"Broker-dealer law and regulation" - similar Books and Chapters

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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
Real estate law for homeowner and broker	Parnell Joseph Terence Callahan	1980	Oceana Publications
Telecommunications Law and Regulation	Ian Walden	2018	Oxford University Press
Banking law and regulation	Michael P. Malloy	2011	Aspen Publishers
Telecommunications Law and Regulation	Ian Walden; John Angel	2012	Oxford University Press
FINTECH: Law and Regulation	JELENA MADIR	2019	Edward Elgar Publishing
HEALTHTECH: Law and Regulation	JELENA MADIR	2020	Edward Elgar Publishing
Banking law and regulation	Jonathan R. Macey; Geoffrey P. Miller	1992	Little, Brown
Conscription, Law and Regulation		1940	New York: Commerce Clearing House
Real estate law for the homeowner & broker	Margaret C. Jasper	2000	Oceana Publications
Waste regulation law	Duncan Laurence	1999	Butterworths
Broadcasting law & regulation	R. Terry Ellmore	1982	Tab Books
Law, Business, & Regulation	J. O'Sullivan; Hunter - undifferentiated	September 1998	Pearson Custom Pub
Law and Regulation of Aerodromes	Dr. Ruwantissa Abeyratne	2014	Springer International Publishing
Law and Economics of Regulation	Klaus Mathis; Avishalom Tor	1st ed. 2021	Springer International Publishing
Law, Bubbles, and Financial Regulation	Erik Gerding	2013	Routledge
Electronic Media Law and Regulation	Kenneth C. Creech	2013	Routledge
Expertise in Regulation and Law	Edmond Gary	2004	Routledge
Biologic patent law and regulation	William J. Simmons	2013	Bloomberg BNA
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Chapter	Author(s)	Book	Book Authors	Year	Publisher
Broker-dealer regulation		Understanding securities law	Marc I. Steinberg	2014	LexisNexis
Broker-dealer regulation		Understanding securities law	Marc I. Steinberg	2009	LexisNexis Matthew Bender
Market regulation and broker-dealer regulation		Treatise on the law of securities regulation	Thomas Lee Hazen	2009	West
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
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,
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 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 Functions, Books, and Records		Accounting Guide - Brokers and Dealers in Securities 2018	AICPA	2018	John Wiley & Sons
Broker-dealer functions, books, and records		Accounting Guide - Brokers and Dealers in Securities 2019	AICPA	2019	John Wiley & Sons
Broker-Dealer Functions, Books, and Records		Brokers and Dealers in Securities 2017	AICPA	2017	John Wiley & Sons
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
Arbitration of broker-dealer disputes		Treatise on the law of securities regulation	Thomas Lee Hazen	2009	West
Broker-Dealers Regulation	Roy Girasa	Laws and Regulations in Global Financial Markets	R. Girasa	2013	Palgrave Macmillan US
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
Chapter	Author(s)	Book	Book Authors	Year	Publisher

Showing 1 to 20 of 100 entries