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Online Results (15)
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.
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. : For sale by the Supt. of Docs., U.S. G.P.O., 2012.
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
3.
Das Recht der Kapitalanlageberatung und -vermittllung
Author
Seibert, Holger, 1955-
Published
München : C.H. Beck, 2014.
©2014.
Location
Law Library >> KK2245 .S453X 2014
Format
Books
4.
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
5.
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
6.
Broker-dealer regulation
Published
New York : Practising Law Institute, [2011]-
©2011-
Online
Online Book
Location
Yale Internet Resource
Format
Online
7.
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. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:111-94
Format
Books
8.
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
9.
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. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
10.
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. : For sale by the Supt. of Docs., U.S. G.P.O., 2012.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:112-58
Format
Books
11.
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
12.
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
13.
Investor and industry perspectives on investment advisers and broker-dealers
Published
Santa Monica, CA : Rand, c2008.
Location
Law Library >> KF1070 .I58X 2008
Format
Books
14.
Investor and industry perspectives on investment advisers and broker-dealers
Published
Santa Monica, CA : Rand, c2008.
Location
SML, Stacks, LC Classification >> KF1070 .I58X 2008 (LC) Oversize
Format
Books
15.
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. : For sale by the Supt. of Docs., U.S. G.P.O., 2010
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
16.
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
17.
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. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1991.
Location
Library Shelving Facility (LSF) >> Y 4.En 2/3:102-38
Format
Books
18.
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
19.
Canadian securities regulatory requirements applicable to non-resident broker-dealers, advisers and investment fund managers
Published
Toronto, Ontario : CCH Canadian Limited, [2012]
©2012.
Location
Law Library >> KE1062 .A33 2012
Format
Books
20.
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
21.
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. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:111-158
Format
Books
22.
A practitioner's guide to MiFID
Published
Old Woking, Surrey, U.K. : City & Financial Pub., c2007.
Location
Law Library >> KJE2245 .P73X 2007
Format
Books
23.
Fintech and regtech in the financial services industry : current issues for investment advisers and broker-dealers 2023
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
24.
A practitioner's guide to MiFID II
Published
London : Sweet & Maxwell/Thomas Reuters, 2018.
©2018.
Location
Law Library >> KJE2245 .P73 2018
Format
Books
25.
Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 23, 2013
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises, author
Published
Washington : U.S. Government Printing Office, 2013.
Online
http://purl.fdlp.gov/GPO/gpo40663
Location
Yale Internet Resource >> None
Format
Books / Online