Author: Jerry W. Markham
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages :
Book Description
Broker Dealer Operations Under Securities and Commodities Law
Author: Jerry W. Markham
Publisher: West Group Publishing
ISBN: 9780876323922
Category : Law
Languages : en
Pages :
Book Description
Publisher: West Group Publishing
ISBN: 9780876323922
Category : Law
Languages : en
Pages :
Book Description
Broker Dealer Operations Under Securities and Commodities Law
Author: Jerry W. Markham
Publisher:
ISBN: 9780420611307
Category :
Languages : en
Pages :
Book Description
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.
Publisher:
ISBN: 9780420611307
Category :
Languages : en
Pages :
Book Description
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.
Broker-dealer Operations and Regulation Under Securities and Commodities Laws
Author: Jerry W. Markham
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages :
Book Description
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages :
Book Description
Broker Dealer Operations Under Securities and Commodities Law
Author: Jerry W. Markham
Publisher:
ISBN: 9780876323922
Category : Stockbrokers
Languages : en
Pages :
Book Description
Publisher:
ISBN: 9780876323922
Category : Stockbrokers
Languages : en
Pages :
Book Description
Broker-dealer Operations Under Securities and Commodities Law
Author: Jerry W. Markham
Publisher:
ISBN: 9780876323922
Category : Stockbrokers
Languages : en
Pages :
Book Description
Publisher:
ISBN: 9780876323922
Category : Stockbrokers
Languages : en
Pages :
Book Description
Broker-dealer Operations Under Securities and Commodities Law
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages :
Book Description
Publisher:
ISBN:
Category :
Languages : en
Pages :
Book Description
Broker-dealer Operations Under Securities and Commodities Law
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages :
Book Description
Publisher:
ISBN:
Category :
Languages : en
Pages :
Book Description
Broker-Dealer Law and Regulation, 5th Edition
Author: Poser, Fanto, Gross
Publisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920
Book Description
Publisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920
Book Description
Broker-dealer Law and Regulation
Author: Norman S. Poser
Publisher: Aspen Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 536
Book Description
Publisher: Aspen Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 536
Book Description
Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description