Author: Publisher:
ISBN:
Category : Stockbrokers
Languages : en
Pages : 922
Book Description
Coping with Broker-dealer Regulation & Increasing Enforcement
Author: Coping with Broker/dealer Regulation & Enforcement, 2000
Author: Compliance Link: 1998-1999
Author: Price water house CoopersPublisher: M.E. Sharpe
ISBN: 9780765602718
Category : Business & Economics
Languages : en
Pages : 62
Book Description
This handy index to all six Regulatory Handbooks provides a quick cross reference to the topics and regulations covered in each individual volume and increases the value of the entire series.
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Author: Angela A. HungPublisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151
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
Author: The Budget of the United States Government
Author: United StatesPublisher:
ISBN:
Category : Budget
Languages : en
Pages : 1306
Book Description
The Martindale-Hubbell Law Directory
Author: U.S. Regulation of the International Securities and Derivatives Markets
Author: Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
Book Description
Coping with Broker-dealer Regulation & Increasing Enforcement
Author: Publisher:
ISBN: 9780872243149
Category : Securities
Languages : en
Pages : 224
Book Description
Anti-money Laundering
Author: United States. General Accounting OfficePublisher:
ISBN:
Category : Money laundering
Languages : en
Pages : 92
Book Description