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Showing 1 - 5 results of 5 for search '"Stockbrokers Legal status, laws, etc. United States."', query time: 0.05s Refine Results
  1. 1
    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: “…Stockbrokers Legal status, laws, etc. United States.…”
    Government Document Microfilm Book
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  2. 2
    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 State...

    Published 1988
    Subjects: “…Stockbrokers Legal status, laws, etc. United States Criminal provisions.…”
    Government Document Microfilm Book
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  3. 3
    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: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446.…”
    Government Document Microfilm Book
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  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 on...

    Published 2010
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446.…”
    PDF version
    Government Document Microfilm Book
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  5. 5
    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 2013
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446.…”
    Government Document Microfilm Book
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