Brokers -- Legal status, laws, etc. -- United States
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The concept Brokers -- Legal status, laws, etc. -- United States represents the subject, aboutness, idea or notion of resources found in Biddle Law Library - University of Pennsylvania Law School.
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Brokers -- Legal status, laws, etc. -- United States
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The concept Brokers -- Legal status, laws, etc. -- United States represents the subject, aboutness, idea or notion of resources found in Biddle Law Library - University of Pennsylvania Law School.
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- Brokers -- Legal status, laws, etc. -- United States
13 Items that share the Concept Brokers -- Legal status, laws, etc. -- United States
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- Soft dollars and other trading activities
- A treatise on the law of stock brokers
- Broker-dealer & investment adviser
- Broker-dealer exposure in a changing regulatory climate
- Broker-dealer institute, 1986 : new products, 24-hour trading, financial structures, market information
- Brokers' loans : hearings before the Committee on Banking and Currency, United States Senate, Seventieth Congress, first session, on S. Res. 113, a resolution favoring a restriction on loans by Federal Reserve banks for speculative purposes, February 9, 29, and March 7, 1928
- Investment adviser regulation in a nutshell
- Investment adviser regulation in a nutshell
- Investor protection : hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, first and second sessions on H.R. 6789, H.R. 6793, S. 1642, bills to amend the Securities Act of 1933, as amended, and the Securities Exchange Act of 1934, as amended, to extend disclosure requirements to the issuers of additional publicly traded securities, to provide for improved qualification and disciplinary procedures for registered brokers and dealers, and for other purposes, Part 2, December 8, 4 And 5, 1968; January 21, 22, 28; February 4, 5, 18 and 19, 1964
- Money managers, mutual funds, and their service providers : dealing with regulatory developments
- Real estate brokerage law & practice
- Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994
- Soft dollars and other brokerage arrangements
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