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Financial Industry Regulatory Authority > Rules and practice

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Online Results (8)
1.
FINRA rules
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
2.
FINRA arbitration rules : 2011
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Books / Online
3.
FINRA organizational materials
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
4.
Assessing the Madoff Ponzi scheme and regulatory failures : 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, February 4, 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., 2009.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:111-2
Format
Books
5.
Assessing the Madoff Ponzi scheme and regulatory failures 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, February 4, 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., 2009.
Online
http://purl.access.gpo.gov/GPO/LPS115676
Location
Yale Internet Resource >> None
Format
Books / Online
6.
Assessing the Madoff Ponzi scheme and regulatory failures 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, February 4, 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., 2009.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online
7.
The consolidated FINRA rulebook : the conduct of rules
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
8.
FINRA manual
Published
Chicago, IL : Published for FINRA by Wolters Kluwer Financial Services, c2009-
Location
Law Library >> KF1068.4 .F56
Format
Books
9.
The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.111-38
Format
Books
10.
The Madoff investment securities fraud regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O., 2009.
Online
http://purl.access.gpo.gov/GPO/FDLP1545
Location
Yale Internet Resource >> None
Format
Books / Online
11.
The Madoff investment securities fraud regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online