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  1. 1
    NASAA reports /

    NASAA reports /

    Published 1986
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  2. 2
    The Large Firm Project : a review of hiring, retention and supervisory practices /

    The Large Firm Project : a review of hiring, retention and supervisory practices /

    Published 1994
    Subjects: “…Brokers Legal status, laws, etc. United States.…”
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  3. 3
    Study and report on protections for senior citizens and qualified retirement plans.

    Study and report on protections for senior citizens and qualified retirement plans.

    Published 1996
    Subjects: “…Brokers Legal status, laws, etc. United States.…”
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  4. 4
    U.S. government securities an examination of views expressed about access to brokers' services : report to the Congress /

    U.S. government securities an examination of views expressed about access to brokers' services : report to the Congress /

    Published 1987
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    Government Document Microfilm Book
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  5. 5
    SEC oversight hearings before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, on SEC oversight, authorization, and other matters--H.R. 1602, H.R. 1603, and H.R. 1604, March 21, 1985; SEC oversight, March 5, 1986.

    SEC oversight hearings before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-nin...

    Published 1986
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  6. 6
    Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2013

    Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2013

    Published 2014
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    Full Text (via ProQuest): CIS 2014 H373-1
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  7. 7
    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: “…Brokers Legal status, laws, etc. United States.…”
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  8. 8
    Report on the status of the recommendations from the Large Firm Project report

    Report on the status of the recommendations from the Large Firm Project report

    Published 1994
    Subjects: “…Brokers Legal status, laws, etc. United States.…”
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  9. 9
    To provide a safe harbor for mortgage servicers who engage in specified mortgage loan modifications, and for other purposes report together with additional views (to accompany H.R. 788) (including cost estimate of the Congressional Budget Office)

    To provide a safe harbor for mortgage servicers who engage in specified mortgage loan modifications, and for other purposes report together with additional views (to accompany H.R....

    Published 2009
    Subjects: “…Mortgage brokers Legal status, laws, etc. United States.…”
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  10. 10
    Real estate brokerage law & practice

    Real estate brokerage law & practice by Rohan, Patrick J., Goldstein, Bernard H., Bobis, Charles S.

    Published 2012
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    Law Students, Faculty, and Staff (via Lexis+)
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  11. 11
    To provide a safe harbor for mortgage servicers who engage in specified mortgage loan modifications, and for other purposes report together with additional views (to accompany H.R. 788) (including cost estimate of the Congressional Budget Office)

    To provide a safe harbor for mortgage servicers who engage in specified mortgage loan modifications, and for other purposes report together with additional views (to accompany H.R....

    Published 2009
    Subjects: “…Mortgage brokers Legal status, laws, etc. United States.…”
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  12. 12
    To provide a safe harbor for mortgage servicers who engage in specified mortgage loan modifications, and for other purposes : report together with additional views (to accompany H.R. 788) (including cost estimate of the Congressional Budget Office)

    To provide a safe harbor for mortgage servicers who engage in specified mortgage loan modifications, and for other purposes : report together with additional views (to accompany H....

    Published 2009
    Subjects: “…Mortgage brokers Legal status, laws, etc. United States.…”
    Search for the full-text version of this title in HathiTrust
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  13. 13
    Broker-dealer regulation ALI-ABA course of study materials /

    Broker-dealer regulation ALI-ABA course of study materials /

    Published 1985
    Subjects: “…Brokers Legal status, laws, etc. United States.…”
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  14. 14
    Commodity Futures Improvements Act of 1991 hearing before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred Second Congress, first session, on H.R. 707, February 19, 1991.

    Commodity Futures Improvements Act of 1991 hearing before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives,...

    Published 1991
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    Full Text (via ProQuest)
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  15. 15
    The law of foreign exchange /

    The law of foreign exchange / by Bhala, Raj

    Published 1997
    Subjects: “…exchange brokers Legal status, laws, etc. United States.…”
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  16. 16
    Securities regulatory equality hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994.

    Securities regulatory equality hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Thir...

    Published 1994
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  17. 17
    Investment adviser regulation in a nutshell

    Investment adviser regulation in a nutshell by Haas, Jeffrey J., Howard, Steven R., J.D

    Published 2008
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    Full Text (via West Academic)
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  18. 18
    U.S. government securities : expanding access to interdealer brokers' services : transcript of a hearing held jointly by GAO, the Department of the Treasury, the Federal Reserve System, and the Securities and Exchange Commission on February 4, 1987, Washington, D.C. /

    U.S. government securities : expanding access to interdealer brokers' services : transcript of a hearing held jointly by GAO, the Department of the Treasury, the Federal Reserve Sy...

    Published 1987
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    Government Document Book
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  19. 19
    A treatise on the law relative to principals, agents, factors, auctioneers, and brokers

    A treatise on the law relative to principals, agents, factors, auctioneers, and brokers by Livermore, Samuel, 1786-1833

    Published 1811
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  20. 20
    Rules of the road for registered representatives : a guide to securities compliance /

    Rules of the road for registered representatives : a guide to securities compliance / by Keyes, Thomas R.

    Published 1991
    Subjects: “…Brokers Legal status, laws, etc. United States.…”
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