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Report Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the Nasdaq Market
Language: en
Pages: 156

Report Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the Nasdaq Market

Authors: United States. Securities and Exchange Commission
Categories: Brokers
Type: BOOK - Published: 1996 - Publisher:

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Federal Register
Language: en
Pages: 442

Federal Register

Authors:
Categories: Delegated legislation
Type: BOOK - Published: 2012-08 - Publisher:

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Wall Street Polices Itself
Language: en
Pages: 220

Wall Street Polices Itself

Authors: David P. McCaffrey
Categories: Business & Economics
Type: BOOK - Published: 1998-07-30 - Publisher: Oxford University Press

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Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities f
SEC Docket
Language: en
Pages:

SEC Docket

Authors: United States. Securities and Exchange Commission
Categories: Securities
Type: BOOK - Published: 1997 - Publisher:

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Regulation of Securities, Markets, and Transactions
Language: en
Pages: 384

Regulation of Securities, Markets, and Transactions

Authors: Patrick S. Collins
Categories: Business & Economics
Type: BOOK - Published: 2011-01-25 - Publisher: John Wiley & Sons

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The ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage