Coping with Broker-dealer Regulation & Increasing Enforcement PDF Download
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Author:
Publisher:
ISBN:
Category : Stockbrokers
Languages : en
Pages : 922
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Author:
Publisher:
ISBN:
Category : Stockbrokers
Languages : en
Pages : 922
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Author:
Publisher: Practising Law Institute
ISBN: 9781402404986
Category : Disclosure of information
Languages : en
Pages :
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Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 332
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Author:
Publisher:
ISBN: 9780872243149
Category : Securities
Languages : en
Pages : 224
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Author:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
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Author: United States
Publisher:
ISBN:
Category : Budget
Languages : en
Pages : 1278
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Author:
Publisher:
ISBN:
Category : Stockbrokers
Languages : en
Pages :
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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: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Consumer protection
Languages : en
Pages : 96
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Author: United States. Office of Management and Budget
Publisher:
ISBN:
Category : Budget
Languages : en
Pages : 1192
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