Suggested Topics within your search.
Showing 1 - 18 results of 18 for search '"Stockbrokers Legal status, laws, etc."', query time: 0.06s Refine Results
  1. 1
    A treatise on the law of stock-brokers and stock-exchanges.

    A treatise on the law of stock-brokers and stock-exchanges. by Dos Passos, John R. (John Randolph), 1844-1917

    Published 1968
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.…”
    Book
    Save to List
    Saved in:
  2. 2
    Capital markets law and compliance : the implications of MiFID /

    Capital markets law and compliance : the implications of MiFID / by Nelson, Paul

    Published 2008
    Subjects:
    Book
    Save to List
    Saved in:
  3. 3
    Compilation of releases dealing with matters arising under the Securities exchange act of 1934 and Investment advisers act of 1940.

    Compilation of releases dealing with matters arising under the Securities exchange act of 1934 and Investment advisers act of 1940.

    Published 1968
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.…”
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
  4. 4
    Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009.

    Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee...

    Published 2010
    Subjects:
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
  5. 5
    H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker Accountability Through Enhanced Transparency Act of 2003 : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, first session, March 6, 2003.

    H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker Accountability Through Enhanced Transparency Act of 2003 : hearing before the Su...

    Published 2003
    Subjects:
    Connect to online resource
    Connect to online resource
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
  6. 6
    A legislative proposal to amend the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, November 21, 2013.

    A legislative proposal to amend the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on...

    Published 2014
    Subjects:
    Government Document Book
    Save to List
    Saved in:
  7. 7
    Broker-dealer license fees. : Hearing before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Subcommittee on Commerce and Finance, Eighty-sixth Congress, second session, on H.R. 6294, a bill to amend Section 31 of the Securities Exchange Act of 1934. June 6, 1960.

    Broker-dealer license fees. : Hearing before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Subcommittee on Commerce and Finance, Eig...

    Published 1960
    Subjects:
    Government Document Book
    Save to List
    Saved in:
  8. 8
    SEC legislation, 1963 : hearings before a subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, first session, on S. 1642, a bill to amend the Securities act of 1933, as amended, and the Securities exchange act of 1934, as amended, to extend disclosure requirements to the issuers of additional publicly traded securities, to provide for improved qualification and discliplinary procedures for registered brokers and dealers, and for other purposes.

    SEC legislation, 1963 : hearings before a subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, first session, on S. 1642, a bill to...

    Published 1963
    Subjects:
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
  9. 9
    The International Securities Enforcement Cooperation Act of 1988 : hearing before the subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundredth Congress, second session, on S. 2544 to amend the federal securities laws in order to facilitate cooperation between the United States and foreign countries in securities law enforcement, June 29, 1988.

    The International Securities Enforcement Cooperation Act of 1988 : hearing before the subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United Sta...

    Published 1988
    Subjects:
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
  10. 10
    Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011.

    Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets a...

    Published 2012
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.…”
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
  11. 11
    The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, March 7, 2012.

    The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committe...

    Published 2012
    Subjects:
    Government Document Book
    Save to List
    Saved in:
  12. 12
    Investor and industry perspectives on investment advisers and broker-dealers /

    Investor and industry perspectives on investment advisers and broker-dealers /

    Published 2008
    Subjects:
    Book
    Save to List
    Saved in:
  13. 13
    Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 23, 2013.

    Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the...

    Published 2013
    Subjects:
    Government Document Book
    Save to List
    Saved in:
  14. 14
    Amending the Securities Exchange Act of 1934 to permit members of national securities exchanges to effect certain transactions with respect to accounts for which such members exercise investment discretion : report (to accompany H.R. 616) (including cost estimate of the Congressional Budget Office)

    Amending the Securities Exchange Act of 1934 to permit members of national securities exchanges to effect certain transactions with respect to accounts for which such members exerc...

    Published 1993
    Subjects:
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
  15. 15
    Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991.

    Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Se...

    Published 1991
    Subjects:
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
  16. 16
    Putting investors first? : examining the SEC's best interest rule : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, March 14, 2019.

    Putting investors first? : examining the SEC's best interest rule : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee o...

    Published 2019
    Subjects:
    Government Document Book
    Save to List
    Saved in:
  17. 17
    Securities markets agencies : hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-first Congress, first session, on the administration of the laws pertaining to the regulation of the securities markets by the administrative agency and by the self-regulatory agencies involved. February 25-27, and March 4 and 7, 1969.

    Securities markets agencies : hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-first C...

    Published 1969
    Subjects:
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
  18. 18
    Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010.

    Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Com...

    Published 2010
    Subjects:
    Search for the full-text version of this title in HathiTrust
    Government Document Book
    Save to List
    Saved in:
Search Tools: RSS Feed – Save Search