Securities industry -- United States
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Securities industry -- United States
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The concept Securities industry -- 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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- Securities industry -- United States
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- 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
- Amending Investment Company Act of 1940 : report (to accompany S. 2216)
- America's insurance industry : keeping the promise : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, September 26, 2001
- Arbitration reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundredth Congress, second session, including H.R. 4960 ... March 31, June 9, and July 12, 1988
- Auction rate securities market : a review of problems and potential solutions : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Tenth Congress, second session, September 18, 2008
- Banking and securities regulation and agency enforcement authorities
- Brokers and Dealers Fees Under Securities and Exchange Commission : hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Securities and Exchange Commission, Eighty-Second Congress, second session, on Apr. 30, May 1, 1952
- Capital ideas : the improbable origins of modern Wall Street
- Certain Regulated Investment Companies : report (to accompany H.R. 6742)
- Competition and transparency in the financial marketplace of the future : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the impact of globalization, innovation, and technology on competition in the U.S. securities markets, April 26, 2000
- Competition and transparency in the financial marketplace of the future : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the impact of globalization, innovation, and technology on competition in the U.S. securities markets, April 26, 2000
- Condition of the securities industry : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred First Congress, second session, to examine the strengths and weaknesses of the securities industry ... March 6, 1990
- Current state and future of the financial services markets : hearings before the Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises of the Committee on Banking and Financial Services, House of Representatives, One Hundred Fourth Congress, first session, March 2, 16, 1995
- Day trading : an overview : hearing before the Permanent Subcommittee on Investigations of the Committee on Governmental Affairs, United States Senate, One Hundred Sixth Congress, first session, September 16, 1999
- Day trading : case studies and conclusions : report
- Day trading : everyone gambles but the house : hearings before the Permanent Subcommittee on Investigations of the Committee on Governmental Affairs, United States Senate, One Hundred Sixth Congress, second session, February 24 and 25, 2000
- Deregulating Wall Street : commercial bank penetration of the corporate securities market
- Diverse asset managers : challenges, solutions, and opportunities for inclusion : hearing before the Subcommittee on Diversity and Inclusion of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, June 25, 2019
- Electronic bulls and bears : U.S. securities markets and information technology
- Federal securities code
- Financial services regulators : better information sharing could reduce fraud : statement of Richard J. Hillman, Director, Financial Markets and Community Investment, before the Subcommittee on Oversight and Investigations and the Subcommittee on Financial Institutions and Consumer Credit, Committee on Financial Services, House of Representatives
- From Wall Street to Web street : a report on the problems and promise of the online brokerage industry
- Impact of the stock market drop and related economic developments : hearing before the Subcommittee on Financial Institutions Supervision, Regulation, and Insurance of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, One-Hundredth Congress, second session, February 3, 1988
- Improved National Securities Transfer System : report (to accompany S. 3876)
- Increasing the Securities Act Exemption from Registration for Small Businesses : report (to accompany S. 336)
- Influenza pandemic : key securities market participants are making progress, but agencies could do more to address potential internet congestion and encourage readiness : report to congressional requesters
- Investment Company Amendments Act of 1970 : conference report (to accompany S. 2224)
- Investment Company Amendments Act of 1970 : report (to accompany H.R. 17333)
- Investor Protection in Corporate Takeovers : report (to accompany S. 3431)
- Market structure : ensuring orderly, efficient, innovative, and competitive markets for issuers and investors : 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, June 20, 2012
- Merger activity and leveraged buyouts : sound corporate restructuring or Wall Street alchemy : a report
- Merger activity and leveraged buyouts : sound corporate restructuring or Wall Street alchemy?
- Mergers and consolidation between banking and financial services firms : trends and prospects
- Mergers and consolidation between banking and financial services firms : trends and prospects
- Mutual fund industry : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first [and second] sessions
- National Securities Market System Act of 1974 : report (to accompany S. 2519)
- National market system : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, April 14, May 13, 26, June 29, and July 13, 1993
- Organized crime on Wall Street : hearing before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, second session, September 13, 2000
- Organized crime on Wall Street : hearing before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, second session, September 13, 2000
- Problems in the Securities Industry : hearings before the United States Senate Committee on Banking and Currency, Subcommittee on Securities, Ninety-First Congress, first session, on Mar. 6, 1969
- Problems in the securities industry. : Hearing, Ninety-first Congress, first session, to ascertain the views of Hamer H. Budge, Chairman of the Securities and Exchange Commission, on problems in the securities industry. March 6, 1969
- Regulation SHO : recent actions appear to have initially reduced failures to deliver, but more industry guidance is needed : report to congressional requesters
- Report on Institutional Investors Study : report (to accompany H.J. Res. 1247)
- SEC reauthorization : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, May 19, 1993
- Safety and soundness issues related to bank derivatives activities : hearing before the Committee on Banking, Finance, and Urban Affairs, House of Representatives, One Hundred Third Congress, first session
- Securities Activities of Commercial Banks
- Securities Fraud Deterrence and Investor Restitution Act of 2004 : report together with dissenting views (to accompany H.R. 2179) (including cost estimate of the Congressional Budget Office)
- Securities Industry Study : report
- Securities Investor Protection Act of 1970 : conference report (to accompany H.R. 19333)
- Securities Investor Protection Act of 1970 : report (to accompany H.R. 19333)
- Securities Markets Investigation : hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Commerce and Finance, Eighty-Seventh Congress, first session, on June 27-29, July 10, 1961
- Securities and Exchange Commission : additional actions needed to ensure planned improvements address limitations in Enforcement Division operations : report to the Ranking Member, Committee on Finance, U.S. Senate
- Securities arbitration : actions needed to address problem of unpaid awards : report to congressional requesters
- Securities industry study : hearing[s], Ninety-second Congress, first-[second] session
- Securities industry study : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, containing a report of the Subcommittee on Securities, together with individual views (for the period ended February 4, 1972, pursuant to S. Res. 109)
- Securities industry study ; : report
- Securities industry study ; : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, containing a report of the Subcommittee on Securities, together with individual views (for the period ended February 4, 1972, pursuant to S. Res. 109)
- Securities industry study. : Hearing[s], Ninety-second Congress, first-[second] session
- Securities laws enforcement : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, first session, on H.R. 975 ... July 19, 1989
- Securities operations : day trading requires continued oversight : report to congressional requesters
- Securities operations : update on actions taken to address day trading concerns
- Securities operations : update on actions taken to address day trading concerns : report to Congressional requesters
- Securities regulation
- Securities trading--SEC action needed to address national market system issues : report to Congressional committees
- Small Business Incentive Act of 1993 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate to accompany S. 479
- Small business incentives : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, including S. 479, the Small Business Incentive Act of 1993, June 14 and July 26, 1992
- Soft dollars and other brokerage arrangements
- Soft dollars and other trading activities
- Study of the securities industry : appendix to hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representativs, Ninety-second Congress, first session : October 18, 19, 20, 26, 27; November 16, 17, 1971, pt. 4
- Study of the securities industry : appendix to hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representativs, Ninety-second Congress, first session : October 18, 19, 20, 26, 27; November 16, 17, 1971, pt. 5
- Study of the securities industry : appendix to hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representativs, Ninety-second Congress, second session : April 14, 17, 25, 26; May 11, 12, 1972, pt. 9
- Study of the securities industry : hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, ninety-second Congress, first-[second] session
- Study of the securities industry : hearings, Ninety-second Congress, first [and second] session[s]
- Subcommittee investigative procedures : hearings before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, first session, March 13 and 21, 1989
- The Market Reform Act of 1990 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 648, together with additional views
- The SEC proposal on market structure : how will investors fare? : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Entereprises [sic] of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, second session, May 18, 2004
- The SEC's market structure proposal : will it enhance competition? : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Entereprises [sic] of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, February 15, 2005
- The Small Business Incentive Act of 1992 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session ... March 26, 1992
- The U.S. Market Security Act of 1997 S. 1315 : hearing before the Subcommittee on Financial Institutions and Regulatory Relief of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, first session on S. 1315 ... November 5, 1997
- The financial condition of the securities industry : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, first session ... January 8, 1991
- The future of the securities markets : hearing before the Subcommittee on Securities and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, first session, on the structure of the U.S. equities markets, with particular regard to their fairness and efficiency, October 15, 2003
- The go-go years
- The money side of "The Street"
- The securities and financial markets : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Third Congress, first session, on the major issues facing Congress and the administration in the securities and broader financial markets relating to capital formation, job creation, and trends in trading and technology, May 20, 1993
- The securities industry : economic implications for the future : hearings before the Subcommittee on Telecommunications, Consumer Protection and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-seventh Congress, first session, June 17 and 18, 1981
- The state of securitization markets : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session ... May 18, 2011
- The year 2000 computer problem in banking and securities markets
- Trading places : markets for investors : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session ... March 22, 2000
- Trading places : markets for investors : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the structure of the U.S. securities market and the impact of globalization, competition, innovation, and technology on the U.S. securities markets, March 22, 2000
- Turmoil in the U.S. credit markets : examining the regulation of investment banks by the U.S. Securities and Exchange Commission : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session ... Wednesday, May 7, 2008
- Turmoil in the U.S. credit markets : examining the regulation of investment banks by the U.S. Securities and Exchange Commission : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session, on steps taken by the agency then and now to encourage the investment banks that it regulates to better manage their risks and how the SEC can be strengthened to meet its mission as the advocate for investors while overseeing securities markets and financial stability of Wall Street firms, Wednesday, May 7, 2008
- Using "firewalls" in a post Glass-Steagall banking environment
- Wall street and Washington
- When the levees break : re-visioning regulation of the securities markets
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