Brokers and Dealers Fees Under Securities and Exchange Commission PDF Download
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Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 128
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Book Description
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 128
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Book Description
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. 260:
Publisher:
ISBN:
Category :
Languages : en
Pages : 130
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Book Description
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 76
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Book Description
Considers H.R. 6294, to amend the Securities Exchange Act of 1934 to raise security exchange registration fees, and to impose annual registration fees on registered broker-dealers.
Author: United States. Congress. House. Subcommittee of the Interstate and Foreign Commerce
Publisher:
ISBN:
Category :
Languages : en
Pages : 132
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Book Description
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 216
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Author: Jerry W. Markham
Publisher:
ISBN: 9780420611307
Category :
Languages : en
Pages :
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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.
Author: Allan H. Pessin
Publisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 488
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 72
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Book Description
Author: United States. Securities and Exchange Commission. Special Study of the Options Markets
Publisher:
ISBN:
Category : Options (Finance)
Languages : en
Pages : 1126
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Book Description
