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  1. 1
    Broker-dealer operations under securities & commodities law

    Broker-dealer operations under securities & commodities law by Markham, Jerry W., Hazen, Thomas Lee, 1947-

    Published 2010
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  2. 2
    Securities arbitration desk reference

    Securities arbitration desk reference by Lipner, Seth E., Long, Joseph C., 1939-2017, Jacobson, William A. (William Allan), 1987-

    Published 2010
    Subjects: “…Stockbrokers Legal status, laws, etc. United States States.…”
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  3. 3
    Securities primary law sourcebook

    Securities primary law sourcebook

    Published 1996
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  4. 4
    Broker-dealer regulation

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

    Published 2001
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  5. 5
    Broker-dealer regulation index

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

    Published 2001
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  6. 6
    Mutual funds sales practices a practical guide to FINRA, SEC, & other regulatory requirements.

    Mutual funds sales practices a practical guide to FINRA, SEC, & other regulatory requirements. by Lemke, Thomas P., Lins, Gerald T.

    Published 2010
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  7. 7
    Broker-dealer registration demystifying the process /

    Broker-dealer registration demystifying the process / by Lerner, Linda, 1943-, Rohrer, Eden L., Daniels, Scott D.

    Published 2014
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  8. 8
    Due diligence - periodic reports & securities offerings index

    Due diligence - periodic reports & securities offerings index by Haft, Robert J., Haft, Arthur F., Hudson, Michele H.

    Published 2003
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  9. 9
    Due diligence - periodic reports & securities offerings

    Due diligence - periodic reports & securities offerings by Haft, Robert J., Haft, Arthur F., Hudson, Michele H.

    Published 2003
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  10. 10
    Analysis of key SEC no-action letters index

    Analysis of key SEC no-action letters index by Haft, Robert J., Haft, Arthur F., Hudson, Michele H.

    Published 2009
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  11. 11
    Analysis of key SEC no-action letters

    Analysis of key SEC no-action letters by Haft, Robert J., Haft, Arthur F., Hudson, Michele H.

    Published 2009
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  12. 12
    Broker-dealer & investment adviser

    Broker-dealer & investment adviser

    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  13. 13
    FINRA rules

    FINRA rules

    Published 2012
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  14. 14
    The consolidated FINRA rulebook the conduct of rules.

    The consolidated FINRA rulebook the conduct of rules.

    Published 2009
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  15. 15
    FINRA arbitration rules current.

    FINRA arbitration rules current.

    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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  16. 16
    Financial industry regulatory authority organizational materials

    Financial industry regulatory authority organizational materials

    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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