Broker-dealer Litigation ... Annual Survey PDF Download
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Author:
Publisher:
ISBN:
Category : Stockbrokers
Languages : en
Pages : 426
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Book Description
Author:
Publisher:
ISBN:
Category : Stockbrokers
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. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 950
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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: 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 : Law
Languages : en
Pages : 184
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Author:
Publisher:
ISBN:
Category : Class actions (Civil procedure)
Languages : en
Pages : 820
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Author: William Savitt
Publisher:
ISBN: 9781910813645
Category :
Languages : en
Pages : 310
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Author:
Publisher:
ISBN:
Category : Delegated legislation
Languages : en
Pages : 452
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Book Description
