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Broker-dealers and Securities Markets

Broker-dealers and Securities Markets PDF Author: Sheldon M. Jaffe
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 472

Book Description

Broker-dealers and Securities Markets

Broker-dealers and Securities Markets PDF Author: Sheldon M. Jaffe
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 472

Book Description

Regulation of Brokers, Dealers, and Securities Markets

Regulation of Brokers, Dealers, and Securities Markets PDF Author: Nicholas Wolfson
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 538

Book Description

Recommendations on Access and Membership by Foreign-controlled Broker-dealers to the U. S. Securities Markets

Recommendations on Access and Membership by Foreign-controlled Broker-dealers to the U. S. Securities Markets PDF Author: New York Stock Exchange. Advisory Committee on International Capital Markets
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 108

Book Description

Report of special study of securities markets of the Securities and Exchange Commission

Report of special study of securities markets of the Securities and Exchange Commission PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category :
Languages : en
Pages : 1174

Book Description

Enhancing Investor Protection and the Regulation of Securities Markets

Enhancing Investor Protection and the Regulation of Securities Markets PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Global Financial Crisis, 2008-2009
Languages : en
Pages : 294

Book Description

The Securities Markets

The Securities Markets PDF Author: Sidney M. Robbins
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 328

Book Description

Values in the Marketplace

Values in the Marketplace PDF Author: James Burk
Publisher: Walter de Gruyter GmbH & Co KG
ISBN: 3110868415
Category : Law
Languages : en
Pages : 220

Book Description
No detailed description available for "Values in the Marketplace".

Securities Markets Agencies

Securities Markets Agencies PDF Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 466

Book Description
Committee Serial No. 91-9. Reviews administration of laws regulating securities market.

Securities Markets

Securities Markets PDF Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 52

Book Description

Securities Markets

Securities Markets PDF Author: DIANE Publishing Company
Publisher: DIANE Publishing
ISBN: 9780788118586
Category : Business & Economics
Languages : en
Pages : 56

Book Description
Reviews the oversight and disciplinary actions of the Securities and Exchange Commission (SEC) and several of the securities industry's self regulatory organizations (SRO) against unscrupulous brokers - individuals licensed to sell securities who have committed a significant breach of sales practice rules or have a history of repeated sales practice violations.
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