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Title Broker-dealer regulation / edited by Clifford E. Kirsch.
Publication Info. New York, NY : Practising Law Institute, c2011-
Edition Second edition.

Identity Loose-Leaf 
Call No.KF1071 .B76 
LocationLaw Classified 
Holdings NO LONGER UPDATED

Location Call No. Note Status
 Law Classified  v. 1    NO LONGER UPDATED  AVAILABLE
 Law Classified  v. 2    NO LONGER UPDATED  AVAILABLE
 Law Classified  KF1071 .B76  v. 3    NO LONGER UPDATED  AVAILABLE
Description 2 volumes (loose-leaf) ; 26 cm.
Type of Content text txt
Type of Media unmediated n
Type of Carrier volume nc
Series Practising Law Institute's corporate and securities law library
Practising Law Institute's corporate and securities law library.
Local Note CANCELLED 10/13.
Note Includes index.
Contents v.1. Part I : Introduction, broker-dealer status and registration -- Part II : Supervisory requirements -- Part III. The Customer relationship -- Part IV : Compensation practices -- Part V : Regulation of information -- Part VI : Trading practices -- v. 2. Part VII : Financial and operation activities -- Part VIII : Compliance, examinations, and enforcement -- Part IX : The Municipal marketplace -- Part X : Special topics
Subject Stockbrokers -- Legal status, laws, etc. -- United States.
Investment advisors -- Legal status, laws, etc. -- United States.
Securities -- United States.
Added Author Kirsch, Clifford E.
Practising Law Institute.