History of National Association of Securities Dealers, Inc
| Author | : National Association of Securities Dealers |
| Publisher | : |
| Total Pages | : 56 |
| Release | : 1959 |
| Genre | : Government publications |
| ISBN | : |
National Association Of Securities Dealersinc
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National Association of Securities Dealers, Inc
| Author | : National Association of Securities Dealers |
| Publisher | : |
| Total Pages | : 1600 |
| Release | : 2001-09-01 |
| Genre | : Brokers |
| ISBN | : 9780808006718 |
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
| Author | : Angela A. Hung |
| Publisher | : Rand Corporation |
| Total Pages | : 151 |
| Release | : 2008-03-12 |
| Genre | : Law |
| ISBN | : 0833045016 |
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
SEC News Digest
| Author | : United States. Securities and Exchange Commission |
| Publisher | : |
| Total Pages | : 644 |
| Release | : 1977-07 |
| Genre | : Securities |
| ISBN | : |
Lists documents available from Public Reference Section, Securities and Exchange Commission.
SEC Docket
| Author | : United States. Securities and Exchange Commission |
| Publisher | : |
| Total Pages | : 1332 |
| Release | : 1997 |
| Genre | : Securities |
| ISBN | : |
Digest of Rubber Producing Facilities Disposal Commission Report to the Congress and Rules Governing Its Consideration by the Congress
| Author | : United States. Congress. Senate. Committee on Banking and Currency |
| Publisher | : |
| Total Pages | : 796 |
| Release | : 1955 |
| Genre | : Rubber industry and trade |
| ISBN | : |
The Code of Federal Regulations of the United States of America
| Author | : |
| Publisher | : |
| Total Pages | : 850 |
| Release | : 1994 |
| Genre | : Administrative law |
| ISBN | : |
The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government.
General Revenue Revision
| Author | : United States. Congress. House. Committee on Ways and Means |
| Publisher | : |
| Total Pages | : 1530 |
| Release | : 1953 |
| Genre | : Income tax |
| ISBN | : |
