Anti-money Laundering

Anti-money Laundering
Author: United States. General Accounting Office
Publisher:
Total Pages: 92
Release: 2001
Genre: Money laundering
ISBN:

Consolidated Audit Trail (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition)

Consolidated Audit Trail (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition)
Author: The Law Library
Publisher: Independently Published
Total Pages: 210
Release: 2019-01-18
Genre: Law
ISBN: 9781794359147

The Law Library presents the complete text of the Consolidated Audit Trail (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission") is adopting Rule 613 under the Securities Exchange Act of 1934 ("Exchange Act" or "Act") to require national securities exchanges and national securities associations ("self-regulatory organizations" or "SROs") to submit a national market system ("NMS") plan to create, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities, that would capture customer and order event information for orders in NMS securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution. This ebook contains: - The complete text of the Consolidated Audit Trail (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure

Series 6 Investment Company Representative

Series 6 Investment Company Representative
Author: Securities Institute of America, Incorporated The
Publisher:
Total Pages:
Release: 2009-07-15
Genre:
ISBN: 9780981961859

Students will be prepared to pass the series 6 exam after reading this comprehensive textbook from The Securities Institute of America. It is recommended that students read the textbook in addition to attending a live or online class. Students are also encouraged to prepare using our exam software. To contact The Securities Institute please call us at: 877 218 1776 or visit us on the web at: www.SecuritiesCE.com

Securities Crimes

Securities Crimes
Author: Marvin G. Pickholz
Publisher:
Total Pages:
Release:
Genre: Securities fraud
ISBN: 9780876329719

SEC Docket

SEC Docket
Author: United States. Securities and Exchange Commission
Publisher:
Total Pages: 1332
Release: 1997
Genre: Securities
ISBN:

SEC Enforcement

SEC Enforcement
Author: United States. General Accounting Office
Publisher:
Total Pages: 32
Release: 1998
Genre: Securities fraud
ISBN: