"3. Government Regulation of Broker-Dealer Firms"

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Book	Author(s)	Year	Publisher
Broker-dealer law and regulation	Norman S. Poser; James A. Fanto	2007	Aspen Publishers
Broker-dealer operations and regulation under securities and commodities laws	Jerry W. Markham	2002	Thomson/West
Conflicts of interest: broker-dealer firms: report to the Twentieth Century Fund Steering Committee on Conflicts of Interest in the Securities Markets	Martin Mayer	1975	Twentieth Century Fund
A discriminant analysis of the bankruptcy of securities brokerage/dealer firms		1975
Government regulation of transportation	Emory R. Johnson	1938	D. Appleton-Century Company, Incorporated
The Limits of Government Regulation	James F. Gatti	1981	Academic Press
Government regulation of business ethics	Yerachmiel Kugel	1977	Oceana Publications
Government regulation of water transportation	Edgar C. Conkling, S. S. Huebner	1914	American Academy of Political and Social Science
Government regulation of industrial relations	George W. Taylor	1948	Prentice-Hall
Government Regulation of Elizabethan Drama	Virginia Crocheron Gildersleeve	1908	The Columbia university press
Government regulation of higher education		1978	Ballinger Pub. Co.
On the capital structure and regulation of insurance firms	Neil Doherty	1985	College of Commerce and Business Administration, University of Illinois at Urbana-Champaign
The regulation of multiproduct firms: theory and policy analysis	Jean-Jacques Laffont	1988	Massachusetts Institute of Technology
The Internationalization of Government Procurement Regulation	Aris C. Georgopulos; Bernard Hoekman; Petros C. Mavroidis	2017	Oxford University Press
The Political Economy of Government Regulation	Jason F. Shogren	1989	Springer US
Government Regulation of the Elizabethan Drama	Virginia Crocheron Gildersleeve	1908	Columbia University Press
Government regulation of business; a casebook	Joseph Shister, Edwin A. Bock	1965	Prentice-Hall
Government regulation of the Elizabethan drama	Virginia Crocheron Gildersleeve	1961	B. Franklin
Government regulation of the Elizabethan drama	Virginia Crocheron Gildersleeve	1908	The Columbia university press
Government regulation of the employment relationship /	Kaufman, Bruce E.	[1997], ©1997.	Industrial Relations Research Association,
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Chapter	Author(s)	Book	Book Authors	Year	Publisher
3. Government Regulation of Broker-Dealer Firms		Wall Street polices itself: how securities firms manage the legal hazards of competitive pressures /	McCaffrey, David P.,; Hart, David W.	1998.	Oxford University Press,
Broker-dealer regulation		Understanding securities law	Marc I. Steinberg	2014	LexisNexis
Broker-dealer regulation		Understanding securities law	Marc I. Steinberg	2009	LexisNexis Matthew Bender
1. Self-Regulation in Broker-Dealer Firms		Wall Street polices itself: how securities firms manage the legal hazards of competitive pressures /	McCaffrey, David P.,; Hart, David W.	1998.	Oxford University Press,
Market regulation and broker-dealer regulation		Treatise on the law of securities regulation	Thomas Lee Hazen	2009	West
5. 4 Securities broker-dealer firms		Financial Institutions: An Introduction	A. P. Faure	2015	Bookboon.com
7. Differences among Broker-Dealer Firms		Wall Street polices itself: how securities firms manage the legal hazards of competitive pressures /	McCaffrey, David P.,; Hart, David W.	1998.	Oxford University Press,
Broker Dealer		Wiley Series 63 Exam Review 2016 + Test Bank: The Uniform Securities Examination	Securities Institute of America	2016;2015	John Wiley and Sons
Broker/Dealer		Investment Analysis and Portfolio Management	M Ranganatham; R Madhumathi	2006	Pearson Education
The Broker/Dealer		Who Can You Trust with Your Money?: Get the Help You Need Now and Avoid Dishonest Advisors, Adobe Reader	Kirchner, Bonnie	2010	FT Press
Broker–Dealer Compliance		Auditing and Assurance Services	Louwers, Blay, Sinason, Strawser, Thibodeau	2018	McGraw Hill
Arbitration of broker-dealer disputes		Treatise on the law of securities regulation	Thomas Lee Hazen	2009	West
4. Controls at Self-Regulatory Organizations and Broker-Dealer Firms		Wall Street polices itself: how securities firms manage the legal hazards of competitive pressures /	McCaffrey, David P.,; Hart, David W.	1998.	Oxford University Press,
9. Decline of the Broker-Dealer		Moose Pastures and Mergers: The Ontario Securities Commission and the Regulation of Share Markets in Canada, 1940-1980	Chris Armstrong	2001	University of Toronto Press
Broker Markets and Dealer Markets		Fundamentals of investing	Gitman, Lawrence J; Smart, Scott B; Joehnk, Michael D	2016;2017	Pearson Education
Broker Markets and Dealer Markets		Fundamentals of Investing [RENTAL EDITION]	Scott Smart, Chad Zutter	2019	Pearson
Broker Markets and Dealer Markets		Fundamentals of Investing	Scott Smart, Lawrence Gitman, Michael Joehnk	2013	Pearson College Div
Broker-dealer/SEC/Volcker Rule		Dodd-Frank Wall Street Reform and Consumer Protection Act: a summary	Bingham McCutchen LLP	2010	Practising Law Institute
Broker-Dealer facilities to Customers		The stock markets	Gilbert W. Cooke	1969	Schenkman Pub. Co
Broker-Dealers Regulation	Roy Girasa	Laws and Regulations in Global Financial Markets	R. Girasa	2013	Palgrave Macmillan US
Chapter	Author(s)	Book	Book Authors	Year	Publisher

Showing 1 to 20 of 100 entries

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