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Showing 1 - 14 results of 14 for search '"Financial services industry Law and legislation"', query time: 0.06s Refine Results
  1. 1
    The regulation of financial planning in Australia : current practice, issues and empirical analysis /

    The regulation of financial planning in Australia : current practice, issues and empirical analysis / by McInnes, Angelique Nadia Sweetman, 1967-

    Published 2020
    Subjects: “…Financial services industry Law and legislation Australia.…”
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  2. 2
    Capital Markets Law and Compliance : the Implications of MiFID /

    Capital Markets Law and Compliance : the Implications of MiFID / by Nelson, Paul

    Published 2008
    Subjects: “…Financial services industry Law and legislation Great Britain.…”
    Full Text (via Cambridge)
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  3. 3
    Capital markets law and compliance : the implications of MiFID /

    Capital markets law and compliance : the implications of MiFID / by Nelson, Paul

    Published 2008
    Subjects: “…Financial services industry Law and legislation Great Britain. http://id.…”
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  4. 4
    Retail depositor and retail investor protection under EU law : in the event of financial institution failure /

    Retail depositor and retail investor protection under EU law : in the event of financial institution failure / by Tokatlides, Constantinos

    Published 2016
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  5. 5
    Military Personnel Financial Services Protection Act : report (to accompany S. 418)

    Military Personnel Financial Services Protection Act : report (to accompany S. 418)

    Published 2006
    Subjects: “…Financial services industry Law and legislation United States. http://id.…”
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  6. 6
    DOL's 2015 proposed fiduciary rule on investment advice /

    DOL's 2015 proposed fiduciary rule on investment advice / by Topoleski, John J.

    Published 2018
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  7. 7
    Retail depositor and retail investor protection under EU law : in the event of financial institution failure /

    Retail depositor and retail investor protection under EU law : in the event of financial institution failure / by Tokatlides, Constantinos

    Published 2017
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  8. 8
    Rules and regulators /

    Rules and regulators / by Black, Julia

    Published 1997
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  9. 9
    An Act to Protect Members of the Armed Forces from Unscrupulous Practices Regarding Sales of Insurance, Financial, and Investment Products.

    An Act to Protect Members of the Armed Forces from Unscrupulous Practices Regarding Sales of Insurance, Financial, and Investment Products.

    Published 2006
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  10. 10
    DOL's 2016 fiduciary rule on investment advice /

    DOL's 2016 fiduciary rule on investment advice / by Topoleski, John J.

    Published 2018
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  11. 11
    FINRA rules

    FINRA rules

    Published 2012
    Subjects:
    Law Students, Faculty, and Staff (via Lexis+)
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  12. 12
    The consolidated FINRA rulebook the conduct of rules.

    The consolidated FINRA rulebook the conduct of rules.

    Published 2009
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    Law Students, Faculty, and Staff (via Lexis+)
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  13. 13
    Employee ownership of registration-exempt company securities : proposals to reform required corporate disclosures (section 507 of S. 2155, S. 488, H.R. 1343, and section 406 of H.R. 10) /

    Employee ownership of registration-exempt company securities : proposals to reform required corporate disclosures (section 507 of S. 2155, S. 488, H.R. 1343, and section 406 of H.R... by Shorter, Gary W.

    Published 2018
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  14. 14
    Regulation of investment management & fiduciary services

    Regulation of investment management & fiduciary services

    Published 2010
    Subjects:
    Law Students, Faculty, and Staff (via Westlaw)
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