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1.
Dually registered broker-dealers and advisers : regulatory, compliance and enforcement 2019
Published
New York, New York : Practising Law Institute, 2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
2.
Broker-dealer advisory services 2016 : current legal and compliance issues facing dual registrants
Published
New York, N.Y. : Practising Law Institute, 2016.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
3.
Broker-dealer advisory services 2015 : current legal and compliance issues facing dual registrants
Published
New York, N.Y. : Practising Law Institute, [2015]
©2015.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
4.
Broker-dealer regulation
Published
New York : Practising Law Institute, [2011]-
©2011-
Online
Online Book
Location
Yale Internet Resource
Format
Online
5.
Additional reforms to the Securities Investor Protection Act hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Published
Washington : U.S. G.P.O., 2010.
Online
http://purl.access.gpo.gov/GPO/LPS125228
Location
Yale Internet Resource >> None
Format
Books / Online
6.
Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Published
Washington : U.S. G.P.O., 2012.
Online
http://purl.fdlp.gov/GPO/gpo23509
Location
Yale Internet Resource >> None
Format
Books / Online
7.
The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, March 7, 2012
Author
United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises, author
Published
Washington : U.S. Government Printing Office, 2012.
Online
http://purl.fdlp.gov/GPO/gpo33986
Location
Yale Internet Resource >> None
Format
Books / Online
8.
Investor and industry perspectives on investment advisers and broker-dealers
Published
Santa Monica, CA : Rand, c2008.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
9.
Managed accounts/section 11(a) hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991
Author
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Published
Washington : U.S. G.P.O., 1991.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online
10.
Assessing the limitations of the Securities Investor Protection Act hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Published
Washington : U.S. G.P.O., 2011.
Online
http://purl.fdlp.gov/GPO/gpo6151
Location
Yale Internet Resource >> None
Format
Books / Online