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Coping with Broker-dealer Regulation & Increasing Enforcement

Coping with Broker-dealer Regulation & Increasing Enforcement PDF Author:
Publisher:
ISBN:
Category : Stockbrokers
Languages : en
Pages : 922

Book Description

Coping with Broker-dealer Regulation & Increasing Enforcement

Coping with Broker-dealer Regulation & Increasing Enforcement PDF Author:
Publisher:
ISBN:
Category : Stockbrokers
Languages : en
Pages : 922

Book Description

Coping with Broker/dealer Regulation & Enforcement, 2003

Coping with Broker/dealer Regulation & Enforcement, 2003 PDF Author:
Publisher:
ISBN: 9781402403552
Category : Brokers
Languages : en
Pages : 928

Book Description

Coping with Broker/dealer Regulation & Enforcement

Coping with Broker/dealer Regulation & Enforcement PDF Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 332

Book Description

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers PDF Author: Angela A. Hung
Publisher: 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.

U.S. Regulation of the International Securities and Derivatives Markets

U.S. Regulation of the International Securities and Derivatives Markets PDF Author:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254

Book Description

The Budget of the United States Government

The Budget of the United States Government PDF Author: United States
Publisher:
ISBN:
Category : Budget
Languages : en
Pages : 1278

Book Description

Coping with Broker-dealer Regulation & Increasing Enforcement

Coping with Broker-dealer Regulation & Increasing Enforcement PDF Author:
Publisher:
ISBN: 9780872243149
Category : Securities
Languages : en
Pages : 224

Book Description

Enforcement of Corporate and Securities Law

Enforcement of Corporate and Securities Law PDF Author: Robin Hui Huang
Publisher: Cambridge University Press
ISBN: 1316738507
Category : Law
Languages : en
Pages : 553

Book Description
This book assembles the world's most authoritative specialists for a comparative analysis of the enforcement of corporate and securities laws in thirteen national jurisdictions. It examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective.

Securities Exchange Act of 1934 Release

Securities Exchange Act of 1934 Release PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 868

Book Description

Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry

Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 1132

Book Description

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