Broker-dealer Litigation ... Annual Survey PDF Download
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Author:
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 426
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Book Description
Author:
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 426
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Book Description
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 520
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 342
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Book Description
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 900
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Book Description
Author: William Savitt
Publisher:
ISBN: 9781910813645
Category :
Languages : en
Pages : 310
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Book Description
Author:
Publisher:
ISBN:
Category : Law
Languages : en
Pages : 184
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Book Description
Author: Angela A. Hung
Publisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151
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Book Description
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.
Author:
Publisher:
ISBN:
Category : Class actions (Civil procedure)
Languages : en
Pages : 820
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 754
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Book Description
Author: Marc I. Steinberg
Publisher: Law Journal Press
ISBN: 9781588520210
Category : Business & Economics
Languages : en
Pages : 1220
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Book Description
This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
