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  1. 1
    Broker-dealer compliance a case-based guide to compliance program elements and practices /

    Broker-dealer compliance a case-based guide to compliance program elements and practices / by Fanto, James A.

    Published 2023
    Subjects: “…Stockbrokers Case studies.…”
    Full Text (via Elgar)
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  2. 2
    The Irwin directory of emerging market brokers /

    The Irwin directory of emerging market brokers / by Lerner, William J.

    Published 1997
    Subjects: “…Stockbrokers Directories.…”
    Book
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  3. 3
    The Registered representative

    The Registered representative

    Subjects: “…Stockbrokers Periodicals.…”
    Online Access (A-Z Journals and Newspapers)
    Electronic Journal
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  4. 4
    Rep

    Rep

    Published 2012
    Subjects: “…Stockbrokers Periodicals.…”
    Online Access (A-Z Journals and Newspapers)
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  5. 5
    Registered rep.

    Registered rep.

    Published 2002
    Subjects: “…Stockbrokers Periodicals.…”
    Online Access (A-Z Journals and Newspapers)
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  6. 6
    Base des réclamations des agens de change de Lyon : auprès de l'Assemblée nationale.

    Base des réclamations des agens de change de Lyon : auprès de l'Assemblée nationale.

    Published 1791
    Subjects:
    Full Text (via Gale)
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  7. 7
    The Joint regulatory sales practice sweep report a review of the sales practice acitivities of selected registered representatives and the hiring, retention, and supervisory practices of the brokerage firms employing them.

    The Joint regulatory sales practice sweep report a review of the sales practice acitivities of selected registered representatives and the hiring, retention, and supervisory practi...

    Published 1996
    Subjects: “…Stockbrokers United States Evaluation.…”
    Online Access
    Government Document Electronic eBook
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  8. 8
    Traders magazine

    Traders magazine

    Published 1987
    Subjects: “…Stockbrokers United States Periodicals.…”
    Online Access (A-Z Journals and Newspapers)
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  9. 9
    Wall Street disrupters : the rise of boutique firms /

    Wall Street disrupters : the rise of boutique firms /

    Published 2013
    Subjects: “…Stockbrokers.…”
    Streaming Video (via Alexander Street Press)
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  10. 10
    November 21, 2013, Subcommittee on Capital Markets and Government Sponsored Enterprises Hearing on "A Legislative Proposal To Amend the Securities Investor Protection Act"

    November 21, 2013, Subcommittee on Capital Markets and Government Sponsored Enterprises Hearing on "A Legislative Proposal To Amend the Securities Investor Protection Act"

    Published 2013
    Subjects: “…Stockbrokers.…”
    Full Text (via ProQuest): CIS 2013 H372-57
    Electronic eBook
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  11. 11
    Brokerage fraud : what Wall Street doesn't want you to know /

    Brokerage fraud : what Wall Street doesn't want you to know / by Stoneman, Tracy Pride

    Published 2002
    Subjects: “…Stockbrokers United States.…”
    Full Text (via EBSCO)
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  12. 12
    Women of the street : why female money managers generate higher returns (and how you can too) /

    Women of the street : why female money managers generate higher returns (and how you can too) / by Jones, Meredith A.

    Published 2015
    Subjects: “…Women stockbrokers United States Biography.…”
    Full Text (via Springer)
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  13. 13
    Traders at work : how the world's most successful traders make their living in the markets /

    Traders at work : how the world's most successful traders make their living in the markets / by Bourquin, Tim

    Published 2013
    Subjects: “…Stockbrokers Interviews.…”
    Full Text (via O'Reilly/Safari)
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  14. 14
    Sex and money : behind the scenes with the big-time brokers /

    Sex and money : behind the scenes with the big-time brokers / by Spooner, John D.

    Published 1985
    Subjects: “…Stockbrokers.…”
    Full Text (via Internet Archive)
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  15. 15
    Security dealers of North America.

    Security dealers of North America.

    Subjects: “…Stockbrokers Directories.…”
    Request a PDF (UCB only)
    Journal
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  16. 16
    [Pardon of Oscar Robinson for conspiracy to set up a bucket shop]

    [Pardon of Oscar Robinson for conspiracy to set up a bucket shop]

    Published 1916
    Subjects: Full Text (via ProQuest)
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  17. 17
    Administrative order interpreting Executive order 6606-A insofar as it applies to allowance of brokerage commissions to cooperative organizations.

    Administrative order interpreting Executive order 6606-A insofar as it applies to allowance of brokerage commissions to cooperative organizations.

    Published 1935
    Subjects:
    Full Text (via ProQuest)
    Government Document eBook
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  18. 18
    Traders : the jobs, the products, the markets /

    Traders : the jobs, the products, the markets / by Weiss, David M., 1938-

    Published 1990
    Subjects: “…Stockbrokers Vocational guidance United States.…”
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  19. 19
    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Published 2008
    Subjects:
    Full Text (via ProQuest)
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  20. 20
    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Tax Gap Proposals in the 110th Congress to Require Brokers to Report Basis on Publicly Traded Securities.

    Published 2008
    Subjects:
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