Securities broker-dealers : customer suitability requirements imposed by self-regulatory organizations /

Legal Analysis of the Government Securities Act of 1986 and Its Application to Broker/Dealers Convicted of Insider Trading Violations.
Published: (1987)

Review of SEC records of the demise of selected broker-dealers : staff study for the Special Subcommittee on Investigations of the Committee on Interstate and Foreign Commerce, House of Representatives. Ninety-second Congress, first session.
Published: (1971)

Standard & Poor's security dealers of North America.

Securities Broker-Dealers : Customer Suitability Requirements Imposed by Self-Regulatory Organizations.
Published: (1990)

Accounting guide : brokers and dealers in securities, September 1, 2018.
Published: (2018)

Study of the Dealer Market for Federal Government Securities.
Published: (1960)

The Irwin directory of emerging market brokers /
by: Lerner, William J.
Published: (1997)

Thriving as a broker in the 21st century /
by: Dorsey, Thomas J.
Published: (1999)

Broker-Dealer License Fees : hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Commerce and Finance, Eighty-Sixth Congress, second session, on June 6, 1960.
Published: (1960)

Tax Gap : Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.
Published: (2008)

Tax Gap : Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.
Published: (2008)

Tax Gap : Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.
Published: (2008)

Tax Gap : Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.
Published: (2007)

Tax Gap : Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.
Published: (2007)

Tax Gap : Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.
Published: (2007)

Tax Gap : Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.
Published: (2008)

Rogue brokers : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, September 14, 1994.
Published: (1995)

Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds.
Published: (1998)

Securities Paperwork Reduction Resolution.
Published: (1974)

When your broker calls, take notes! /
Published: (2007)

Securities markets : competition and multiple regulators heighten concerns about self-regulation.
Published: (2002)

Lies your broker tells you : what to watch for and still achieve financial security /
by: Saler, Thomas D.
Published: (1989)

Dynamic planning and management in the securities industry : staying competitive in a changing market place /
by: Howard, Donald F.
Published: (1987)

Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011.
Published: (2012)

Securities industry yearbook.
Published: (1980)

Securities Investor Protection Act Amendments of 1977.
Published: (1977)

Broker-dealers and securities markets : a guide to the regulatory process /
by: Jaffe, Sheldon M., 1934-
Published: (1977)

Securities Acts Amendments of 1974.
Published: (1974)

Authorizing Appropriations for the Securities and Exchange Commission.
Published: (1978)

Supplementary Report of the Securities and Exchange Commission on S. 2054 (84th Congress).
Published: (1957)

The Joint regulatory sales practice sweep report : a revas printed] of selected registered representatives and the hiring, retention, and supervisory practices of the brokerage firms employing them.
Published: (1996)

The SEC's best interest proposal for advice given by broker-dealers /
by: Shorter, Gary W.
Published: (2018)

The Wall Street Journal guide to who's who & what's what on Wall Street /
Published: (1998)

Traders : the jobs, the products, the markets /
by: Weiss, David M., 1938-
Published: (1990)

Securities law : background and recent developments in tender offers and in insider trading /
by: Seitzinger, Michael V.
Published: (1988)

Over-the-Counter Brokers and Dealers, Supplement No. 9.
Published: (1941)