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BOOK EXCERPT:
Product Details :
Genre |
: Stockbrokers |
Author |
: Poser, Fanto, Gross |
Publisher |
: Wolters Kluwer Law & Business |
Release |
: |
File |
: 1920 Pages |
ISBN-13 |
: 9781543804966 |
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BOOK EXCERPT:
Product Details :
Genre |
: Business & Economics |
Author |
: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises |
Publisher |
: |
Release |
: 2012 |
File |
: 580 Pages |
ISBN-13 |
: MINN:31951D035565703 |
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BOOK EXCERPT:
Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
Product Details :
Genre |
: Law |
Author |
: James A. Fanto |
Publisher |
: Edward Elgar Publishing |
Release |
: 2023-01-20 |
File |
: 223 Pages |
ISBN-13 |
: 9781800889576 |
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BOOK EXCERPT:
Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial goals. BD&IA are regulated extensively, but the regulatory regimes differ, and BD&IA are subject to different standards under fed. law when providing invest. advice (IA) about securities. This report evaluated: (1) The effectiveness of existing legal standards of care for providing personalized IA and recommend. about securities to retail customers; and (2) Whether there are legal gaps in regulatory standards in the protection of retail customers relating to providing personalized IA about securities to retail customers that should be addressed by statute. This is print on demand report.
Product Details :
Genre |
: Business & Economics |
Author |
: Barry Leonard |
Publisher |
: DIANE Publishing |
Release |
: 2011-05 |
File |
: 208 Pages |
ISBN-13 |
: 9781437980608 |
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BOOK EXCERPT:
Product Details :
Genre |
: Stockbrokers |
Author |
: |
Publisher |
: |
Release |
: 2005 |
File |
: 458 Pages |
ISBN-13 |
: STANFORD:36105063245893 |
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BOOK EXCERPT:
Product Details :
Genre |
: Global Financial Crisis, 2008-2009 |
Author |
: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publisher |
: |
Release |
: 2009 |
File |
: 292 Pages |
ISBN-13 |
: PURD:32754081209425 |
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BOOK EXCERPT:
Product Details :
Genre |
: Stockbrokers |
Author |
: |
Publisher |
: |
Release |
: 2005 |
File |
: 320 Pages |
ISBN-13 |
: STANFORD:36105063961515 |
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BOOK EXCERPT:
Product Details :
Genre |
: |
Author |
: |
Publisher |
: |
Release |
: 2010 |
File |
: 288 Pages |
ISBN-13 |
: UOM:39015090376719 |
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BOOK EXCERPT:
Product Details :
Genre |
: Business & Economics |
Author |
: Robert M. Romano |
Publisher |
: |
Release |
: 1998 |
File |
: 342 Pages |
ISBN-13 |
: MINN:31951D015539863 |
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BOOK EXCERPT:
Product Details :
Genre |
: Securities |
Author |
: |
Publisher |
: |
Release |
: 1999 |
File |
: 332 Pages |
ISBN-13 |
: MINN:31951D017523325 |