Stockbrokers -- Legal status, laws, etc. -- United States
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Stockbrokers -- Legal status, laws, etc. -- United States
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- 12th annual National Institute on Securities Fraud
- A legislative proposal to amend the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, November 21, 2013
- A treatise on the law of stock brokers
- A treatise on the law of stock-brokers and stock-exchanges
- A treatise on the law of stock-brokers and stock-exchanges
- Abuse on Wall Street : conflicts of interest in the securities markets : report to the Twentieth Century Fund Steering Committee on Conflicts of Interest in the Securities Markets
- Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009
- Address delivered by Mr. Seymour L. Cromwell, President of the New York Stock Exchange, before the members of the exchange and their partners in the governing committee room of the exchange, on Friday, April 7, 1922
- Amending the Securities Exchange Act of 1934 to permit members of national securities exchanges to effect certain transactions with respect to accounts for which such members exercise investment discretion : report (to accompany H.R. 616) (including cost estimate of the Congressional Budget Office)
- Analysis of key SEC no-action letters
- Analysis of key SEC no-action letters index
- Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
- Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
- Bankruptcy amendments (technical, clarifying and substantive amendments affecting commodities and securities brokers) : P.L. 97-222, 96 Stat. 235, July 27, 1982
- 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
- Broker-dealer & investment adviser
- Broker-dealer operations under securities & commodities law
- Broker-dealer registration : demystifying the process
- Broker-dealer regulation
- Broker-dealer regulation
- Broker-dealer regulation
- Broker-dealer regulation in a nutshell
- Broker-dealer regulation in a nutshell
- Broker-dealer regulation in a nutshell
- Broker-dealer regulation index
- Compilation of releases dealing with matters arising under the Securities Exchange Act of 1934 and Investment Advisers Act of 1940
- Compilation of releases dealing with matters arising under the Securities exchange act of 1934 and Investment advisers act of 1940
- Compilation of releases dealing with matters frequently arising under the Securities Act of 1933
- Current developments in broker-dealer regulation
- Due diligence - periodic reports & securities offerings
- 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
- FINRA arbitration rules : 2011
- FINRA organizational materials
- FINRA rules
- Fair Access to Investment Research Act of 2015 : report together with minority views (to accompany H.R. 2356) (including cost estimate of the Congressional Budget Office)
- Fair Access to Investment Research Act of 2017
- Fair Access to Investment Research Act of 2017 : report (to accompany H.R. 910) (including cost estimate of the Congressional Budget Office)
- Financing broker dealers
- Government securities market : disturbances and regulation
- H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker Accountability Through Enhanced Transparency Act of 2003 : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, first session, March 6, 2003
- Investor and industry perspectives on investment advisers and broker-dealers
- Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 23, 2013
- Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991
- Mutual funds sales practices : a practical guide to FINRA, SEC, & other regulatory requirements
- NASD guide to rule interpretations
- National Securities Markets Improvement Act of 1996 : 110 Stat. 3416, P.L. 104-290
- Promoter liability and the Securities Act of 1933
- Putting investors first? : examining the SEC's best interest rule : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, March 14, 2019
- Regulation and supervision of the government securities market : hearing before the Subcommittee on Domestic Monetary Policy of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, Ninety-ninth Congress, first session on H.R. 2521, a bill to authorize the Board of Governors of the Federal Reserve System to regulate the market for government securities : H.R. 1896, a bill to authorize the Board of Governors of the Federal Reserve System to regulate the activities of government securities dealers, July 9, 1985
- Regulation of Over-the-Counter Markets : hearings before the United States House Committee on Interstate and Foreign Commerce, Seventy-Fifth Congress, third session, on Apr. 11, 1938
- Regulation of investment management and fiduciary services
- Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)
- Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office)
- SEC Legislation, 1963 : hearings before the United States Senate Committee on Banking and Currency, Subcommittee on Securities, Eighty-Eighth Congress, first session, on June 18-21, 24, 25, 1963
- SEC/NASD compliance : designing and implementing an effective compliance program for mutual funds, investment advisers, and broker-dealers
- Securities Markets Agencies : hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Commerce and Finance, Ninety-First Congress, first session, on Feb. 25-27, Mar. 4, 7, 1969
- Securities and Exchange Commission : reporting requirements for brokers or dealers under the Securities Exchange Act of 1934
- Securities arbitration desk reference
- Securities primary law sourcebook
- The Securities Investor Protection Corporation : past, present, and future : 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, second session, March 7, 2012
- The consolidated FINRA rulebook : the conduct of rules
- Workshop on compliance problems of the brokerage industry
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