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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.

Government Securities Act of 1986

Government Securities Act of 1986 PDF Author: United States
Publisher:
ISBN:
Category : Government securities
Languages : en
Pages : 16

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 : Banks and banking, Foreign
Languages : en
Pages : 254

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

Regulation of Brokers, Dealers, and Securities Markets

Regulation of Brokers, Dealers, and Securities Markets PDF Author: Nicholas Wolfson
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 534

Book Description

Securities Law Compliance

Securities Law Compliance PDF Author: Allan H. Pessin
Publisher: Irwin Professional Publishing
ISBN:
Category : Securities
Languages : en
Pages : 488

Book Description

Broker-dealer Regulation in a Nutshell

Broker-dealer Regulation in a Nutshell PDF Author: Thomas Lee Hazen
Publisher: West Academic Publishing
ISBN: 9780314144621
Category : Law
Languages : en
Pages : 0

Book Description
This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the basic regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration.

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

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 : 440

Book Description

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