Coping with Broker-dealer Regulation & Increasing Enforcement
Author:
Publisher:
Published: 2010
Total Pages: 922
ISBN-13:
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Coping with Broker/dealer Regulation & Enforcement, 2004
Author:
Publisher: Practising Law Institute
Published: 2004
Total Pages:
ISBN-13: 9781402404986
DOWNLOAD EBOOKCoping with Broker/dealer Regulation & Enforcement
Author:
Publisher:
Published: 1999
Total Pages: 332
ISBN-13:
DOWNLOAD EBOOKCoping with Broker-dealer Regulation & Increasing Enforcement
Author:
Publisher:
Published: 1997
Total Pages: 224
ISBN-13: 9780872243149
DOWNLOAD EBOOKU.S. Regulation of the International Securities and Derivatives Markets
Author:
Publisher: Aspen Law & Business Publishers
Published: 2002
Total Pages: 254
ISBN-13:
DOWNLOAD EBOOKThe Budget of the United States Government
Author: United States
Publisher:
Published: 2005
Total Pages: 1278
ISBN-13:
DOWNLOAD EBOOKInvestor and Industry Perspectives on Investment Advisers and Broker-Dealers
Author: Angela A. Hung
Publisher: Rand Corporation
Published: 2008-03-12
Total Pages: 151
ISBN-13: 0833045016
DOWNLOAD EBOOKIn 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.
A Review of the GAO Report on the Sale of Financial Products to Military Personnel
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
Published: 2007
Total Pages: 96
ISBN-13:
DOWNLOAD EBOOKBudget of the United States Government
Author: United States. Office of Management and Budget
Publisher:
Published: 2003
Total Pages: 1192
ISBN-13:
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Author:
Publisher: Government Printing Office
Published:
Total Pages: 1194
ISBN-13:
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