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Review of SEC Records of the Demise of Selected Broker-dealers

Review of SEC Records of the Demise of Selected Broker-dealers PDF Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Special Subcommittee on Investigations
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 172

Book Description

Review of SEC Records of the Demise of Selected Broker-dealers

Review of SEC Records of the Demise of Selected Broker-dealers PDF Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Special Subcommittee on Investigations
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 172

Book Description

Review of SEC Records of the Demise of Selected Broker-Dealers, a Staff Study for the Special Subcommittee on Investigations ... , July 1971

Review of SEC Records of the Demise of Selected Broker-Dealers, a Staff Study for the Special Subcommittee on Investigations ... , July 1971 PDF Author: United States. Congress. House. Interstate and Foreign Commerce
Publisher:
ISBN:
Category :
Languages : en
Pages : 194

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.

Securities Industry Study, Report ..., Containing a Report of the Subcommittee on Securities Together with Indivual Views, (for the Period Ended February 4, 1972, Pursuant to S.Res. 109)110:1:United States

Securities Industry Study, Report ..., Containing a Report of the Subcommittee on Securities Together with Indivual Views, (for the Period Ended February 4, 1972, Pursuant to S.Res. 109)110:1:United States PDF Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 98

Book Description

Statement of Information

Statement of Information PDF Author: United States. Congress. House. Committee on the Judiciary
Publisher:
ISBN:
Category : Watergate Affair, 1972-1974
Languages : en
Pages : 588

Book Description

Monthly Catalog of United States Government Publications

Monthly Catalog of United States Government Publications PDF Author:
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 1932

Book Description

Securities Industry Study

Securities Industry Study PDF Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher:
ISBN:
Category : Securities industry
Languages : en
Pages : 196

Book Description

SEC Docket

SEC Docket PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1112

Book Description

Legislative Oversight of SEC: Inquiry Into Withholding and Transfer of Agency Files Pertaining to ITT

Legislative Oversight of SEC: Inquiry Into Withholding and Transfer of Agency Files Pertaining to ITT PDF Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Special Subcommittee on Investigations
Publisher:
ISBN:
Category :
Languages : en
Pages : 128

Book Description

Gonzo Wall Street

Gonzo Wall Street PDF Author: Richard E. Farley
Publisher: Simon and Schuster
ISBN: 1682451992
Category : Business & Economics
Languages : en
Pages : 318

Book Description
A Simon & Schuster eBook. Simon & Schuster has a great book for every reader.
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