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  1. 1
    Broker-dealer regulation in a nutshell /

    Broker-dealer regulation in a nutshell / by Hazen, Thomas Lee, 1947-

    Published 2003
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  2. 2
    Broker-dealer law and regulation /

    Broker-dealer law and regulation / by Poser, Norman S., 1928-

    Published 2007
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  3. 3
    Broker-dealer regulation /

    Broker-dealer regulation / by Lipton, David A., 1945-

    Published 1988
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  4. 4
    Broker-dealer law and regulation /

    Broker-dealer law and regulation / by Poser, Norman S., 1928-

    Published 2000
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  5. 5
    Broker-dealer law and regulation /

    Broker-dealer law and regulation / by Poser, Norman S., 1928-, Gross, Jill I., Fanto, James A., 1951-

    Published 2019
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  6. 6
    Broker-dealer law and regulation /

    Broker-dealer law and regulation / by Poser, Norman S., 1928-

    Published 1997
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  7. 7
    Broker-dealer law and regulation : private rights of action /

    Broker-dealer law and regulation : private rights of action / by Poser, Norman S., 1928-

    Published 1995
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  8. 8
    Broker-dealer regulation : ALI-ABA course of study materials /

    Broker-dealer regulation : ALI-ABA course of study materials /

    Published 1985
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  9. 9
    Broker-dealer regulation in a nutshell /

    Broker-dealer regulation in a nutshell / by Hazen, Thomas Lee, 1947-

    Published 2017
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
    Book
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  10. 10
    International securities regulation : London's "big bang" and the European securities markets /

    International securities regulation : London's "big bang" and the European securities markets / by Poser, Norman S., 1928-

    Published 1991
    Subjects:
    Book
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  11. 11
    Hazen & Ratner, broker dealer regulation : cases and materials /

    Hazen & Ratner, broker dealer regulation : cases and materials / by Hazen, Thomas Lee, 1947-

    Published 2003
    Subjects: “…Stockbrokers Legal status, laws, etc. United States Cases.…”
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  12. 12
    Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)

    Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)

    Published 2015
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
    Government Document Book
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  13. 13
    Broker-dealer regulation in a nutshell /

    Broker-dealer regulation in a nutshell / by Hazen, Thomas Lee, 1947-

    Published 2021
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.…”
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  14. 14
    FINRA manual : official publication of the Financial Industry Regulatory Authority.

    FINRA manual : official publication of the Financial Industry Regulatory Authority.

    Published 2009
    Subjects:
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  15. 15
    Merger and Acquisition Brokers : Overview and Proposals for Relief, CRS In Focus.

    Merger and Acquisition Brokers : Overview and Proposals for Relief, CRS In Focus.

    Published 2018
    Subjects:
    Full Text (via ProQuest)
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  16. 16
    Fair Access to Investment Research Act of 2017 : report (to accompany H.R. 910) (including cost estimate of the Congressional Budget Office)

    Fair Access to Investment Research Act of 2017 : report (to accompany H.R. 910) (including cost estimate of the Congressional Budget Office)

    Published 2017
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
    Government Document Book
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  17. 17
    A guide to federal regulation of derivatives /

    A guide to federal regulation of derivatives / by Hamilton, James, 1938-

    Published 1998
    Subjects:
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  18. 18
    Broker-dealer regulation in a nutshell /

    Broker-dealer regulation in a nutshell / by Hazen, Thomas Lee, 1947-

    Published 2011
    Subjects: “…Stockbrokers Legal status, laws, etc. United States Cases.…”
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  19. 19
    Securities and Exchange Commission reporting requirements for brokers or dealers under the Securities Exchange Act of 1934 /

    Securities and Exchange Commission reporting requirements for brokers or dealers under the Securities Exchange Act of 1934 /

    Published 1997
    Subjects:
    Government Document Microfilm Book
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  20. 20
    Securities arbitration 1995 /

    Securities arbitration 1995 /

    Published 1995
    Subjects:
    Book
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