Brokers -- United States
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The concept Brokers -- 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 -- United States
Resource Information
The concept Brokers -- 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 -- United States
48 Items that share the Concept Brokers -- United States
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- The rights of margin customers against wrongdoing stockbrokers and some other problems in the modern law of pledge
- 2000 NASD rule archives
- 2001 NASD rule archives
- 2002 NASD rule archives
- 2003 NASD rule archives
- 2004 NASD rule archives
- 2005 NASD rule archives
- 2006 NASD rule archives
- 2007 NASD rule archives
- 2008 NASD rule archives
- 2009 FINRA rule archives
- 2010 FINRA rule archives
- 2011 FINRA rule archives
- 2012 FINRA rule archives
- 2013 FINRA rule archives
- 2014 FINRA rule archives
- 2015 FINRA rule archives
- 2016 FINRA rule archives
- A treatise on the law of agency : including special classes of agents, attorneys, brokers and factors, auctioneers, masters of vessels, etc., etc.
- 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
- A treatise on the law relative to principals, agents, factors, auctioneers, and brokers
- An essay on brokers and factors, or commission merchants : including a commentary on the Factors' Act
- An examination of the sufficiency of capital adequacy guidelines for government security dealers proposed by the Federal Reserve Bank of New York, New York City : hearing before the Subcommittee on Domestic Monetary Policy of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, Ninety-eighth Congress, second session, May 31, 1984
- Banks' brokerage services
- Broker dealers : new legal, business, and compliance developments, 1984
- Broker dealers, investment advisers and commercial banks : aspects of their duties in advising individual investors
- Broker-dealers : new legal, business, and compliance developments, 1983
- Broker-dealers, 1985 : regulation and litigation
- Brokerage and related commercial bank services : hearings before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, in furtherance of the study of the securities activities of commercial banks, August 4, 5, and 6; and September 1, 1976
- FDIC proposes changes to brokered deposit regulation
- FINRA organizational materials
- Fraudulent broker-dealer practices
- Investor protection : Hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, first[- second] session, 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 2934, as amended, to extend disclosure requirements to the issuers of additional publicly traded securites, to provide for improved qualification and disciplinary procedures for registered brokers and dealers, and for other purposes
- Memorandum on competition in commission rates : a summary of the antitrust laws as applied to exchange members after abolition of minimum stock exchange rates for the Securities Industry, Inc.
- Principles of the law of brokers : a monograph
- Registration and regulation of brokers and dealers
- Report on the feasibility and advisability of the complete segregation of the functions of dealer and broker : pursuant to section 11 (e) of the Securities Exchange Act of 1934 : Washington, D.C. June 20, 1936
- Report on the feasibility and advisibility of the complete segregation of the functions of dealer and broker : pursuant to section 11(e) of the Securities exchange act of 1934
- Report to the commission by the Trading & exchange division on secondary distributions of exchange stocks, Feb. 5, 1942
- Report to the commission on the problem of multiple trading on securities exchanges
- SEC legislation, 1963 : Hearings before a subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, first session, on S. 1642, a bill 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 discliplinary procedures for registered brokers and dealers, and for other purposes
- Securities Act amendments - 1970
- Securities Acts Amendments of 1964 : P.L. 88-467, 78 Stat. 565, August 20, 1964
- Securities acts amendments of 1964 : report to accompany H.R. 6793
- Securities acts amendments of 1964 : study outline
- Structured settlements : the Department of Justice's selection and use of annuity brokers : report to the Honorable James M. Inhofe, U.S. Senate
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<div class="citation" vocab="http://schema.org/"><i class="fa fa-external-link-square fa-fw"></i> Data from <span resource="http://link.law.upenn.edu/resource/Cs25If28qgw/" typeof="CategoryCode http://bibfra.me/vocab/lite/Concept"><span property="name http://bibfra.me/vocab/lite/label"><a href="http://link.law.upenn.edu/resource/Cs25If28qgw/">Brokers -- United States</a></span> - <span property="potentialAction" typeOf="OrganizeAction"><span property="agent" typeof="LibrarySystem http://library.link/vocab/LibrarySystem" resource="http://link.law.upenn.edu/"><span property="name http://bibfra.me/vocab/lite/label"><a property="url" href="http://link.law.upenn.edu/">Biddle Law Library - University of Pennsylvania Law School</a></span></span></span></span></div>
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<div class="citation" vocab="http://schema.org/"><i class="fa fa-external-link-square fa-fw"></i> Data from <span resource="http://link.law.upenn.edu/resource/Cs25If28qgw/" typeof="CategoryCode http://bibfra.me/vocab/lite/Concept"><span property="name http://bibfra.me/vocab/lite/label"><a href="http://link.law.upenn.edu/resource/Cs25If28qgw/">Brokers -- United States</a></span> - <span property="potentialAction" typeOf="OrganizeAction"><span property="agent" typeof="LibrarySystem http://library.link/vocab/LibrarySystem" resource="http://link.law.upenn.edu/"><span property="name http://bibfra.me/vocab/lite/label"><a property="url" href="http://link.law.upenn.edu/">Biddle Law Library - University of Pennsylvania Law School</a></span></span></span></span></div>
