Coping with Broker-dealer Regulation & Increasing Enforcement
Author :
Publisher :
Page : 922 pages
File Size : 40,72 MB
Release : 2010
Category : Stockbrokers
ISBN :
Coping with Broker-dealer Regulation & Increasing Enforcement
Author :
Publisher :
Page : 224 pages
File Size : 50,31 MB
Release : 1997
Category : Securities
ISBN : 9780872243149
Book Description
Coping with Broker-dealer Regulation & Enforcement
Author : Robert M. Romano
Publisher :
Page : 342 pages
File Size : 37,10 MB
Release : 1998
Category : Business & Economics
ISBN :
Book Description
Coping with Broker/dealer Regulation & Enforcement
Author :
Publisher :
Page : 332 pages
File Size : 29,23 MB
Release : 1999
Category : Securities
ISBN :
Book Description
Coping with Broker-dealer Regulation & Enforcement
Author :
Publisher :
Page : pages
File Size : 32,47 MB
Release : 1998
Category : Stockbrokers
ISBN :
Book Description
Coping with Broker/dealer Regulation & Enforcement, 2000
Author :
Publisher :
Page : 312 pages
File Size : 32,1 MB
Release : 2000
Category : Securities
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 : 10,50 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.
Coping with Broker/dealer Regulation & Enforcement, 2004
Author :
Publisher : Practising Law Institute
Page : pages
File Size : 24,35 MB
Release : 2004
Category : Disclosure of information
ISBN : 9781402404986
Book Description
Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight
Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher :
Page : 580 pages
File Size : 30,42 MB
Release : 2012
Category : Business & Economics
ISBN :
Book Description
Anti-money Laundering
Author : United States. General Accounting Office
Publisher :
Page : 92 pages
File Size : 13,56 MB
Release : 2001
Category : Money laundering
ISBN :
