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Download or read book Guide to Broker-dealer Registration written by and published by . This book was released on 2008 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher :
ISBN 13 :
Total Pages : 318 pages
Book Rating : 4.3/5 (243 download)
Download or read book Guide to Broker-dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and published by . This book was released on 1974 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Steven Lofchie
Publisher :
ISBN 13 : 9780970106711
Total Pages : 808 pages
Book Rating : 4.1/5 (67 download)
Download or read book A Guide to Broker-Dealer Regulation written by Steven Lofchie and published by . This book was released on 2000-10-01 with total page 808 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402407710
Total Pages : 0 pages
Book Rating : 4.4/5 (77 download)
Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Author : Margaret A. Sheehan
Publisher : CCH Incorporated
ISBN 13 : 9780808022077
Total Pages : 400 pages
Book Rating : 4.0/5 (22 download)
Download or read book Practical Guide to Broker-Dealer Regulation written by Margaret A. Sheehan and published by CCH Incorporated. This book was released on 2009-07 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Sheldon M. Jaffe
Publisher :
ISBN 13 :
Total Pages : 472 pages
Book Rating : 4.F/5 ( download)
Download or read book Broker-dealers and Securities Markets written by Sheldon M. Jaffe and published by . This book was released on 1977 with total page 472 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Norman S. Poser
Publisher :
ISBN 13 : 9780735567856
Total Pages : pages
Book Rating : 4.5/5 (678 download)
Download or read book Broker-dealer Law and Regulation written by Norman S. Poser and published by . This book was released on 2007 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Guy P. Lander
Publisher :
ISBN 13 :
Total Pages : 1602 pages
Book Rating : 4.F/5 ( download)
Download or read book U.S. Securities Law for International Financial Transactions and Capital Markets written by Guy P. Lander and published by . This book was released on 2009 with total page 1602 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher : Aspen Law & Business Publishers
ISBN 13 :
Total Pages : 254 pages
Book Rating : 4.F/5 ( download)
Download or read book U.S. Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : James A. Fanto
Publisher : Edward Elgar Publishing
ISBN 13 : 1800889577
Total Pages : 223 pages
Book Rating : 4.8/5 (8 download)
Download or read book Broker-Dealer Compliance written by James A. Fanto and published by Edward Elgar Publishing. This book was released on 2023-01-20 with total page 223 pages. Available in PDF, EPUB and Kindle. Book excerpt: Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
Author : Thomas Lee Hazen
Publisher : West Academic
ISBN 13 : 9780314189578
Total Pages : 271 pages
Book Rating : 4.1/5 (895 download)
Download or read book Broker-dealer Regulation in a Nutshell written by Thomas Lee Hazen and published by West Academic. This book was released on 2011 with total page 271 pages. Available in PDF, EPUB and Kindle. Book excerpt: This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 272 pages
Book Rating : 4.:/5 (833 download)
Download or read book Guide to Broker-dealer Compliance written by United States. Securities and Exchange Commission and published by . This book was released on 1974 with total page 272 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Broker-dealer Registration written by and published by . This book was released on 2007 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
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 : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher :
ISBN 13 :
Total Pages : 275 pages
Book Rating : 4.:/5 (796 download)
Download or read book Guide to Broker-dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and published by . This book was released on 1974* with total page 275 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : CCH Incorporated
Publisher : CCH Incorporated
ISBN 13 : 9780808012696
Total Pages : 892 pages
Book Rating : 4.0/5 (126 download)
Download or read book Lofchie's Guide to Broker Dealer Regulation written by CCH Incorporated and published by CCH Incorporated. This book was released on 2005-02-01 with total page 892 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 654 pages
Book Rating : 4.F/5 ( download)
Download or read book Fundamentals of Broker-dealer Regulation.... written by and published by . This book was released on 2010 with total page 654 pages. Available in PDF, EPUB and Kindle. Book excerpt:
