Coping with Broker-dealer Regulation & Enforcement PDF Download
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Author: Robert M. Romano
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 342
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Book Description
Author: Robert M. Romano
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 342
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Book Description
Author:
Publisher:
ISBN: 9780872243149
Category : Securities
Languages : en
Pages : 224
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 312
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Book Description
Author:
Publisher:
ISBN:
Category : Stockbrokers
Languages : en
Pages : 922
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 332
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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: Practising Law Institute
ISBN: 9781402404986
Category : Disclosure of information
Languages : en
Pages :
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Book Description
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Money laundering
Languages : en
Pages : 92
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Book Description
Author:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
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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.
