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  1. 1
    Broker-dealer compliance a case-based guide to compliance program elements and practices /

    Broker-dealer compliance a case-based guide to compliance program elements and practices / by Fanto, James A.

    Published 2023
    Subjects: “…Stockbrokers Case studies.…”
    Full Text (via Elgar)
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  2. 2
    Rep

    Rep

    Published 2012
    Subjects: “…Stockbrokers Periodicals.…”
    Online Access (A-Z Journals and Newspapers)
    Electronic Journal
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  3. 3
    Registered rep.

    Registered rep.

    Published 2002
    Subjects: “…Stockbrokers Periodicals.…”
    Online Access (A-Z Journals and Newspapers)
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  4. 4
    The Registered representative

    The Registered representative

    Subjects: “…Stockbrokers Periodicals.…”
    Online Access (A-Z Journals and Newspapers)
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  5. 5
    The Joint regulatory sales practice sweep report a review of the sales practice acitivities of selected registered representatives and the hiring, retention, and supervisory practices of the brokerage firms employing them.

    The Joint regulatory sales practice sweep report a review of the sales practice acitivities of selected registered representatives and the hiring, retention, and supervisory practi...

    Published 1996
    Subjects: “…Stockbrokers United States Evaluation.…”
    Online Access
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  6. 6
    Traders magazine

    Traders magazine

    Published 1987
    Subjects: “…Stockbrokers United States Periodicals.…”
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  7. 7
    November 21, 2013, Subcommittee on Capital Markets and Government Sponsored Enterprises Hearing on "A Legislative Proposal To Amend the Securities Investor Protection Act"

    November 21, 2013, Subcommittee on Capital Markets and Government Sponsored Enterprises Hearing on "A Legislative Proposal To Amend the Securities Investor Protection Act"

    Published 2013
    Subjects: “…Stockbrokers.…”
    Full Text (via ProQuest): CIS 2013 H372-57
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  8. 8
    Traders at work : how the world's most successful traders make their living in the markets /

    Traders at work : how the world's most successful traders make their living in the markets / by Bourquin, Tim

    Published 2013
    Subjects: “…Stockbrokers Interviews.…”
    Full Text (via O'Reilly/Safari)
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  9. 9
    [Pardon of Oscar Robinson for conspiracy to set up a bucket shop]

    [Pardon of Oscar Robinson for conspiracy to set up a bucket shop]

    Published 1916
    Subjects: Full Text (via ProQuest)
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  10. 10
    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Published 2008
    Subjects:
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  11. 11
    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Published 2008
    Subjects:
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  12. 12
    Stock Exchange Specialists A Review of Their Role In Equities Trading.

    Stock Exchange Specialists A Review of Their Role In Equities Trading.

    Published 1989
    Subjects:
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  13. 13
    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Published 2008
    Subjects: “…Stockbrokers.…”
    Full Text (via ProQuest)
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  14. 14
    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Published 2008
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  15. 15
    Supplementary Report of the Securities and Exchange Commission on S. 2054 (84th Congress)

    Supplementary Report of the Securities and Exchange Commission on S. 2054 (84th Congress)

    Published 1957
    Subjects:
    Full Text (via ProQuest)
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  16. 16
    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Published 2007
    Subjects:
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  17. 17
    Investment Advisers Act of 1940 Amendment

    Investment Advisers Act of 1940 Amendment

    Published 2015
    Subjects:
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  18. 18
    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Published 2007
    Subjects: “…Stockbrokers.…”
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  19. 19
    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Published 2007
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  20. 20
    Legal Analysis of the Government Securities Act of 1986 and Its Application to Broker/Dealers Convicted of Insider Trading Violations

    Legal Analysis of the Government Securities Act of 1986 and Its Application to Broker/Dealers Convicted of Insider Trading Violations

    Published 1987
    Subjects:
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