-2931	1029	95	order	order	NOUN
cblr-2931	1029	96	from	from	ADP
cblr-2931	1029	97	a	a	DET
cblr-2931	1029	98	customer	customer	NOUN
cblr-2931	1029	99	before	before	SCONJ
cblr-2931	1029	100	all	all	PRON
cblr-2931	1029	101	of	of	ADP
cblr-2931	1029	102	the	the	DET
cblr-2931	1029	103	ipo	ipo	NOUN
cblr-2931	1029	104	shares	share	NOUN
cblr-2931	1029	105	had	have	AUX
cblr-2931	1029	106	been	be	AUX
cblr-2931	1029	107	distributed	distribute	VERB
cblr-2931	1029	108	,	,	PUNCT
cblr-2931	1029	109	which	which	PRON
cblr-2931	1029	110	the	the	DET
cblr-2931	1029	111	firm	firm	NOUN
cblr-2931	1029	112	executed	execute	VERB
cblr-2931	1029	113	once	once	SCONJ
cblr-2931	1029	114	trading	trading	NOUN
cblr-2931	1029	115	began	begin	VERB
cblr-2931	1029	116	(	(	PUNCT
cblr-2931	1029	117	this	this	DET
cblr-2931	1029	118	customer	customer	NOUN
cblr-2931	1029	119	sold	sell	VERB
cblr-2931	1029	120	both	both	CCONJ
cblr-2931	1029	121	its	its	PRON
cblr-2931	1029	122	ipo	ipo	NOUN
cblr-2931	1029	123	and	and	CCONJ
cblr-2931	1029	124	aftermarket	aftermarket	NOUN
cblr-2931	1029	125	shares	share	NOUN
cblr-2931	1029	126	on	on	ADP
cblr-2931	1029	127	the	the	DET
cblr-2931	1029	128	same	same	ADJ
cblr-2931	1029	129	day	day	NOUN
cblr-2931	1029	130	)	)	PUNCT
cblr-2931	1029	131	;	;	PUNCT
cblr-2931	1029	132	see	see	VERB
cblr-2931	1029	133	also	also	ADV
cblr-2931	1029	134	,	,	PUNCT
cblr-2931	1029	135	e.g.	e.g.	ADV
cblr-2931	1029	136	,	,	PUNCT
cblr-2931	1029	137	broker	broker	NOUN
cblr-2931	1029	138	-	-	PUNCT
cblr-2931	1029	139	dealers	dealer	NOUN
cblr-2931	1029	140	:	:	PUNCT
cblr-2931	1029	141	goldman	goldman	PROPN
cblr-2931	1029	142	sachs	sachs	PROPN
cblr-2931	1029	143	sub	sub	PROPN
cblr-2931	1029	144	,	,	PUNCT
cblr-2931	1029	145	formerly	formerly	ADV
cblr-2931	1029	146	spear	spear	NOUN
cblr-2931	1029	147	leeds	leed	NOUN
cblr-2931	1029	148	,	,	PUNCT
cblr-2931	1029	149	settles	settle	VERB
cblr-2931	1029	150	charges	charge	NOUN
cblr-2931	1029	151	of	of	ADP
cblr-2931	1029	152	hiding	hide	VERB
cblr-2931	1029	153	ipo	ipo	NOUN
cblr-2931	1029	154	sales	sale	NOUN
cblr-2931	1029	155	,	,	PUNCT
cblr-2931	1029	156	37	37	NUM
cblr-2931	1029	157	sec	sec	PROPN
cblr-2931	1030	1	.	.	PUNCT
cblr-2931	1030	2	reg	reg	PROPN
cblr-2931	1030	3	.	.	PROPN
cblr-2931	1030	4	&	&	CCONJ
cblr-2931	1030	5	l.	l.	PROPN
cblr-2931	1030	6	rep	rep	PROPN
cblr-2931	1030	7	.	.	PROPN
cblr-2931	1030	8	(	(	PUNCT
cblr-2931	1030	9	bna	bna	PROPN
cblr-2931	1030	10	)	)	PUNCT
cblr-2931	1030	11	563	563	NUM
cblr-2931	1030	12	(	(	PUNCT
cblr-2931	1030	13	march	march	PROPN
cblr-2931	1030	14	28	28	NUM
cblr-2931	1030	15	,	,	PUNCT
cblr-2931	1030	16	2005	2005	NUM
cblr-2931	1030	17	)	)	PUNCT
cblr-2931	1030	18	.	.	PUNCT
cblr-2931	1031	1	cf	cf	NOUN
cblr-2931	1031	2	cordes	corde	NOUN
cblr-2931	1031	3	&	&	CCONJ
cblr-2931	1031	4	co.	co.	PROPN
cblr-2931	1031	5	fin	fin	PROPN
cblr-2931	1031	6	.	.	PUNCT
cblr-2931	1032	1	servs	servs	PROPN
cblr-2931	1032	2	.	.	PROPN
cblr-2931	1032	3	,	,	PUNCT
cblr-2931	1032	4	inc	inc	PROPN
cblr-2931	1032	5	.	.	PROPN
cblr-2931	1033	1	v.	v.	PROPN
cblr-2931	1033	2	a.g	a.g	PROPN
cblr-2931	1033	3	.	.	PROPN
cblr-2931	1033	4	edwards	edwards	PROPN
cblr-2931	1033	5	&	&	CCONJ
cblr-2931	1033	6	sons	sons	PROPN
cblr-2931	1033	7	,	,	PUNCT
cblr-2931	1033	8	inc	inc	PROPN
cblr-2931	1033	9	.	.	PROPN
cblr-2931	1033	10	,	,	PUNCT
cblr-2931	1033	11	502	502	NUM
cblr-2931	1033	12	f.3d	f.3d	NUM
cblr-2931	1033	13	91	91	NUM
cblr-2931	1033	14	(	(	PUNCT
cblr-2931	1033	15	2d	2d	NUM
cblr-2931	1033	16	cir	cir	NOUN
cblr-2931	1033	17	.	.	PROPN
cblr-2931	1033	18	2007	2007	NUM
cblr-2931	1033	19	)	)	PUNCT
cblr-2931	1033	20	(	(	PUNCT
cblr-2931	1033	21	reversing	reverse	VERB
cblr-2931	1033	22	denial	denial	NOUN
cblr-2931	1033	23	of	of	ADP
cblr-2931	1033	24	class	class	NOUN
cblr-2931	1033	25	certification	certification	NOUN
cblr-2931	1033	26	and	and	CCONJ
cblr-2931	1033	27	remanding	remand	VERB
cblr-2931	1033	28	for	for	ADP
cblr-2931	1033	29	further	further	ADJ
cblr-2931	1033	30	proceedings	proceeding	NOUN
cblr-2931	1033	31	claims	claim	NOUN
cblr-2931	1033	32	of	of	ADP
cblr-2931	1033	33	illegal	illegal	ADJ
cblr-2931	1033	34	pricing	pricing	NOUN
cblr-2931	1033	35	in	in	ADP
cblr-2931	1033	36	ipos	ipos	NOUN
cblr-2931	1033	37	)	)	PUNCT
cblr-2931	1033	38	.	.	PUNCT
cblr-2931	1034	1	"	"	PUNCT
cblr-2931	1034	2	see	see	VERB
cblr-2931	1034	3	finra	finra	PROPN
cblr-2931	1034	4	proposed	propose	VERB
cblr-2931	1034	5	rule	rule	NOUN
cblr-2931	1034	6	5131	5131	NUM
cblr-2931	1034	7	,	,	PUNCT
cblr-2931	1034	8	supra	supra	PROPN
cblr-2931	1034	9	note	note	PROPN
cblr-2931	1034	10	189	189	NUM
cblr-2931	1034	11	(	(	PUNCT
cblr-2931	1034	12	proposing	propose	VERB
cblr-2931	1034	13	rules	rule	NOUN
cblr-2931	1034	14	regarding	regard	VERB
cblr-2931	1034	15	issues	issue	NOUN
cblr-2931	1034	16	such	such	ADJ
cblr-2931	1034	17	as	as	ADP
cblr-2931	1034	18	reports	report	NOUN
cblr-2931	1034	19	of	of	ADP
cblr-2931	1034	20	indications	indication	NOUN
cblr-2931	1034	21	of	of	ADP
cblr-2931	1034	22	interests	interest	NOUN
cblr-2931	1034	23	,	,	PUNCT
cblr-2931	1034	24	lock	lock	NOUN
cblr-2931	1034	25	-	-	PUNCT
cblr-2931	1034	26	up	up	ADP
cblr-2931	1034	27	agreements	agreement	NOUN
cblr-2931	1034	28	,	,	PUNCT
cblr-2931	1034	29	underwriter	underwriter	NOUN
cblr-2931	1034	30	agreements	agreement	NOUN
cblr-2931	1034	31	,	,	PUNCT
cblr-2931	1034	32	and	and	CCONJ
cblr-2931	1034	33	market	market	NOUN
cblr-2931	1034	34	orders	order	NOUN
cblr-2931	1034	35	)	)	PUNCT
cblr-2931	1034	36	.	.	PUNCT
cblr-2931	1035	1	758	758	NUM
cblr-2931	1036	1	[	[	X
cblr-2931	1036	2	vol	vol	NOUN
cblr-2931	1036	3	.	.	PUNCT
cblr-2931	1036	4	2010	2010	NUM
cblr-2931	1036	5	no	no	NOUN
cblr-2931	1036	6	.	.	PUNCT
cblr-2931	1037	1	3:710	3:710	NUM
cblr-2931	1037	2	]	]	PUNCT
cblr-2931	1037	3	are	be	AUX
cblr-2931	1037	4	existing	exist	VERB
cblr-2931	1037	5	stock	stock	NOUN
cblr-2931	1037	6	broker	broker	NOUN
cblr-2931	1037	7	standards	standard	NOUN
cblr-2931	1037	8	sufficient	sufficient	ADJ
cblr-2931	1037	9	?	?	PUNCT
cblr-2931	1038	1	in	in	ADP
cblr-2931	1038	2	2003	2003	NUM
cblr-2931	1038	3	,	,	PUNCT
cblr-2931	1038	4	the	the	DET
cblr-2931	1038	5	sec	sec	PROPN
cblr-2931	1038	6	approved	approve	VERB
cblr-2931	1038	7	the	the	DET
cblr-2931	1038	8	nasd	nasd	NOUN
cblr-2931	1038	9	's	's	PART
cblr-2931	1038	10	revamped	revamp	VERB
cblr-2931	1038	11	approach	approach	NOUN
cblr-2931	1038	12	to	to	ADP
cblr-2931	1038	13	regulating	regulate	VERB
cblr-2931	1038	14	certain	certain	ADJ
cblr-2931	1038	15	public	public	ADJ
cblr-2931	1038	16	offering	offering	NOUN
cblr-2931	1038	17	practices	practice	NOUN
cblr-2931	1038	18	.	.	PUNCT
cblr-2931	1038	19	'	'	PUNCT
cblr-2931	1039	1	the	the	DET
cblr-2931	1039	2	older	old	ADJ
cblr-2931	1039	3	rules	rule	NOUN
cblr-2931	1039	4	related	relate	VERB
cblr-2931	1039	5	to	to	ADP
cblr-2931	1039	6	"	"	PUNCT
cblr-2931	1039	7	hot	hot	ADJ
cblr-2931	1039	8	issues	issue	NOUN
cblr-2931	1039	9	.	.	PUNCT
cblr-2931	1039	10	"	"	PUNCT
cblr-2931	1040	1	in	in	ADP
cblr-2931	1040	2	contrast	contrast	NOUN
cblr-2931	1040	3	,	,	PUNCT
cblr-2931	1040	4	the	the	DET
cblr-2931	1040	5	new	new	ADJ
cblr-2931	1040	6	rules	rule	NOUN
cblr-2931	1040	7	clearly	clearly	ADV
cblr-2931	1040	8	address	address	VERB
cblr-2931	1040	9	the	the	DET
cblr-2931	1040	10	offering	offering	NOUN
cblr-2931	1040	11	process	process	NOUN
cblr-2931	1040	12	for	for	ADP
cblr-2931	1040	13	all	all	DET
cblr-2931	1040	14	ipos	ipos	NOUN
cblr-2931	1040	15	.	.	PUNCT
cblr-2931	1041	1	the	the	DET
cblr-2931	1041	2	nasd	nasd	NOUN
cblr-2931	1041	3	's	's	PART
cblr-2931	1041	4	ipo	ipo	NOUN
cblr-2931	1041	5	requirements	requirement	NOUN
cblr-2931	1041	6	were	be	AUX
cblr-2931	1041	7	approved	approve	VERB
cblr-2931	1041	8	by	by	ADP
cblr-2931	1041	9	the	the	DET
cblr-2931	1041	10	sec	sec	PROPN
cblr-2931	1041	11	in	in	ADP
cblr-2931	1041	12	october	october	PROPN
cblr-2931	1041	13	2003	2003	NUM
cblr-2931	1041	14	.	.	PUNCT
cblr-2931	1041	15	'	'	PUNCT
cblr-2931	1042	1	nasd	nasd	NOUN
cblr-2931	1042	2	rule	rule	VERB
cblr-2931	1042	3	2790	2790	NUM
cblr-2931	1042	4	(	(	PUNCT
cblr-2931	1042	5	now	now	ADV
cblr-2931	1042	6	finra	finra	NOUN
cblr-2931	1042	7	rule	rule	PROPN
cblr-2931	1042	8	5130	5130	NUM
cblr-2931	1042	9	)	)	PUNCT
cblr-2931	1042	10	"	"	PUNCT
cblr-2931	1042	11	replaced	replace	VERB
cblr-2931	1042	12	the	the	DET
cblr-2931	1042	13	former	former	ADJ
cblr-2931	1042	14	hot	hot	ADJ
cblr-2931	1042	15	issue	issue	NOUN
cblr-2931	1042	16	interpretations,2	interpretations,2	VERB
cblr-2931	1042	17	00	00	PUNCT
cblr-2931	1042	18	making	make	VERB
cblr-2931	1042	19	it	it	PRON
cblr-2931	1042	20	clear	clear	ADJ
cblr-2931	1042	21	that	that	SCONJ
cblr-2931	1042	22	the	the	DET
cblr-2931	1042	23	new	new	ADJ
cblr-2931	1042	24	requirements	requirement	NOUN
cblr-2931	1042	25	apply	apply	VERB
cblr-2931	1042	26	to	to	ADP
cblr-2931	1042	27	and	and	CCONJ
cblr-2931	1042	28	addressed	address	VERB
cblr-2931	1042	29	all	all	DET
cblr-2931	1042	30	ipos	ipos	NOUN
cblr-2931	1042	31	,	,	PUNCT
cblr-2931	1042	32	not	not	PART
cblr-2931	1042	33	just	just	ADV
cblr-2931	1042	34	those	those	PRON
cblr-2931	1042	35	that	that	PRON
cblr-2931	1042	36	involve	involve	VERB
cblr-2931	1042	37	hot	hot	ADJ
cblr-2931	1042	38	issues.2	issues.2	PROPN
cblr-2931	1042	39	01	01	NUM
cblr-2931	1042	40	the	the	DET
cblr-2931	1042	41	new	new	ADJ
cblr-2931	1042	42	ipo	ipo	NOUN
cblr-2931	1042	43	rule	rule	NOUN
cblr-2931	1042	44	expands	expand	VERB
cblr-2931	1042	45	and	and	CCONJ
cblr-2931	1042	46	clarifies	clarify	VERB
cblr-2931	1042	47	many	many	ADJ
cblr-2931	1042	48	of	of	ADP
cblr-2931	1042	49	the	the	DET
cblr-2931	1042	50	nasd	nasd	NOUN
cblr-2931	1042	51	policies	policy	NOUN
cblr-2931	1042	52	already	already	ADV
cblr-2931	1042	53	in	in	ADP
cblr-2931	1042	54	place	place	NOUN
cblr-2931	1042	55	.	.	PUNCT
cblr-2931	1043	1	subject	subject	ADJ
cblr-2931	1043	2	to	to	ADP
cblr-2931	1043	3	some	some	DET
cblr-2931	1043	4	specific	specific	ADJ
cblr-2931	1043	5	exceptions	exception	NOUN
cblr-2931	1043	6	,	,	PUNCT
cblr-2931	1043	7	202	202	NUM
cblr-2931	1043	8	ipo	ipo	NOUN
cblr-2931	1043	9	shares	share	NOUN
cblr-2931	1043	10	may	may	AUX
cblr-2931	1043	11	not	not	PART
cblr-2931	1043	12	be	be	AUX
cblr-2931	1043	13	allocated	allocate	VERB
cblr-2931	1043	14	to	to	PART
cblr-2931	1043	15	"	"	PUNCT
cblr-2931	1043	16	restricted	restrict	VERB
cblr-2931	1043	17	persons"-the	persons"-the	DET
cblr-2931	1043	18	label	label	NOUN
cblr-2931	1043	19	given	give	VERB
cblr-2931	1043	20	to	to	ADP
cblr-2931	1043	21	those	those	DET
cblr-2931	1043	22	individuals	individual	NOUN
cblr-2931	1043	23	or	or	CCONJ
cblr-2931	1043	24	entities	entity	NOUN
cblr-2931	1043	25	having	have	VERB
cblr-2931	1043	26	an	an	DET
cblr-2931	1043	27	interest	interest	NOUN
cblr-2931	1043	28	in	in	ADP
cblr-2931	1043	29	the	the	DET
cblr-2931	1043	30	issuer	issuer	NOUN
cblr-2931	1043	31	or	or	CCONJ
cblr-2931	1043	32	in	in	ADP
cblr-2931	1043	33	the	the	DET
cblr-2931	1043	34	offering.203	offering.203	NOUN
cblr-2931	1043	35	under	under	ADP
cblr-2931	1043	36	the	the	DET
cblr-2931	1043	37	former	former	ADJ
cblr-2931	1043	38	hot	hot	ADJ
cblr-2931	1043	39	issue	issue	NOUN
cblr-2931	1043	40	interpretation	interpretation	NOUN
cblr-2931	1043	41	,	,	PUNCT
cblr-2931	1043	42	brokers	broker	NOUN
cblr-2931	1043	43	could	could	AUX
cblr-2931	1043	44	sell	sell	VERB
cblr-2931	1043	45	ipo	ipo	NOUN
cblr-2931	1043	46	shares	share	NOUN
cblr-2931	1043	47	to	to	ADP
cblr-2931	1043	48	a	a	DET
cblr-2931	1043	49	restricted	restricted	ADJ
cblr-2931	1043	50	person	person	NOUN
cblr-2931	1043	51	,	,	PUNCT
cblr-2931	1043	52	provided	provide	VERB
cblr-2931	1043	53	that	that	SCONJ
cblr-2931	1043	54	,	,	PUNCT
cblr-2931	1043	55	after	after	ADP
cblr-2931	1043	56	determining	determine	VERB
cblr-2931	1043	57	the	the	DET
cblr-2931	1043	58	issue	issue	NOUN
cblr-2931	1043	59	was	be	AUX
cblr-2931	1043	60	hot	hot	ADJ
cblr-2931	1043	61	,	,	PUNCT
cblr-2931	1043	62	the	the	DET
cblr-2931	1043	63	broker	broker	NOUN
cblr-2931	1043	64	(	(	PUNCT
cblr-2931	1043	65	1	1	X
cblr-2931	1043	66	)	)	PUNCT
cblr-2931	1043	67	cancelled	cancel	VERB
cblr-2931	1043	68	the	the	DET
cblr-2931	1043	69	trade	trade	NOUN
cblr-2931	1043	70	before	before	ADP
cblr-2931	1043	71	the	the	DET
cblr-2931	1043	72	end	end	NOUN
cblr-2931	1043	73	of	of	ADP
cblr-2931	1043	74	the	the	DET
cblr-2931	1043	75	first	first	ADJ
cblr-2931	1043	76	business	business	NOUN
cblr-2931	1043	77	day	day	NOUN
cblr-2931	1043	78	after	after	SCONJ
cblr-2931	1043	79	secondary	secondary	ADJ
cblr-2931	1043	80	market	market	NOUN
cblr-2931	1043	81	trading	trading	NOUN
cblr-2931	1043	82	began	begin	VERB
cblr-2931	1043	83	for	for	ADP
cblr-2931	1043	84	that	that	DET
cblr-2931	1043	85	issue	issue	NOUN
cblr-2931	1043	86	,	,	PUNCT
cblr-2931	1043	87	and	and	CCONJ
cblr-2931	1043	88	(	(	PUNCT
cblr-2931	1043	89	2	2	X
cblr-2931	1043	90	)	)	PUNCT
cblr-2931	1043	91	reallocated	reallocate	VERB
cblr-2931	1043	92	the	the	DET
cblr-2931	1043	93	security	security	NOUN
cblr-2931	1043	94	at	at	ADP
cblr-2931	1043	95	the	the	DET
cblr-2931	1043	96	public	public	ADJ
cblr-2931	1043	97	offering	offering	NOUN
cblr-2931	1043	98	price	price	NOUN
cblr-2931	1043	99	to	to	ADP
cblr-2931	1043	100	a	a	DET
cblr-2931	1043	101	nonrestricted	nonrestricted	ADJ
cblr-2931	1043	102	person	person	NOUN
cblr-2931	1043	103	or	or	CCONJ
cblr-2931	1043	104	account.20	account.20	PROPN
cblr-2931	1043	105	4	4	NUM
cblr-2931	1043	106	the	the	DET
cblr-2931	1043	107	nasd	nasd	NOUN
cblr-2931	1043	108	's	's	PART
cblr-2931	1043	109	197	197	NUM
cblr-2931	1043	110	see	see	NOUN
cblr-2931	1043	111	in	in	ADP
cblr-2931	1043	112	re	re	PROPN
cblr-2931	1043	113	nasd	nasd	PROPN
cblr-2931	1043	114	,	,	PUNCT
cblr-2931	1043	115	inc	inc	PROPN
cblr-2931	1043	116	.	.	PROPN
cblr-2931	1043	117	,	,	PUNCT
cblr-2931	1043	118	exchange	exchange	PROPN
cblr-2931	1043	119	act	act	PROPN
cblr-2931	1043	120	release	release	VERB
cblr-2931	1043	121	no	no	NOUN
cblr-2931	1043	122	.	.	NOUN
cblr-2931	1043	123	48701	48701	NUM
cblr-2931	1043	124	,	,	PUNCT
cblr-2931	1043	125	2003	2003	NUM
cblr-2931	1043	126	wl	wl	X
cblr-2931	1043	127	22438827	22438827	NUM
cblr-2931	1043	128	(	(	PUNCT
cblr-2931	1043	129	oct	oct	PROPN
cblr-2931	1043	130	.	.	PROPN
cblr-2931	1043	131	24	24	NUM
cblr-2931	1043	132	,	,	PUNCT
cblr-2931	1043	133	2003	2003	NUM
cblr-2931	1043	134	)	)	PUNCT
cblr-2931	1043	135	.	.	PUNCT
cblr-2931	1044	1	"	"	PUNCT
cblr-2931	1044	2	98	98	NUM
cblr-2931	1044	3	see	see	VERB
cblr-2931	1044	4	i	i	PRON
cblr-2931	1044	5	d.	d.	PROPN
cblr-2931	1044	6	199	199	NUM
cblr-2931	1044	7	finra	finra	PROPN
cblr-2931	1044	8	manual	manual	NOUN
cblr-2931	1044	9	rule	rule	VERB
cblr-2931	1044	10	5130	5130	NUM
cblr-2931	1044	11	,	,	PUNCT
cblr-2931	1044	12	available	available	ADJ
cblr-2931	1044	13	at	at	ADP
cblr-2931	1044	14	http://finra.complinet.com/en/display/display-main.html?rbid=2403&eleme	http://finra.complinet.com/en/display/display-main.html?rbid=2403&eleme	PROPN
cblr-2931	1044	15	nt	nt	PROPN
cblr-2931	1044	16	id=4894	id=4894	PROPN
cblr-2931	1044	17	.	.	PROPN
cblr-2931	1044	18	2	2	NUM
cblr-2931	1044	19	"	"	PUNCT
cblr-2931	1044	20	see	see	VERB
cblr-2931	1044	21	nasd	nasd	NOUN
cblr-2931	1044	22	's	's	PART
cblr-2931	1044	23	free	free	ADJ
cblr-2931	1044	24	riding	riding	NOUN
cblr-2931	1044	25	and	and	CCONJ
cblr-2931	1044	26	withholding	withholding	NOUN
cblr-2931	1044	27	interpretation	interpretation	NOUN
cblr-2931	1044	28	,	,	PUNCT
cblr-2931	1044	29	im2110	im2110	PROPN
cblr-2931	1044	30	-	-	PUNCT
cblr-2931	1044	31	1	1	NUM
cblr-2931	1044	32	.	.	PUNCT
cblr-2931	1045	1	hot	hot	ADJ
cblr-2931	1045	2	issues	issue	NOUN
cblr-2931	1045	3	are	be	AUX
cblr-2931	1045	4	discussed	discuss	VERB
cblr-2931	1045	5	in	in	ADP
cblr-2931	1045	6	2	2	NUM
cblr-2931	1045	7	hazen	hazen	NOUN
cblr-2931	1045	8	,	,	PUNCT
cblr-2931	1045	9	supra	supra	PROPN
cblr-2931	1045	10	note	note	NOUN
cblr-2931	1045	11	93	93	NUM
cblr-2931	1045	12	,	,	PUNCT
cblr-2931	1045	13	at	at	ADP
cblr-2931	1045	14	§	§	PROPN
cblr-2931	1045	15	6.3	6.3	NUM
cblr-2931	1045	16	.	.	PUNCT
cblr-2931	1046	1	201	201	NUM
cblr-2931	1046	2	see	see	VERB
cblr-2931	1046	3	nasd	nasd	NOUN
cblr-2931	1046	4	's	's	PART
cblr-2931	1046	5	free	free	ADJ
cblr-2931	1046	6	riding	riding	NOUN
cblr-2931	1046	7	and	and	CCONJ
cblr-2931	1046	8	withholding	withholding	NOUN
cblr-2931	1046	9	interpretation	interpretation	NOUN
cblr-2931	1046	10	,	,	PUNCT
cblr-2931	1046	11	formerly	formerly	ADV
cblr-2931	1046	12	nasd	nasd	NOUN
cblr-2931	1046	13	rule	rule	PROPN
cblr-2931	1046	14	im-2110	im-2110	PROPN
cblr-2931	1046	15	-	-	PUNCT
cblr-2931	1046	16	1	1	NUM
cblr-2931	1046	17	.	.	PUNCT
cblr-2931	1047	1	"	"	PUNCT
cblr-2931	1047	2	hot	hot	ADJ
cblr-2931	1047	3	issues	issue	NOUN
cblr-2931	1047	4	"	"	PUNCT
cblr-2931	1047	5	are	be	AUX
cblr-2931	1047	6	discussed	discuss	VERB
cblr-2931	1047	7	in	in	ADP
cblr-2931	1047	8	2	2	NUM
cblr-2931	1047	9	hazen	hazen	NOUN
cblr-2931	1047	10	,	,	PUNCT
cblr-2931	1047	11	supra	supra	PROPN
cblr-2931	1047	12	note	note	NOUN
cblr-2931	1047	13	93	93	NUM
cblr-2931	1047	14	,	,	PUNCT
cblr-2931	1047	15	at	at	ADP
cblr-2931	1047	16	§	§	PROPN
cblr-2931	1047	17	6.3	6.3	NUM
cblr-2931	1047	18	.	.	PUNCT
cblr-2931	1048	1	202	202	NUM
cblr-2931	1048	2	for	for	ADP
cblr-2931	1048	3	example	example	NOUN
cblr-2931	1048	4	,	,	PUNCT
cblr-2931	1048	5	the	the	DET
cblr-2931	1048	6	rule	rule	NOUN
cblr-2931	1048	7	does	do	AUX
cblr-2931	1048	8	not	not	PART
cblr-2931	1048	9	apply	apply	VERB
cblr-2931	1048	10	to	to	ADP
cblr-2931	1048	11	sales	sale	NOUN
cblr-2931	1048	12	to	to	ADP
cblr-2931	1048	13	underwriters	underwriter	NOUN
cblr-2931	1048	14	under	under	ADP
cblr-2931	1048	15	a	a	DET
cblr-2931	1048	16	stand	stand	NOUN
cblr-2931	1048	17	-	-	PUNCT
cblr-2931	1048	18	by	by	ADP
cblr-2931	1048	19	underwriting	underwriting	NOUN
cblr-2931	1048	20	agreement	agreement	NOUN
cblr-2931	1048	21	.	.	PUNCT
cblr-2931	1049	1	203	203	NUM
cblr-2931	1049	2	the	the	DET
cblr-2931	1049	3	former	former	ADJ
cblr-2931	1049	4	hot	hot	ADJ
cblr-2931	1049	5	issue	issue	NOUN
cblr-2931	1049	6	interpretation	interpretation	NOUN
cblr-2931	1049	7	treated	treat	VERB
cblr-2931	1049	8	certain	certain	ADJ
cblr-2931	1049	9	people	people	NOUN
cblr-2931	1049	10	,	,	PUNCT
cblr-2931	1049	11	such	such	ADJ
cblr-2931	1049	12	as	as	ADP
cblr-2931	1049	13	hedge	hedge	NOUN
cblr-2931	1049	14	fund	fund	NOUN
cblr-2931	1049	15	managers	manager	NOUN
cblr-2931	1049	16	and	and	CCONJ
cblr-2931	1049	17	other	other	ADJ
cblr-2931	1049	18	investment	investment	NOUN
cblr-2931	1049	19	managers	manager	NOUN
cblr-2931	1049	20	,	,	PUNCT
cblr-2931	1049	21	as	as	SCONJ
cblr-2931	1049	22	"	"	PUNCT
cblr-2931	1049	23	conditionally	conditionally	ADV
cblr-2931	1049	24	restricted	restrict	VERB
cblr-2931	1049	25	.	.	PUNCT
cblr-2931	1049	26	"	"	PUNCT
cblr-2931	1050	1	the	the	DET
cblr-2931	1050	2	ipo	ipo	PROPN
cblr-2931	1050	3	rule	rule	NOUN
cblr-2931	1050	4	eliminates	eliminate	VERB
cblr-2931	1050	5	the	the	DET
cblr-2931	1050	6	conditionally	conditionally	ADV
cblr-2931	1050	7	restricted	restrict	VERB
cblr-2931	1050	8	status	status	NOUN
cblr-2931	1050	9	,	,	PUNCT
cblr-2931	1050	10	treating	treat	VERB
cblr-2931	1050	11	all	all	DET
cblr-2931	1050	12	persons	person	NOUN
cblr-2931	1050	13	as	as	ADP
cblr-2931	1050	14	either	either	CCONJ
cblr-2931	1050	15	restricted	restrict	VERB
cblr-2931	1050	16	or	or	CCONJ
cblr-2931	1050	17	nonrestricted	nonrestricted	ADJ
cblr-2931	1050	18	.	.	PUNCT
cblr-2931	1051	1	20	20	NUM
cblr-2931	1051	2	under	under	ADP
cblr-2931	1051	3	the	the	DET
cblr-2931	1051	4	finra	finra	NOUN
cblr-2931	1051	5	(	(	PUNCT
cblr-2931	1051	6	formerly	formerly	ADV
cblr-2931	1051	7	the	the	DET
cblr-2931	1051	8	nasd	nasd	NOUN
cblr-2931	1051	9	)	)	PUNCT
cblr-2931	1051	10	ipo	ipo	NOUN
cblr-2931	1051	11	rule	rule	NOUN
cblr-2931	1051	12	,	,	PUNCT
cblr-2931	1051	13	"	"	PUNCT
cblr-2931	1051	14	restricted	restricted	ADJ
cblr-2931	1051	15	persons	person	NOUN
cblr-2931	1051	16	"	"	PUNCT
cblr-2931	1051	17	include	include	VERB
cblr-2931	1051	18	broker	broker	NOUN
cblr-2931	1051	19	-	-	PUNCT
cblr-2931	1051	20	dealers	dealer	NOUN
cblr-2931	1051	21	involved	involve	VERB
cblr-2931	1051	22	with	with	ADP
cblr-2931	1051	23	the	the	DET
cblr-2931	1051	24	offering	offering	NOUN
cblr-2931	1051	25	and	and	CCONJ
cblr-2931	1051	26	their	their	PRON
cblr-2931	1051	27	associates	associate	NOUN
cblr-2931	1051	28	,	,	PUNCT
cblr-2931	1051	29	finders	finder	NOUN
cblr-2931	1051	30	,	,	PUNCT
cblr-2931	1051	31	and	and	CCONJ
cblr-2931	1051	32	fiduciaries	fiduciary	NOUN
cblr-2931	1051	33	of	of	ADP
cblr-2931	1051	34	the	the	DET
cblr-2931	1051	35	managing	manage	VERB
cblr-2931	1051	36	underwriter	underwriter	NOUN
cblr-2931	1051	37	of	of	ADP
cblr-2931	1051	38	a	a	DET
cblr-2931	1051	39	public	public	ADJ
cblr-2931	1051	40	offering	offering	NOUN
cblr-2931	1051	41	.	.	PUNCT
cblr-2931	1052	1	lawyers	lawyer	NOUN
cblr-2931	1052	2	,	,	PUNCT
cblr-2931	1052	3	accountants	accountant	NOUN
cblr-2931	1052	4	,	,	PUNCT
cblr-2931	1052	5	and	and	CCONJ
cblr-2931	1052	6	consultants	consultant	NOUN
cblr-2931	1052	7	working	work	VERB
cblr-2931	1052	8	on	on	ADP
cblr-2931	1052	9	an	an	DET
cblr-2931	1052	10	offering	offer	VERB
cblr-2931	1052	11	759	759	NUM
cblr-2931	1052	12	columbia	columbia	PROPN
cblr-2931	1052	13	business	business	NOUN
cblr-2931	1052	14	law	law	PROPN
cblr-2931	1052	15	review	review	VERB
cblr-2931	1052	16	ipo	ipo	NOUN
cblr-2931	1052	17	rule	rule	NOUN
cblr-2931	1052	18	is	be	AUX
cblr-2931	1052	19	designed	design	VERB
cblr-2931	1052	20	to	to	PART
cblr-2931	1052	21	prohibit	prohibit	VERB
cblr-2931	1052	22	distribution	distribution	NOUN
cblr-2931	1052	23	of	of	ADP
cblr-2931	1052	24	ipo	ipo	NOUN
cblr-2931	1052	25	shares	share	NOUN
cblr-2931	1052	26	to	to	ADP
cblr-2931	1052	27	restricted	restrict	VERB
cblr-2931	1052	28	persons	person	NOUN
cblr-2931	1052	29	entirely	entirely	ADV
cblr-2931	1052	30	.	.	PUNCT
cblr-2931	1053	1	accordingly	accordingly	ADV
cblr-2931	1053	2	,	,	PUNCT
cblr-2931	1053	3	before	before	ADP
cblr-2931	1053	4	selling	sell	VERB
cblr-2931	1053	5	ipo	ipo	NOUN
cblr-2931	1053	6	shares	share	NOUN
cblr-2931	1053	7	,	,	PUNCT
cblr-2931	1053	8	the	the	DET
cblr-2931	1053	9	broker	broker	NOUN
cblr-2931	1053	10	must	must	AUX
cblr-2931	1053	11	verify	verify	VERB
cblr-2931	1053	12	that	that	SCONJ
cblr-2931	1053	13	the	the	DET
cblr-2931	1053	14	customer	customer	NOUN
cblr-2931	1053	15	is	be	AUX
cblr-2931	1053	16	not	not	PART
cblr-2931	1053	17	a	a	DET
cblr-2931	1053	18	restricted	restricted	ADJ
cblr-2931	1053	19	person	person	NOUN
cblr-2931	1053	20	under	under	ADP
cblr-2931	1053	21	the	the	DET
cblr-2931	1053	22	rule.205	rule.205	PROPN
cblr-2931	1053	23	vi	vi	PROPN
cblr-2931	1053	24	.	.	PROPN
cblr-2931	1053	25	assessment	assessment	NOUN
cblr-2931	1053	26	of	of	ADP
cblr-2931	1053	27	broker	broker	NOUN
cblr-2931	1053	28	-	-	PUNCT
cblr-2931	1053	29	dealer	dealer	NOUN
cblr-2931	1053	30	regulation	regulation	NOUN
cblr-2931	1053	31	the	the	DET
cblr-2931	1053	32	foregoing	forego	VERB
cblr-2931	1053	33	discussion	discussion	NOUN
cblr-2931	1053	34	provides	provide	VERB
cblr-2931	1053	35	a	a	DET
cblr-2931	1053	36	sense	sense	NOUN
cblr-2931	1053	37	of	of	ADP
cblr-2931	1053	38	the	the	DET
cblr-2931	1053	39	ways	way	NOUN
cblr-2931	1053	40	in	in	ADP
cblr-2931	1053	41	which	which	PRON
cblr-2931	1053	42	sec	sec	PROPN
cblr-2931	1053	43	and	and	CCONJ
cblr-2931	1053	44	finra	finra	PROPN
cblr-2931	1053	45	regulation	regulation	NOUN
cblr-2931	1053	46	of	of	ADP
cblr-2931	1053	47	securities	security	NOUN
cblr-2931	1053	48	brokerdealers	brokerdealer	NOUN
cblr-2931	1053	49	combines	combine	VERB
cblr-2931	1053	50	rules	rule	NOUN
cblr-2931	1053	51	addressing	address	VERB
cblr-2931	1053	52	specifically	specifically	ADV
cblr-2931	1053	53	defined	define	VERB
cblr-2931	1053	54	conduct	conduct	NOUN
cblr-2931	1053	55	and	and	CCONJ
cblr-2931	1053	56	broader	broad	ADJ
cblr-2931	1053	57	principles	principle	NOUN
cblr-2931	1053	58	of	of	ADP
cblr-2931	1053	59	fair	fair	ADJ
cblr-2931	1053	60	dealing	dealing	NOUN
cblr-2931	1053	61	.	.	PUNCT
cblr-2931	1054	1	this	this	DET
cblr-2931	1054	2	approach	approach	NOUN
cblr-2931	1054	3	is	be	AUX
cblr-2931	1054	4	also	also	ADV
cblr-2931	1054	5	supplemented	supplement	VERB
cblr-2931	1054	6	by	by	ADP
cblr-2931	1054	7	an	an	DET
cblr-2931	1054	8	antifraud	antifraud	PROPN
cblr-2931	1054	9	regime	regime	NOUN
cblr-2931	1054	10	.	.	PUNCT
cblr-2931	1055	1	standards	standard	NOUN
cblr-2931	1055	2	and	and	CCONJ
cblr-2931	1055	3	principles	principle	NOUN
cblr-2931	1055	4	are	be	AUX
cblr-2931	1055	5	sometimes	sometimes	ADV
cblr-2931	1055	6	criticized	criticize	VERB
cblr-2931	1055	7	because	because	SCONJ
cblr-2931	1055	8	they	they	PRON
cblr-2931	1055	9	do	do	AUX
cblr-2931	1055	10	not	not	PART
cblr-2931	1055	11	provide	provide	VERB
cblr-2931	1055	12	a	a	DET
cblr-2931	1055	13	bright	bright	ADJ
cblr-2931	1055	14	-	-	PUNCT
cblr-2931	1055	15	line	line	NOUN
cblr-2931	1055	16	test	test	NOUN
cblr-2931	1055	17	.	.	PUNCT
cblr-2931	1056	1	clearly	clearly	ADV
cblr-2931	1056	2	,	,	PUNCT
cblr-2931	1056	3	broker	broker	NOUN
cblr-2931	1056	4	-	-	PUNCT
cblr-2931	1056	5	dealers	dealer	NOUN
cblr-2931	1056	6	need	need	VERB
cblr-2931	1056	7	firm	firm	ADJ
cblr-2931	1056	8	guidelines	guideline	NOUN
cblr-2931	1056	9	for	for	ADP
cblr-2931	1056	10	determining	determine	VERB
cblr-2931	1056	11	appropriate	appropriate	ADJ
cblr-2931	1056	12	conduct	conduct	NOUN
cblr-2931	1056	13	.	.	PUNCT
cblr-2931	1057	1	to	to	ADP
cblr-2931	1057	2	this	this	DET
cblr-2931	1057	3	end	end	NOUN
cblr-2931	1057	4	,	,	PUNCT
cblr-2931	1057	5	the	the	DET
cblr-2931	1057	6	existing	exist	VERB
cblr-2931	1057	7	rules	rule	NOUN
cblr-2931	1057	8	supplemented	supplement	VERB
cblr-2931	1057	9	by	by	ADP
cblr-2931	1057	10	regulatory	regulatory	ADJ
cblr-2931	1057	11	interpretations	interpretation	NOUN
cblr-2931	1057	12	are	be	AUX
cblr-2931	1057	13	sufficient	sufficient	ADJ
cblr-2931	1057	14	.	.	PUNCT
cblr-2931	1058	1	the	the	DET
cblr-2931	1058	2	current	current	ADJ
cblr-2931	1058	3	rules	rule	NOUN
cblr-2931	1058	4	make	make	VERB
cblr-2931	1058	5	it	it	PRON
cblr-2931	1058	6	clear	clear	ADJ
cblr-2931	1058	7	that	that	SCONJ
cblr-2931	1058	8	certain	certain	ADJ
cblr-2931	1058	9	types	type	NOUN
cblr-2931	1058	10	of	of	ADP
cblr-2931	1058	11	conduct	conduct	NOUN
cblr-2931	1058	12	are	be	AUX
cblr-2931	1058	13	impermissible	impermissible	ADJ
cblr-2931	1058	14	.	.	PUNCT
cblr-2931	1059	1	fraud	fraud	NOUN
cblr-2931	1059	2	and	and	CCONJ
cblr-2931	1059	3	manipulation	manipulation	NOUN
cblr-2931	1059	4	are	be	AUX
cblr-2931	1059	5	outlawed.2	outlawed.2	NOUN
cblr-2931	1059	6	06	06	NUM
cblr-2931	1059	7	a	a	DET
cblr-2931	1059	8	number	number	NOUN
cblr-2931	1059	9	of	of	ADP
cblr-2931	1059	10	specific	specific	ADJ
cblr-2931	1059	11	practices	practice	NOUN
cblr-2931	1059	12	are	be	AUX
cblr-2931	1059	13	also	also	ADV
cblr-2931	1059	14	addressed	address	VERB
cblr-2931	1059	15	by	by	ADP
cblr-2931	1059	16	rulemaking	rulemake	VERB
cblr-2931	1059	17	.	.	PUNCT
cblr-2931	1060	1	for	for	ADP
cblr-2931	1060	2	example	example	NOUN
cblr-2931	1060	3	,	,	PUNCT
cblr-2931	1060	4	churning	churn	VERB
cblr-2931	1060	5	(	(	PUNCT
cblr-2931	1060	6	entering	enter	VERB
cblr-2931	1060	7	into	into	ADP
cblr-2931	1060	8	will	will	AUX
cblr-2931	1060	9	generally	generally	ADV
cblr-2931	1060	10	be	be	AUX
cblr-2931	1060	11	classified	classify	VERB
cblr-2931	1060	12	as	as	ADP
cblr-2931	1060	13	restricted	restrict	VERB
cblr-2931	1060	14	persons	person	NOUN
cblr-2931	1060	15	for	for	ADP
cblr-2931	1060	16	purposes	purpose	NOUN
cblr-2931	1060	17	of	of	ADP
cblr-2931	1060	18	the	the	DET
cblr-2931	1060	19	offering	offering	NOUN
cblr-2931	1060	20	on	on	ADP
cblr-2931	1060	21	which	which	PRON
cblr-2931	1060	22	they	they	PRON
cblr-2931	1060	23	work	work	VERB
cblr-2931	1060	24	.	.	PUNCT
cblr-2931	1061	1	the	the	DET
cblr-2931	1061	2	ipo	ipo	NOUN
cblr-2931	1061	3	rule	rule	VERB
cblr-2931	1061	4	not	not	PART
cblr-2931	1061	5	only	only	ADV
cblr-2931	1061	6	covers	cover	VERB
cblr-2931	1061	7	people	people	NOUN
cblr-2931	1061	8	occupying	occupy	VERB
cblr-2931	1061	9	the	the	DET
cblr-2931	1061	10	aforementioned	aforementioned	ADJ
cblr-2931	1061	11	positions	position	NOUN
cblr-2931	1061	12	,	,	PUNCT
cblr-2931	1061	13	but	but	CCONJ
cblr-2931	1061	14	also	also	ADV
cblr-2931	1061	15	applies	apply	VERB
cblr-2931	1061	16	to	to	ADP
cblr-2931	1061	17	their	their	PRON
cblr-2931	1061	18	immediate	immediate	ADJ
cblr-2931	1061	19	family	family	NOUN
cblr-2931	1061	20	.	.	PUNCT
cblr-2931	1062	1	205	205	NUM
cblr-2931	1063	1	within	within	ADP
cblr-2931	1063	2	twelve	twelve	NUM
cblr-2931	1063	3	months	month	NOUN
cblr-2931	1063	4	prior	prior	ADV
cblr-2931	1063	5	to	to	ADP
cblr-2931	1063	6	any	any	DET
cblr-2931	1063	7	allocation	allocation	NOUN
cblr-2931	1063	8	of	of	ADP
cblr-2931	1063	9	a	a	DET
cblr-2931	1063	10	new	new	ADJ
cblr-2931	1063	11	issue	issue	NOUN
cblr-2931	1063	12	,	,	PUNCT
cblr-2931	1063	13	brokers	broker	NOUN
cblr-2931	1063	14	must	must	AUX
cblr-2931	1063	15	receive	receive	VERB
cblr-2931	1063	16	from	from	ADP
cblr-2931	1063	17	each	each	DET
cblr-2931	1063	18	person	person	NOUN
cblr-2931	1063	19	or	or	CCONJ
cblr-2931	1063	20	account	account	NOUN
cblr-2931	1063	21	,	,	PUNCT
cblr-2931	1063	22	a	a	DET
cblr-2931	1063	23	representation	representation	NOUN
cblr-2931	1063	24	that	that	SCONJ
cblr-2931	1063	25	the	the	DET
cblr-2931	1063	26	person	person	NOUN
cblr-2931	1063	27	or	or	CCONJ
cblr-2931	1063	28	account	account	NOUN
cblr-2931	1063	29	is	be	AUX
cblr-2931	1063	30	eligible	eligible	ADJ
cblr-2931	1063	31	as	as	ADP
cblr-2931	1063	32	a	a	DET
cblr-2931	1063	33	nonrestricted	nonrestricted	ADJ
cblr-2931	1063	34	person	person	NOUN
cblr-2931	1063	35	to	to	PART
cblr-2931	1063	36	receive	receive	VERB
cblr-2931	1063	37	new	new	ADJ
cblr-2931	1063	38	issue	issue	NOUN
cblr-2931	1063	39	securities	security	NOUN
cblr-2931	1063	40	.	.	PUNCT
cblr-2931	1064	1	as	as	ADP
cblr-2931	1064	2	an	an	DET
cblr-2931	1064	3	alternative	alternative	NOUN
cblr-2931	1064	4	to	to	ADP
cblr-2931	1064	5	a	a	DET
cblr-2931	1064	6	representation	representation	NOUN
cblr-2931	1064	7	directly	directly	ADV
cblr-2931	1064	8	from	from	ADP
cblr-2931	1064	9	the	the	DET
cblr-2931	1064	10	customer	customer	NOUN
cblr-2931	1064	11	,	,	PUNCT
cblr-2931	1064	12	a	a	DET
cblr-2931	1064	13	broker	broker	NOUN
cblr-2931	1064	14	may	may	AUX
cblr-2931	1064	15	rely	rely	VERB
cblr-2931	1064	16	on	on	ADP
cblr-2931	1064	17	a	a	DET
cblr-2931	1064	18	representation	representation	NOUN
cblr-2931	1064	19	from	from	ADP
cblr-2931	1064	20	a	a	DET
cblr-2931	1064	21	domestic	domestic	ADJ
cblr-2931	1064	22	bank	bank	NOUN
cblr-2931	1064	23	,	,	PUNCT
cblr-2931	1064	24	foreign	foreign	ADJ
cblr-2931	1064	25	bank	bank	NOUN
cblr-2931	1064	26	,	,	PUNCT
cblr-2931	1064	27	broker	broker	NOUN
cblr-2931	1064	28	-	-	PUNCT
cblr-2931	1064	29	dealer	dealer	NOUN
cblr-2931	1064	30	,	,	PUNCT
cblr-2931	1064	31	investment	investment	NOUN
cblr-2931	1064	32	adviser	adviser	NOUN
cblr-2931	1064	33	,	,	PUNCT
cblr-2931	1064	34	or	or	CCONJ
cblr-2931	1064	35	other	other	ADJ
cblr-2931	1064	36	conduit	conduit	NOUN
cblr-2931	1064	37	,	,	PUNCT
cblr-2931	1064	38	that	that	SCONJ
cblr-2931	1064	39	all	all	DET
cblr-2931	1064	40	purchases	purchase	NOUN
cblr-2931	1064	41	of	of	ADP
cblr-2931	1064	42	new	new	ADJ
cblr-2931	1064	43	issues	issue	NOUN
cblr-2931	1064	44	for	for	ADP
cblr-2931	1064	45	its	its	PRON
cblr-2931	1064	46	accounts	account	NOUN
cblr-2931	1064	47	are	be	AUX
cblr-2931	1064	48	in	in	ADP
cblr-2931	1064	49	compliance	compliance	NOUN
cblr-2931	1064	50	with	with	ADP
cblr-2931	1064	51	the	the	DET
cblr-2931	1064	52	ipo	ipo	NOUN
cblr-2931	1064	53	rule	rule	NOUN
cblr-2931	1064	54	.	.	PUNCT
cblr-2931	1065	1	the	the	DET
cblr-2931	1065	2	broker	broker	NOUN
cblr-2931	1065	3	must	must	AUX
cblr-2931	1065	4	update	update	VERB
cblr-2931	1065	5	this	this	DET
cblr-2931	1065	6	information	information	NOUN
cblr-2931	1065	7	annually	annually	ADV
cblr-2931	1065	8	,	,	PUNCT
cblr-2931	1065	9	but	but	CCONJ
cblr-2931	1065	10	may	may	AUX
cblr-2931	1065	11	rely	rely	VERB
cblr-2931	1065	12	on	on	ADP
cblr-2931	1065	13	the	the	DET
cblr-2931	1065	14	customer	customer	NOUN
cblr-2931	1065	15	for	for	ADP
cblr-2931	1065	16	news	news	NOUN
cblr-2931	1065	17	of	of	ADP
cblr-2931	1065	18	any	any	DET
cblr-2931	1065	19	changes	change	NOUN
cblr-2931	1065	20	.	.	PUNCT
cblr-2931	1066	1	thus	thus	ADV
cblr-2931	1066	2	,	,	PUNCT
cblr-2931	1066	3	for	for	ADP
cblr-2931	1066	4	example	example	NOUN
cblr-2931	1066	5	,	,	PUNCT
cblr-2931	1066	6	if	if	SCONJ
cblr-2931	1066	7	within	within	ADP
cblr-2931	1066	8	a	a	DET
cblr-2931	1066	9	year	year	NOUN
cblr-2931	1066	10	of	of	ADP
cblr-2931	1066	11	receiving	receive	VERB
cblr-2931	1066	12	verification	verification	NOUN
cblr-2931	1066	13	from	from	ADP
cblr-2931	1066	14	a	a	DET
cblr-2931	1066	15	person	person	NOUN
cblr-2931	1066	16	that	that	PRON
cblr-2931	1066	17	the	the	DET
cblr-2931	1066	18	customer	customer	NOUN
cblr-2931	1066	19	qualifies	qualify	VERB
cblr-2931	1066	20	as	as	ADP
cblr-2931	1066	21	a	a	DET
cblr-2931	1066	22	nonrestricted	nonrestricted	ADJ
cblr-2931	1066	23	person	person	NOUN
cblr-2931	1066	24	,	,	PUNCT
cblr-2931	1066	25	the	the	DET
cblr-2931	1066	26	customer	customer	NOUN
cblr-2931	1066	27	's	's	PART
cblr-2931	1066	28	status	status	NOUN
cblr-2931	1066	29	changes	change	NOUN
cblr-2931	1066	30	to	to	PART
cblr-2931	1066	31	restricted	restrict	VERB
cblr-2931	1066	32	,	,	PUNCT
cblr-2931	1066	33	the	the	DET
cblr-2931	1066	34	nasd	nasd	NOUN
cblr-2931	1066	35	member	member	NOUN
cblr-2931	1066	36	will	will	AUX
cblr-2931	1066	37	not	not	PART
cblr-2931	1066	38	be	be	AUX
cblr-2931	1066	39	considered	consider	VERB
cblr-2931	1066	40	to	to	PART
cblr-2931	1066	41	be	be	AUX
cblr-2931	1066	42	in	in	ADP
cblr-2931	1066	43	violation	violation	NOUN
cblr-2931	1066	44	of	of	ADP
cblr-2931	1066	45	the	the	DET
cblr-2931	1066	46	ipo	ipo	NOUN
cblr-2931	1066	47	rule	rule	NOUN
cblr-2931	1066	48	unless	unless	SCONJ
cblr-2931	1066	49	the	the	DET
cblr-2931	1066	50	broker	broker	NOUN
cblr-2931	1066	51	has	have	AUX
cblr-2931	1066	52	been	be	AUX
cblr-2931	1066	53	notified	notify	VERB
cblr-2931	1066	54	of	of	ADP
cblr-2931	1066	55	this	this	DET
cblr-2931	1066	56	change	change	NOUN
cblr-2931	1066	57	or	or	CCONJ
cblr-2931	1066	58	otherwise	otherwise	ADV
cblr-2931	1066	59	has	have	VERB
cblr-2931	1066	60	reason	reason	NOUN
cblr-2931	1066	61	to	to	PART
cblr-2931	1066	62	believe	believe	VERB
cblr-2931	1066	63	that	that	SCONJ
cblr-2931	1066	64	such	such	DET
cblr-2931	1066	65	a	a	DET
cblr-2931	1066	66	change	change	NOUN
cblr-2931	1066	67	has	have	AUX
cblr-2931	1066	68	occurred	occur	VERB
cblr-2931	1066	69	.	.	PUNCT
cblr-2931	1067	1	2	2	NUM
cblr-2931	1067	2	see	see	VERB
cblr-2931	1067	3	supra	supra	PROPN
cblr-2931	1067	4	part	part	PROPN
cblr-2931	1067	5	v.b	v.b	PROPN
cblr-2931	1067	6	.	.	PROPN
cblr-2931	1067	7	760	760	NUM
cblr-2931	1068	1	[	[	X
cblr-2931	1068	2	vol	vol	NOUN
cblr-2931	1068	3	.	.	PUNCT
cblr-2931	1068	4	2010	2010	NUM
cblr-2931	1068	5	no	no	INTJ
cblr-2931	1068	6	.	.	PUNCT
cblr-2931	1069	1	3:7101	3:7101	NUM
cblr-2931	1069	2	are	be	AUX
cblr-2931	1069	3	existing	exist	VERB
cblr-2931	1069	4	stock	stock	NOUN
cblr-2931	1069	5	broker	broker	NOUN
cblr-2931	1069	6	standards	standard	NOUN
cblr-2931	1069	7	sufficient	sufficient	ADJ
cblr-2931	1069	8	?	?	PUNCT
cblr-2931	1070	1	transactions	transaction	NOUN
cblr-2931	1070	2	to	to	PART
cblr-2931	1070	3	generate	generate	VERB
cblr-2931	1070	4	commissions	commission	NOUN
cblr-2931	1070	5	)	)	PUNCT
cblr-2931	1070	6	is	be	AUX
cblr-2931	1070	7	expressly	expressly	ADV
cblr-2931	1070	8	prohibited.207	prohibited.207	NOUN
cblr-2931	1070	9	similarly	similarly	ADV
cblr-2931	1070	10	,	,	PUNCT
cblr-2931	1070	11	it	it	PRON
cblr-2931	1070	12	is	be	AUX
cblr-2931	1070	13	illegal	illegal	ADJ
cblr-2931	1070	14	to	to	PART
cblr-2931	1070	15	recommend	recommend	VERB
cblr-2931	1070	16	transactions	transaction	NOUN
cblr-2931	1070	17	without	without	ADP
cblr-2931	1070	18	a	a	DET
cblr-2931	1070	19	sufficient	sufficient	ADJ
cblr-2931	1070	20	knowledge	knowledge	NOUN
cblr-2931	1070	21	of	of	ADP
cblr-2931	1070	22	the	the	DET
cblr-2931	1070	23	security2	security2	NOUN
cblr-2931	1070	24	08	08	NUM
cblr-2931	1070	25	or	or	CCONJ
cblr-2931	1070	26	to	to	PART
cblr-2931	1070	27	make	make	VERB
cblr-2931	1070	28	recommendations	recommendation	NOUN
cblr-2931	1070	29	that	that	PRON
cblr-2931	1070	30	are	be	AUX
cblr-2931	1070	31	unsuitable	unsuitable	ADJ
cblr-2931	1070	32	in	in	ADP
cblr-2931	1070	33	light	light	NOUN
cblr-2931	1070	34	of	of	ADP
cblr-2931	1070	35	the	the	DET
cblr-2931	1070	36	customer	customer	NOUN
cblr-2931	1070	37	's	's	PART
cblr-2931	1070	38	knowledge	knowledge	NOUN
cblr-2931	1070	39	,	,	PUNCT
cblr-2931	1070	40	experience	experience	NOUN
cblr-2931	1070	41	,	,	PUNCT
cblr-2931	1070	42	and	and	CCONJ
cblr-2931	1070	43	risk	risk	NOUN
cblr-2931	1070	44	-	-	PUNCT
cblr-2931	1070	45	bearing	bear	VERB
cblr-2931	1070	46	tolerance	tolerance	NOUN
cblr-2931	1070	47	.	.	PUNCT
cblr-2931	1071	1	2	2	NUM
cblr-2931	1071	2	09	09	NUM
cblr-2931	1071	3	these	these	PRON
cblr-2931	1071	4	are	be	AUX
cblr-2931	1071	5	just	just	ADV
cblr-2931	1071	6	a	a	DET
cblr-2931	1071	7	few	few	ADJ
cblr-2931	1071	8	examples	example	NOUN
cblr-2931	1071	9	of	of	ADP
cblr-2931	1071	10	improper	improper	ADJ
cblr-2931	1071	11	broker	broker	NOUN
cblr-2931	1071	12	-	-	PUNCT
cblr-2931	1071	13	dealer	dealer	NOUN
cblr-2931	1071	14	activity	activity	NOUN
cblr-2931	1071	15	expressly	expressly	ADV
cblr-2931	1071	16	addressed	address	VERB
cblr-2931	1071	17	by	by	ADP
cblr-2931	1071	18	sec	sec	PROPN
cblr-2931	1071	19	or	or	CCONJ
cblr-2931	1071	20	finra	finra	PROPN
cblr-2931	1071	21	rules	rule	NOUN
cblr-2931	1071	22	.	.	PUNCT
cblr-2931	1072	1	concerns	concern	NOUN
cblr-2931	1072	2	about	about	ADP
cblr-2931	1072	3	the	the	DET
cblr-2931	1072	4	current	current	ADJ
cblr-2931	1072	5	approach	approach	NOUN
cblr-2931	1072	6	of	of	ADP
cblr-2931	1072	7	supplementing	supplement	VERB
cblr-2931	1072	8	existing	exist	VERB
cblr-2931	1072	9	specific	specific	ADJ
cblr-2931	1072	10	rules	rule	NOUN
cblr-2931	1072	11	with	with	ADP
cblr-2931	1072	12	a	a	DET
cblr-2931	1072	13	"	"	PUNCT
cblr-2931	1072	14	just	just	ADJ
cblr-2931	1072	15	and	and	CCONJ
cblr-2931	1072	16	equitable	equitable	ADJ
cblr-2931	1072	17	principles	principle	NOUN
cblr-2931	1072	18	of	of	ADP
cblr-2931	1072	19	trade	trade	NOUN
cblr-2931	1072	20	"	"	PUNCT
cblr-2931	1072	21	requirement	requirement	NOUN
cblr-2931	1072	22	are	be	AUX
cblr-2931	1072	23	misplaced	misplace	VERB
cblr-2931	1072	24	.	.	PUNCT
cblr-2931	1073	1	the	the	DET
cblr-2931	1073	2	current	current	ADJ
cblr-2931	1073	3	approachperhaps	approachperhap	NOUN
cblr-2931	1073	4	combined	combine	VERB
cblr-2931	1073	5	with	with	ADP
cblr-2931	1073	6	a	a	DET
cblr-2931	1073	7	more	more	ADV
cblr-2931	1073	8	explicit	explicit	ADJ
cblr-2931	1073	9	recognition	recognition	NOUN
cblr-2931	1073	10	of	of	ADP
cblr-2931	1073	11	brokerdealer	brokerdealer	NOUN
cblr-2931	1073	12	fiduciary	fiduciary	ADJ
cblr-2931	1073	13	obligations	obligation	NOUN
cblr-2931	1073	14	through	through	ADP
cblr-2931	1073	15	sec	sec	PROPN
cblr-2931	1073	16	rulemaking	rulemaking	NOUN
cblr-2931	1073	17	or	or	CCONJ
cblr-2931	1073	18	a	a	DET
cblr-2931	1073	19	direct	direct	ADJ
cblr-2931	1073	20	legislative	legislative	ADJ
cblr-2931	1073	21	declaration	declaration	NOUN
cblr-2931	1073	22	-	-	PUNCT
cblr-2931	1073	23	provides	provide	VERB
cblr-2931	1073	24	a	a	DET
cblr-2931	1073	25	good	good	ADJ
cblr-2931	1073	26	approach	approach	NOUN
cblr-2931	1073	27	to	to	ADP
cblr-2931	1073	28	regulation	regulation	NOUN
cblr-2931	1073	29	.	.	PUNCT
cblr-2931	1074	1	there	there	PRON
cblr-2931	1074	2	can	can	AUX
cblr-2931	1074	3	be	be	AUX
cblr-2931	1074	4	problems	problem	NOUN
cblr-2931	1074	5	with	with	ADP
cblr-2931	1074	6	a	a	DET
cblr-2931	1074	7	regulatory	regulatory	ADJ
cblr-2931	1074	8	scheme	scheme	NOUN
cblr-2931	1074	9	that	that	PRON
cblr-2931	1074	10	does	do	AUX
cblr-2931	1074	11	not	not	PART
cblr-2931	1074	12	give	give	VERB
cblr-2931	1074	13	sufficient	sufficient	ADJ
cblr-2931	1074	14	notice	notice	NOUN
cblr-2931	1074	15	to	to	ADP
cblr-2931	1074	16	the	the	DET
cblr-2931	1074	17	regulated	regulated	ADJ
cblr-2931	1074	18	industry	industry	NOUN
cblr-2931	1074	19	regarding	regard	VERB
cblr-2931	1074	20	the	the	DET
cblr-2931	1074	21	proper	proper	ADJ
cblr-2931	1074	22	standards	standard	NOUN
cblr-2931	1074	23	of	of	ADP
cblr-2931	1074	24	conduct	conduct	NOUN
cblr-2931	1074	25	.	.	PUNCT
cblr-2931	1075	1	such	such	ADJ
cblr-2931	1075	2	issues	issue	NOUN
cblr-2931	1075	3	arise	arise	VERB
cblr-2931	1075	4	concerning	concern	VERB
cblr-2931	1075	5	conduct	conduct	NOUN
cblr-2931	1075	6	at	at	ADP
cblr-2931	1075	7	the	the	DET
cblr-2931	1075	8	margins	margin	NOUN
cblr-2931	1075	9	,	,	PUNCT
cblr-2931	1075	10	which	which	PRON
cblr-2931	1075	11	does	do	AUX
cblr-2931	1075	12	not	not	PART
cblr-2931	1075	13	clearly	clearly	ADV
cblr-2931	1075	14	violate	violate	VERB
cblr-2931	1075	15	or	or	CCONJ
cblr-2931	1075	16	comply	comply	VERB
cblr-2931	1075	17	with	with	ADP
cblr-2931	1075	18	specific	specific	ADJ
cblr-2931	1075	19	administrative	administrative	ADJ
cblr-2931	1075	20	rules	rule	NOUN
cblr-2931	1075	21	.	.	PUNCT
cblr-2931	1076	1	granted	grant	VERB
cblr-2931	1076	2	,	,	PUNCT
cblr-2931	1076	3	a	a	DET
cblr-2931	1076	4	standard	standard	NOUN
cblr-2931	1076	5	based	base	VERB
cblr-2931	1076	6	on	on	ADP
cblr-2931	1076	7	just	just	ADV
cblr-2931	1076	8	and	and	CCONJ
cblr-2931	1076	9	equitable	equitable	ADJ
cblr-2931	1076	10	principles	principle	NOUN
cblr-2931	1076	11	of	of	ADP
cblr-2931	1076	12	trade	trade	NOUN
cblr-2931	1076	13	does	do	AUX
cblr-2931	1076	14	not	not	PART
cblr-2931	1076	15	translate	translate	VERB
cblr-2931	1076	16	into	into	ADP
cblr-2931	1076	17	a	a	DET
cblr-2931	1076	18	detailed	detailed	ADJ
cblr-2931	1076	19	list	list	NOUN
cblr-2931	1076	20	of	of	ADP
cblr-2931	1076	21	do	do	PROPN
cblr-2931	1076	22	's	's	PART
cblr-2931	1076	23	and	and	CCONJ
cblr-2931	1076	24	don'ts	don't	VERB
cblr-2931	1076	25	with	with	ADP
cblr-2931	1076	26	respect	respect	NOUN
cblr-2931	1076	27	to	to	ADP
cblr-2931	1076	28	such	such	ADJ
cblr-2931	1076	29	conduct	conduct	NOUN
cblr-2931	1076	30	at	at	ADP
cblr-2931	1076	31	the	the	DET
cblr-2931	1076	32	margins	margin	NOUN
cblr-2931	1076	33	.	.	PUNCT
cblr-2931	1077	1	however	however	ADV
cblr-2931	1077	2	,	,	PUNCT
cblr-2931	1077	3	under	under	ADP
cblr-2931	1077	4	the	the	DET
cblr-2931	1077	5	present	present	ADJ
cblr-2931	1077	6	regime	regime	NOUN
cblr-2931	1077	7	,	,	PUNCT
cblr-2931	1077	8	the	the	DET
cblr-2931	1077	9	message	message	NOUN
cblr-2931	1077	10	to	to	ADP
cblr-2931	1077	11	broker	broker	NOUN
cblr-2931	1077	12	-	-	PUNCT
cblr-2931	1077	13	dealers	dealer	NOUN
cblr-2931	1077	14	is	be	AUX
cblr-2931	1077	15	clear	clear	ADJ
cblr-2931	1077	16	:	:	PUNCT
cblr-2931	1077	17	the	the	DET
cblr-2931	1077	18	broker	broker	NOUN
cblr-2931	1077	19	-	-	PUNCT
cblr-2931	1077	20	dealer	dealer	NOUN
cblr-2931	1077	21	should	should	AUX
cblr-2931	1077	22	be	be	AUX
cblr-2931	1077	23	comfortable	comfortable	ADJ
cblr-2931	1077	24	in	in	ADP
cblr-2931	1077	25	its	its	PRON
cblr-2931	1077	26	belief	belief	NOUN
cblr-2931	1077	27	that	that	SCONJ
cblr-2931	1077	28	it	it	PRON
cblr-2931	1077	29	can	can	AUX
cblr-2931	1077	30	establish	establish	VERB
cblr-2931	1077	31	,	,	PUNCT
cblr-2931	1077	32	without	without	ADP
cblr-2931	1077	33	any	any	DET
cblr-2931	1077	34	doubt	doubt	NOUN
cblr-2931	1077	35	,	,	PUNCT
cblr-2931	1077	36	that	that	SCONJ
cblr-2931	1077	37	the	the	DET
cblr-2931	1077	38	conduct	conduct	NOUN
cblr-2931	1077	39	is	be	AUX
cblr-2931	1077	40	consistent	consistent	ADJ
cblr-2931	1077	41	with	with	ADP
cblr-2931	1077	42	just	just	ADV
cblr-2931	1077	43	and	and	CCONJ
cblr-2931	1077	44	equitable	equitable	ADJ
cblr-2931	1077	45	principles	principle	NOUN
cblr-2931	1077	46	of	of	ADP
cblr-2931	1077	47	trade	trade	NOUN
cblr-2931	1077	48	.	.	PUNCT
cblr-2931	1078	1	a	a	DET
cblr-2931	1078	2	broker	broker	NOUN
cblr-2931	1078	3	who	who	PRON
cblr-2931	1078	4	decides	decide	VERB
cblr-2931	1078	5	to	to	PART
cblr-2931	1078	6	engage	engage	VERB
cblr-2931	1078	7	in	in	ADP
cblr-2931	1078	8	conduct	conduct	NOUN
cblr-2931	1078	9	it	it	PRON
cblr-2931	1078	10	recognizes	recognize	VERB
cblr-2931	1078	11	is	be	AUX
cblr-2931	1078	12	marginal	marginal	ADJ
cblr-2931	1078	13	,	,	PUNCT
cblr-2931	1078	14	but	but	CCONJ
cblr-2931	1078	15	with	with	ADP
cblr-2931	1078	16	the	the	DET
cblr-2931	1078	17	belief	belief	NOUN
cblr-2931	1078	18	that	that	SCONJ
cblr-2931	1078	19	it	it	PRON
cblr-2931	1078	20	can	can	AUX
cblr-2931	1078	21	marshal	marshal	VERB
cblr-2931	1078	22	arguments	argument	NOUN
cblr-2931	1078	23	to	to	PART
cblr-2931	1078	24	support	support	VERB
cblr-2931	1078	25	its	its	PRON
cblr-2931	1078	26	conduct	conduct	NOUN
cblr-2931	1078	27	,	,	PUNCT
cblr-2931	1078	28	consciously	consciously	ADV
cblr-2931	1078	29	assumes	assume	VERB
cblr-2931	1078	30	the	the	DET
cblr-2931	1078	31	risk	risk	NOUN
cblr-2931	1078	32	that	that	SCONJ
cblr-2931	1078	33	it	it	PRON
cblr-2931	1078	34	will	will	AUX
cblr-2931	1078	35	be	be	AUX
cblr-2931	1078	36	unable	unable	ADJ
cblr-2931	1078	37	to	to	PART
cblr-2931	1078	38	justify	justify	VERB
cblr-2931	1078	39	its	its	PRON
cblr-2931	1078	40	actions	action	NOUN
cblr-2931	1078	41	.	.	PUNCT
cblr-2931	1079	1	in	in	ADP
cblr-2931	1079	2	such	such	DET
cblr-2931	1079	3	a	a	DET
cblr-2931	1079	4	case	case	NOUN
cblr-2931	1079	5	,	,	PUNCT
cblr-2931	1079	6	the	the	DET
cblr-2931	1079	7	actor	actor	NOUN
cblr-2931	1079	8	is	be	AUX
cblr-2931	1079	9	on	on	ADP
cblr-2931	1079	10	notice	notice	NOUN
cblr-2931	1079	11	that	that	SCONJ
cblr-2931	1079	12	there	there	PRON
cblr-2931	1079	13	is	be	VERB
cblr-2931	1079	14	a	a	DET
cblr-2931	1079	15	reasonable	reasonable	ADJ
cblr-2931	1079	16	likelihood	likelihood	NOUN
cblr-2931	1079	17	that	that	SCONJ
cblr-2931	1079	18	the	the	DET
cblr-2931	1079	19	conduct	conduct	NOUN
cblr-2931	1079	20	violates	violate	VERB
cblr-2931	1079	21	applicable	applicable	ADJ
cblr-2931	1079	22	principles	principle	NOUN
cblr-2931	1079	23	of	of	ADP
cblr-2931	1079	24	just	just	ADV
cblr-2931	1079	25	and	and	CCONJ
cblr-2931	1079	26	equitable	equitable	ADJ
cblr-2931	1079	27	conduct	conduct	NOUN
cblr-2931	1079	28	.	.	PUNCT
cblr-2931	1080	1	given	give	VERB
cblr-2931	1080	2	the	the	DET
cblr-2931	1080	3	fact	fact	NOUN
cblr-2931	1080	4	that	that	SCONJ
cblr-2931	1080	5	stock	stock	NOUN
cblr-2931	1080	6	brokers	broker	NOUN
cblr-2931	1080	7	occupy	occupy	VERB
cblr-2931	1080	8	a	a	DET
cblr-2931	1080	9	position	position	NOUN
cblr-2931	1080	10	of	of	ADP
cblr-2931	1080	11	trust	trust	NOUN
cblr-2931	1080	12	,	,	PUNCT
cblr-2931	1080	13	and	and	CCONJ
cblr-2931	1080	14	thus	thus	ADV
cblr-2931	1080	15	are	be	AUX
cblr-2931	1080	16	often	often	ADV
cblr-2931	1080	17	placed	place	VERB
cblr-2931	1080	18	in	in	ADP
cblr-2931	1080	19	fiduciary	fiduciary	ADJ
cblr-2931	1080	20	or	or	CCONJ
cblr-2931	1080	21	fiduciary207	fiduciary207	PROPN
cblr-2931	1080	22	see	see	VERB
cblr-2931	1080	23	5	5	NUM
cblr-2931	1080	24	hazen	hazen	PROPN
cblr-2931	1080	25	,	,	PUNCT
cblr-2931	1080	26	supra	supra	PROPN
cblr-2931	1080	27	note	note	NOUN
cblr-2931	1080	28	93	93	NUM
cblr-2931	1080	29	at	at	ADP
cblr-2931	1080	30	§	§	PROPN
cblr-2931	1080	31	14.20	14.20	NUM
cblr-2931	1080	32	and	and	CCONJ
cblr-2931	1080	33	part	part	NOUN
cblr-2931	1080	34	v.b	v.b	PROPN
cblr-2931	1080	35	for	for	ADP
cblr-2931	1080	36	further	further	ADJ
cblr-2931	1080	37	discussion	discussion	NOUN
cblr-2931	1080	38	.	.	PUNCT
cblr-2931	1081	1	20	20	NUM
cblr-2931	1081	2	see	see	VERB
cblr-2931	1081	3	supra	supra	PROPN
cblr-2931	1081	4	part	part	PROPN
cblr-2931	1081	5	v.c	v.c	PROPN
cblr-2931	1081	6	.	.	PROPN
cblr-2931	1081	7	2	2	NUM
cblr-2931	1081	8	"	"	PUNCT
cblr-2931	1081	9	see	see	VERB
cblr-2931	1081	10	supra	supra	PROPN
cblr-2931	1081	11	part	part	PROPN
cblr-2931	1081	12	v.c	v.c	PROPN
cblr-2931	1081	13	.	.	PROPN
cblr-2931	1081	14	761	761	NUM
cblr-2931	1081	15	columbia	columbia	PROPN
cblr-2931	1081	16	business	business	NOUN
cblr-2931	1081	17	law	law	PROPN
cblr-2931	1081	18	review	review	NOUN
cblr-2931	1081	19	like	like	ADP
cblr-2931	1081	20	positions	position	NOUN
cblr-2931	1081	21	,	,	PUNCT
cblr-2931	1081	22	it	it	PRON
cblr-2931	1081	23	is	be	AUX
cblr-2931	1081	24	not	not	PART
cblr-2931	1081	25	unreasonable	unreasonable	ADJ
cblr-2931	1081	26	to	to	PART
cblr-2931	1081	27	have	have	VERB
cblr-2931	1081	28	a	a	DET
cblr-2931	1081	29	legal	legal	ADJ
cblr-2931	1081	30	and	and	CCONJ
cblr-2931	1081	31	regulatory	regulatory	ADJ
cblr-2931	1081	32	regime	regime	NOUN
cblr-2931	1081	33	that	that	PRON
cblr-2931	1081	34	puts	put	VERB
cblr-2931	1081	35	a	a	DET
cblr-2931	1081	36	high	high	ADJ
cblr-2931	1081	37	burden	burden	NOUN
cblr-2931	1081	38	on	on	ADP
cblr-2931	1081	39	the	the	DET
cblr-2931	1081	40	broker	broker	NOUN
cblr-2931	1081	41	to	to	PART
cblr-2931	1081	42	establish	establish	VERB
cblr-2931	1081	43	that	that	SCONJ
cblr-2931	1081	44	its	its	PRON
cblr-2931	1081	45	conduct	conduct	NOUN
cblr-2931	1081	46	is	be	AUX
cblr-2931	1081	47	within	within	ADP
cblr-2931	1081	48	the	the	DET
cblr-2931	1081	49	realm	realm	NOUN
cblr-2931	1081	50	of	of	ADP
cblr-2931	1081	51	what	what	PRON
cblr-2931	1081	52	is	be	AUX
cblr-2931	1081	53	permissible	permissible	ADJ
cblr-2931	1081	54	.	.	PUNCT
cblr-2931	1082	1	vii.conclusion	vii.conclusion	NOUN
cblr-2931	1082	2	broker	broker	NOUN
cblr-2931	1082	3	-	-	PUNCT
cblr-2931	1082	4	dealer	dealer	NOUN
cblr-2931	1082	5	conduct	conduct	NOUN
cblr-2931	1082	6	is	be	AUX
cblr-2931	1082	7	under	under	ADP
cblr-2931	1082	8	increased	increase	VERB
cblr-2931	1082	9	scrutiny	scrutiny	NOUN
cblr-2931	1082	10	because	because	SCONJ
cblr-2931	1082	11	of	of	ADP
cblr-2931	1082	12	recent	recent	ADJ
cblr-2931	1082	13	events	event	NOUN
cblr-2931	1082	14	.	.	PUNCT
cblr-2931	1083	1	the	the	DET
cblr-2931	1083	2	problems	problem	NOUN
cblr-2931	1083	3	that	that	PRON
cblr-2931	1083	4	led	lead	VERB
cblr-2931	1083	5	to	to	ADP
cblr-2931	1083	6	recent	recent	ADJ
cblr-2931	1083	7	scandals	scandal	NOUN
cblr-2931	1083	8	reveal	reveal	VERB
cblr-2931	1083	9	that	that	SCONJ
cblr-2931	1083	10	there	there	PRON
cblr-2931	1083	11	has	have	AUX
cblr-2931	1083	12	been	be	AUX
cblr-2931	1083	13	enforcement	enforcement	NOUN
cblr-2931	1083	14	failure	failure	NOUN
cblr-2931	1083	15	but	but	CCONJ
cblr-2931	1083	16	do	do	AUX
cblr-2931	1083	17	not	not	PART
cblr-2931	1083	18	show	show	VERB
cblr-2931	1083	19	that	that	SCONJ
cblr-2931	1083	20	there	there	PRON
cblr-2931	1083	21	has	have	AUX
cblr-2931	1083	22	been	be	AUX
cblr-2931	1083	23	a	a	DET
cblr-2931	1083	24	substantial	substantial	ADJ
cblr-2931	1083	25	gap	gap	NOUN
cblr-2931	1083	26	in	in	ADP
cblr-2931	1083	27	regulation	regulation	NOUN
cblr-2931	1083	28	.	.	PUNCT
cblr-2931	1084	1	congress	congress	PROPN
cblr-2931	1084	2	has	have	AUX
cblr-2931	1084	3	mandated	mandate	VERB
cblr-2931	1084	4	that	that	SCONJ
cblr-2931	1084	5	the	the	DET
cblr-2931	1084	6	sec	sec	PROPN
cblr-2931	1084	7	study	study	NOUN
cblr-2931	1084	8	whether	whether	SCONJ
cblr-2931	1084	9	there	there	PRON
cblr-2931	1084	10	are	be	VERB
cblr-2931	1084	11	gaps	gap	NOUN
cblr-2931	1084	12	in	in	ADP
cblr-2931	1084	13	broker	broker	NOUN
cblr-2931	1084	14	-	-	PUNCT
cblr-2931	1084	15	dealer	dealer	NOUN
cblr-2931	1084	16	regulation	regulation	NOUN
cblr-2931	1084	17	and	and	CCONJ
cblr-2931	1084	18	whether	whether	SCONJ
cblr-2931	1084	19	there	there	PRON
cblr-2931	1084	20	should	should	AUX
cblr-2931	1084	21	be	be	AUX
cblr-2931	1084	22	more	more	ADV
cblr-2931	1084	23	explicit	explicit	ADJ
cblr-2931	1084	24	regulatory	regulatory	ADJ
cblr-2931	1084	25	statements	statement	NOUN
cblr-2931	1084	26	regarding	regard	VERB
cblr-2931	1084	27	broker	broker	NOUN
cblr-2931	1084	28	-	-	PUNCT
cblr-2931	1084	29	dealer	dealer	NOUN
cblr-2931	1084	30	fiduciary	fiduciary	ADJ
cblr-2931	1084	31	obligations	obligation	NOUN
cblr-2931	1084	32	.	.	PUNCT
cblr-2931	1085	1	as	as	SCONJ
cblr-2931	1085	2	discussed	discuss	VERB
cblr-2931	1085	3	throughout	throughout	ADP
cblr-2931	1085	4	this	this	DET
cblr-2931	1085	5	article	article	NOUN
cblr-2931	1085	6	,	,	PUNCT
cblr-2931	1085	7	there	there	PRON
cblr-2931	1085	8	are	be	VERB
cblr-2931	1085	9	many	many	ADJ
cblr-2931	1085	10	examples	example	NOUN
cblr-2931	1085	11	of	of	ADP
cblr-2931	1085	12	particular	particular	ADJ
cblr-2931	1085	13	broker	broker	NOUN
cblr-2931	1085	14	-	-	PUNCT
cblr-2931	1085	15	dealer	dealer	NOUN
cblr-2931	1085	16	fiduciary	fiduciary	ADJ
cblr-2931	1085	17	obligations	obligation	NOUN
cblr-2931	1085	18	in	in	ADP
cblr-2931	1085	19	the	the	DET
cblr-2931	1085	20	existing	exist	VERB
cblr-2931	1085	21	law	law	NOUN
cblr-2931	1085	22	.	.	PUNCT
cblr-2931	1086	1	in	in	ADP
cblr-2931	1086	2	fact	fact	NOUN
cblr-2931	1086	3	,	,	PUNCT
cblr-2931	1086	4	any	any	DET
cblr-2931	1086	5	time	time	NOUN
cblr-2931	1086	6	a	a	DET
cblr-2931	1086	7	securities	security	NOUN
cblr-2931	1086	8	broker	broker	NOUN
cblr-2931	1086	9	acts	act	VERB
cblr-2931	1086	10	as	as	ADP
cblr-2931	1086	11	something	something	PRON
cblr-2931	1086	12	more	more	ADJ
cblr-2931	1086	13	than	than	ADP
cblr-2931	1086	14	a	a	DET
cblr-2931	1086	15	mere	mere	ADJ
cblr-2931	1086	16	order	order	NOUN
cblr-2931	1086	17	taker	taker	NOUN
cblr-2931	1086	18	,	,	PUNCT
cblr-2931	1086	19	heightened	heighten	VERB
cblr-2931	1086	20	obligations	obligation	NOUN
cblr-2931	1086	21	attach	attach	VERB
cblr-2931	1086	22	.	.	PUNCT
cblr-2931	1087	1	there	there	PRON
cblr-2931	1087	2	is	be	VERB
cblr-2931	1087	3	no	no	DET
cblr-2931	1087	4	doubt	doubt	NOUN
cblr-2931	1087	5	that	that	SCONJ
cblr-2931	1087	6	expressly	expressly	ADV
cblr-2931	1087	7	stating	state	VERB
cblr-2931	1087	8	that	that	SCONJ
cblr-2931	1087	9	broker	broker	NOUN
cblr-2931	1087	10	-	-	PUNCT
cblr-2931	1087	11	dealers	dealer	NOUN
cblr-2931	1087	12	are	be	AUX
cblr-2931	1087	13	fiduciaries	fiduciary	NOUN
cblr-2931	1087	14	will	will	AUX
cblr-2931	1087	15	provide	provide	VERB
cblr-2931	1087	16	further	further	ADJ
cblr-2931	1087	17	emphasis	emphasis	NOUN
cblr-2931	1087	18	on	on	ADP
cblr-2931	1087	19	their	their	PRON
cblr-2931	1087	20	obligations	obligation	NOUN
cblr-2931	1087	21	.	.	PUNCT
cblr-2931	1088	1	however	however	ADV
cblr-2931	1088	2	,	,	PUNCT
cblr-2931	1088	3	even	even	ADV
cblr-2931	1088	4	in	in	ADP
cblr-2931	1088	5	the	the	DET
cblr-2931	1088	6	absence	absence	NOUN
cblr-2931	1088	7	of	of	ADP
cblr-2931	1088	8	a	a	DET
cblr-2931	1088	9	legislative	legislative	ADJ
cblr-2931	1088	10	or	or	CCONJ
cblr-2931	1088	11	regulatory	regulatory	ADJ
cblr-2931	1088	12	declaration	declaration	NOUN
cblr-2931	1088	13	to	to	ADP
cblr-2931	1088	14	that	that	DET
cblr-2931	1088	15	effect	effect	NOUN
cblr-2931	1088	16	,	,	PUNCT
cblr-2931	1088	17	heightened	heighten	VERB
cblr-2931	1088	18	standards	standard	NOUN
cblr-2931	1088	19	for	for	ADP
cblr-2931	1088	20	broker	broker	NOUN
cblr-2931	1088	21	-	-	PUNCT
cblr-2931	1088	22	dealers	dealer	NOUN
cblr-2931	1088	23	are	be	AUX
cblr-2931	1088	24	already	already	ADV
cblr-2931	1088	25	well	well	ADV
cblr-2931	1088	26	established	establish	VERB
cblr-2931	1088	27	.	.	PUNCT
cblr-2931	1089	1	762	762	NUM
cblr-2931	1090	1	[	[	X
cblr-2931	1090	2	vol	vol	NOUN
cblr-2931	1090	3	.	.	NOUN
cblr-2931	1090	4	20	20	NUM
cblr-2931	1090	5	10	10	NUM