Coping with Broker-dealer Regulation & Increasing Enforcement
Author :
Publisher :
Page : 922 pages
File Size : 22,60 MB
Release : 2010
Category : Stockbrokers
ISBN :
Coping with Broker/dealer Regulation & Enforcement, 2004
Author :
Publisher : Practising Law Institute
Page : pages
File Size : 42,2 MB
Release : 2004
Category : Disclosure of information
ISBN : 9781402404986
Book Description
Coping with Broker/dealer Regulation & Enforcement
Author :
Publisher :
Page : 332 pages
File Size : 32,30 MB
Release : 1999
Category : Securities
ISBN :
Book Description
Coping with Broker-dealer Regulation & Increasing Enforcement
Author :
Publisher :
Page : 224 pages
File Size : 23,3 MB
Release : 1997
Category : Securities
ISBN : 9780872243149
Book Description
U.S. Regulation of the International Securities and Derivatives Markets
Author :
Publisher : Aspen Law & Business Publishers
Page : 254 pages
File Size : 38,9 MB
Release : 2002
Category : Business & Economics
ISBN :
Book Description
Coping with Broker-dealer Regulation & Enforcement
Author :
Publisher :
Page : pages
File Size : 33,92 MB
Release : 1998
Category : Stockbrokers
ISBN :
Book Description
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Author : Angela A. Hung
Publisher : Rand Corporation
Page : 151 pages
File Size : 50,66 MB
Release : 2008-03-12
Category : Law
ISBN : 0833045016
Book Description
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
The Budget of the United States Government
Author : United States
Publisher :
Page : 1278 pages
File Size : 37,30 MB
Release : 2005
Category : Budget
ISBN :
Book Description
A Review of the GAO Report on the Sale of Financial Products to Military Personnel
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
Page : 96 pages
File Size : 19,63 MB
Release : 2007
Category : Consumer protection
ISBN :
Book Description
Review of the GAO report on the sale of financial products to military personnel : hearing
Author :
Publisher : DIANE Publishing
Page : 90 pages
File Size : 11,38 MB
Release :
Category :
ISBN : 9781422323588
