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Author :
Publisher :
ISBN 13 :
Total Pages : 476 pages
Book Rating : 4.:/5 ( download)
Download or read book Broker-dealer Directory written by and published by . This book was released on 1984 with total page 476 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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ISBN 13 :
Total Pages : 1208 pages
Book Rating : 4.:/5 (31 download)
Download or read book Federal Information Sources and Systems written by and published by . This book was released on 1980 with total page 1208 pages. Available in PDF, EPUB and Kindle. Book excerpt: Includes subject, agency, and budget indexes.
Author : Angela A. Hung
Publisher : Rand Corporation
ISBN 13 : 0833045016
Total Pages : 151 pages
Book Rating : 4.8/5 (33 download)
Download or read book Investor and Industry Perspectives on Investment Advisers and Broker-Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In 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.
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ISBN 13 :
Total Pages : 656 pages
Book Rating : 4.:/5 (31 download)
Download or read book Federal Information Sources & Systems written by and published by . This book was released on 1977 with total page 656 pages. Available in PDF, EPUB and Kindle. Book excerpt: Includes subject, agency, and budget indexes.
Author : Jerry W. Markham
Publisher :
ISBN 13 : 9780420611307
Total Pages : pages
Book Rating : 4.6/5 (113 download)
Download or read book Broker Dealer Operations Under Securities and Commodities Law written by Jerry W. Markham and published by . This book was released on 1998-01-12 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
Author : Center for Electronic Records (U.S.)
Publisher :
ISBN 13 :
Total Pages : 96 pages
Book Rating : 4.X/5 (4 download)
Download or read book A Partial and Preliminary List of the Datasets in the Custody of the Center for Electronic Records (NNX). written by Center for Electronic Records (U.S.) and published by . This book was released on with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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ISBN 13 :
Total Pages : 2834 pages
Book Rating : 4.3/5 (121 download)
Download or read book Monthly Catalog of United States Government Publications written by and published by . This book was released on 1975 with total page 2834 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Superintendent of Documents
Publisher :
ISBN 13 :
Total Pages : 1408 pages
Book Rating : 4.F/5 ( download)
Download or read book Monthly Catalog of United States Government Publications, Cumulative Index written by United States. Superintendent of Documents and published by . This book was released on 1976 with total page 1408 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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ISBN 13 :
Total Pages : 750 pages
Book Rating : 4.R/5 (5 download)
Download or read book The Commercial directory of Liverpool, and shipping guide [afterw.] The Commercial directory and shippers' guide [afterw.] Fulton's commercial directory and shippers' guide written by and published by . This book was released on 1875 with total page 750 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. Senate. Committee on Government Operations. Subcommittee on Budgeting, Management, and Expenditures
Publisher :
ISBN 13 :
Total Pages : 558 pages
Book Rating : 4.3/5 (91 download)
Download or read book Corporate Disclosure written by United States. Congress. Senate. Committee on Government Operations. Subcommittee on Budgeting, Management, and Expenditures and published by . This book was released on 1974 with total page 558 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book First National Bank of Covington V. National Quotation Bureau, Inc written by and published by . This book was released on 1975 with total page 36 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 762 pages
Book Rating : 4.:/5 (31 download)
Download or read book SEC News Digest written by United States. Securities and Exchange Commission and published by . This book was released on 1974 with total page 762 pages. Available in PDF, EPUB and Kindle. Book excerpt: Lists documents available from Public Reference Section, Securities and Exchange Commission.
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher :
ISBN 13 :
Total Pages : 440 pages
Book Rating : 4.0/5 (9 download)
Download or read book Trading in Municipal Securities written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1974 with total page 440 pages. Available in PDF, EPUB and Kindle. Book excerpt: A horse in nineteenth-century England recounts his experiences with both good and bad masters.
Author : United States. Congress. House. Committee on Government Operations. Foreign Operations and Government Information Subcommittee
Publisher :
ISBN 13 :
Total Pages : 378 pages
Book Rating : 4.0/5 ( download)
Download or read book Sale Or Distribution of Mailing Lists by Federal Agencies written by United States. Congress. House. Committee on Government Operations. Foreign Operations and Government Information Subcommittee and published by . This book was released on 1972 with total page 378 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 1112 pages
Book Rating : 4.3/5 ( download)
Download or read book Annual Report of the Securities and Exchange Commission written by United States. Securities and Exchange Commission and published by . This book was released on 1970 with total page 1112 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Cngress. Senate. Banking, Housing and Urban Affairs Committee
Publisher :
ISBN 13 :
Total Pages : 550 pages
Book Rating : 4.F/5 ( download)
Download or read book 10:Trading in Municipal Securities, Hearings Before the Subcommittee on Securities of ..., 93-2 on S.1933 ...s.2474 ...,May 6, 7, and 8,1974260 written by United States. Cngress. Senate. Banking, Housing and Urban Affairs Committee and published by . This book was released on 1974 with total page 550 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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Author : Kelly's directories, ltd
Publisher :
ISBN 13 :
Total Pages : 264 pages
Book Rating : 4.R/5 (5 download)
Download or read book Post office directory of Sheffield with the neighbouring towns and villages [afterw.] Kelly's directory of Sheffield & Rotherham and neighbourhood written by Kelly's directories, ltd and published by . This book was released on 1854 with total page 264 pages. Available in PDF, EPUB and Kindle. Book excerpt:
