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book (21)

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Book

The over-the-counter securities markets : a review guide
Authors: Loll, Leo M. --- Buckley, Julian G.
Year: 1967 Publisher: Englewood Cliffs, N.J. : Prentice-Hall,

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Over-the-counter markets --- National Association of Securities Dealers

Periodical

Registered rep.
ISSN: 24696250 Year: 2002 Publisher: Overland Park, KS : Primedia Business Magazines & Media

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Keywords
Stockbrokers --- Stockbrokers. --- Investment brokers --- Securities dealers --- Security traders --- Stock brokerage firms --- Stock brokers --- Brokers

Book

A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006.
Author: United States.
Year: 2007

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Securities industry --- Stock exchanges --- Self-regulation --- New York Stock Exchange. --- National Association of Securities Dealers.

Book

A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006.
Author: United States.
Year: 2007

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Securities industry --- Stock exchanges --- Self-regulation --- New York Stock Exchange. --- National Association of Securities Dealers.

Book

Procedures for updating arbitrator disclosure information
Authors: Hillman, Richard J. --- United States.
Year: 2000 Publisher: Washington, DC

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Arbitrators --- Disclosure of information --- Evaluation. --- National Association of Securities Dealers --- Rules and practice --- Evaluation.

Book

Consolidation of NASD and the regulatory functions of the NYSE : working towards improved regulation : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session ... Thursday, May 17, 2007.
Author: United States.
Year: 2009 Publisher: Washington : U.S. G.P.O.,

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Securities industry --- Self-regulation --- National Association of Securities Dealers. --- NYSE Regulation (Firm)

Book

A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006.
Author: United States.
Year: 2007

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Keywords
Securities industry --- Stock exchanges --- Self-regulation --- New York Stock Exchange. --- National Association of Securities Dealers.

Book

Consolidation of NASD and the regulatory functions of the NYSE : working towards improved regulation : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session ... Thursday, May 17, 2007.
Author: United States.
Year: 2009 Publisher: Washington : U.S. G.P.O.,

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Abstract

Keywords
Securities industry --- Self-regulation --- National Association of Securities Dealers. --- NYSE Regulation (Firm)

Book

Procedures for updating arbitrator disclosure information
Authors: Hillman, Richard J. --- United States.
Year: 2000 Publisher: Washington, DC

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Arbitrators --- Disclosure of information --- Evaluation. --- National Association of Securities Dealers --- Rules and practice --- Evaluation.

Periodical

EASDAQ rule book : an EASDAQ publication of the board of directors of EASDAQ s.a./n.v. and the EASDAQ market authority
Authors: Della Faille, Patrick --- Tirez, Dirk P. --- European Association of Securities Dealers Automated Quotations
ISBN: 2802719970 Year: 1998 Publisher: Bruxelles : Bruylant,

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Keywords
Capital market --- Capital market --- Marché financier --- Marché financier --- Law and legislation --- Law and legislation --- Droit --- Droit --- European Association of Securities Dealers Automated Quotations --- Rules and practice.

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