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Registration and Regulation of Brokers and Dealers

Registration and Regulation of Brokers and Dealers PDF Author: Ezra Weiss
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 400

Book Description

Registration and Regulation of Brokers and Dealers

Registration and Regulation of Brokers and Dealers PDF Author: Ezra Weiss
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 400

Book Description

Broker-dealer License Fees

Broker-dealer License Fees PDF Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 76

Book Description
Considers H.R. 6294, to amend the Securities Exchange Act of 1934 to raise security exchange registration fees, and to impose annual registration fees on registered broker-dealers.

Information on Registration and Regulation of Broker Dealers

Information on Registration and Regulation of Broker Dealers PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 4

Book Description

Broker-Dealer Law and Regulation, 5th Edition

Broker-Dealer Law and Regulation, 5th Edition PDF Author: Poser, Fanto, Gross
Publisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920

Book Description

Broker Dealer Regulation

Broker Dealer Regulation PDF Author: David A. Lipton
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 904

Book Description

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

Virginia Securities Act Rules and Forms Pertaining to the Registration and Regulation of Broker-dealers, Broker-dealer Agents, Agents of the Issuer, Investment Advisors, and Investment Advisor Representatives

Virginia Securities Act Rules and Forms Pertaining to the Registration and Regulation of Broker-dealers, Broker-dealer Agents, Agents of the Issuer, Investment Advisors, and Investment Advisor Representatives PDF Author: Virginia. State Corporation Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages :

Book Description

Information on Registration and Regulation of Broker Dealers

Information on Registration and Regulation of Broker Dealers PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 4

Book Description

Broker-dealer Law and Regulation

Broker-dealer Law and Regulation PDF Author: Norman S. Poser
Publisher:
ISBN: 9780735567856
Category : Securities
Languages : en
Pages :

Book Description

Broker-dealer Law and Regulation

Broker-dealer Law and Regulation PDF Author: Norman S. Poser
Publisher: Aspen Publishers
ISBN:
Category : Brokers
Languages : en
Pages : 100

Book Description

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