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  1. 1
    Rules Committee Print 113-23: H.R. 2374, Retail Investor Protection Act.

    Rules Committee Print 113-23: H.R. 2374, Retail Investor Protection Act.

    Published 2013
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
    Full Text (via ProQuest): CIS 2013 H682-27
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  2. 2
    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.…”
    Full Text (via West Academic)
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  3. 3
    A treatise on the law of stock brokers

    A treatise on the law of stock brokers by Biddle, Arthur, 1852-1897, Biddle, George, 1843-1886

    Published 1882
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  4. 4
    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.…”
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  5. 5
    Providing for Consideration of the Bill (H.R. 477) To Amend the Securities Exchange Act of 1934 To Exempt from Registration Brokers Performing Services in Connection with the Transfer of Ownership of Smaller Privately Held Companies; : Providing for Consideration of the Bill (H.R. 3971) To Amend the Truth in Lending Act and the Real Estate Settlement Procedures Act of 1974 To Modify the Requirements for Community Financial Institutions with Respect to Certain Rules Relating to Mortgage Loans, and for Other Purposes; and Providing for Consideration of the Joint Resolution (H.J. Res. 123) Making Further Continuing Appropriations for Fiscal Year 2018.

    Providing for Consideration of the Bill (H.R. 477) To Amend the Securities Exchange Act of 1934 To Exempt from Registration Brokers Performing Services in Connection with the Trans...

    Published 2017
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
    Full Text (via ProQuest): H.rp.115-443
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  6. 6
    Broker-Dealer License Fees hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Commerce and Finance, Eighty-Sixth Congress, second session, on June 6, 1960.

    Broker-Dealer License Fees hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Commerce and Finance, Eighty-Sixth Congress, second...

    Published 1960
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  7. 7
    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.…”
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  8. 8
    March 9, 2017, Full Committee Markup.

    March 9, 2017, Full Committee Markup.

    Published 2017
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  9. 9
    SEC Legislation, 1963 hearings before the United States Senate Committee on Banking and Currency, Subcommittee on Securities, Eighty-Eighth Congress, first session, on June 18-21, 24, 25, 1963.

    SEC Legislation, 1963 hearings before the United States Senate Committee on Banking and Currency, Subcommittee on Securities, Eighty-Eighth Congress, first session, on June 18-21,...

    Published 1963
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  10. 10
    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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  11. 11
    Securities arbitration 1995 /

    Securities arbitration 1995 /

    Published 1995
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  12. 12
    Analysis of key SEC no-action letters and compliance and disclosure interpretations

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

    Published 2011
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  13. 13
    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.…”
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  14. 14
    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 1905
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  15. 15
    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 Subc...

    Published 2003
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  16. 16
    Securities Markets Agencies hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Commerce and Finance, Ninety-First Congress, first session, on Feb. 25-27, Mar. 4, 7, 1969.

    Securities Markets Agencies hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Commerce and Finance, Ninety-First Congress, first...

    Published 1969
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  17. 17
    Rules Committee Print 114-31 Text of H.R. 1090, Retail Investor Protection Act.

    Rules Committee Print 114-31 Text of H.R. 1090, Retail Investor Protection Act.

    Published 2015
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
    Online Access: CIS 2015 H682-32
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  18. 18
    Investor and industry perspectives on investment advisers and broker-dealers

    Investor and industry perspectives on investment advisers and broker-dealers

    Published 2008
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
    Online Access (A-Z Journals and Newspapers)
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  19. 19
    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 Seco...

    Published 1991
    Subjects: “…Stockbrokers Legal status, laws, etc. United States.…”
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  20. 20
    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 1905
    Subjects: “…Stockbrokers Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008111446…”
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