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Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994

Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994
Microform図書
1994<YCA-Y 4.EN 2/3:103-106>
National Diet Library
  • Subject Heading... United States Brokers -- Legal status, laws, etc. -- United States Investment advisers -- United...

Commodity Futures Improvements Act of 1991 : hearing before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred Second Congress, first session, on H.R. 707, February 19, 1991

Commodity Futures Improvements Act of 1991 : hearing before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred Second Congress, first session, on H.R. 707, February 19, 1991
Microform図書
1991<YCA-Y 4.Ag 8/1:102-1>
National Diet Library
  • Subject Heading... United States Brokers -- Legal status, laws, etc. -- United States

U.S. government securities : expanding access to interdealer brokers' services : transcript of a hearing held jointly by GAO, the Department of the Treasury, the Federal Reserve System, and the Securities and Exchange Commission on February 4, 1987, Washington, D.C. / United States General Accounting Office

U.S. government securities : expanding access to interdealer brokers' services : transcript of a hearing held jointly by GAO, the Department of the Treasury, the Federal Reserve System, and the Securities and Exchange Commission on February 4, 1987, Washington, D.C. / United States General Accounting Office
Microform図書
1987<YCA-GA 1.13:GGD-87-42>
National Diet Library
  • Subject Heading... United States Brokers -- Legal status, laws, etc. -- United States Securities -- United States T...

Investment adviser regulation in a nutshell

Investment adviser regulation in a nutshell
Paper図書
by Jeffrey J. Haas, Steven R. HowardThomson/Westc2008
Other Libraries in Japan
  • Subject Heading... United States Brokers -- Legal status, laws, etc. -- United States Securities -- United States
  • Subject Heading (ID)... United States Brokers -- Legal status, laws, etc. -- United States Securities -- United States

Automated Broker Interface requirements 6th ed (Customs publication ; no. 540)

Automated Broker Interface requirements 6th ed (Customs publication ; no. 540)
Microform図書
1987<YCA-T 17.2:Au 8/5>
National Diet Library
  • Subject Heading... -- Data bases Brokers -- Legal status, laws, etc. -- United States -- Computer programs Foreign-...

The law of foreign exchange

The law of foreign exchange
Paper図書
Raj BhalaCarolina Academic Pressc1997
Other Libraries in Japan
  • Subject Heading...reign exchange brokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)...reign exchange brokers -- Legal status, laws, etc. -- United States

Money managers, mutual funds, and their service providers : dealing with regulatory developments

Money managers, mutual funds, and their service providers : dealing with regulatory developments
Paper図書
co-chairs, Anne C. Flannery, Lee A. PickardPractising Law Institutec1995
Other Libraries in Japan
  • Subject Heading... United States Brokers -- Legal status, laws, etc. -- United States Securities -- United States M...
  • Subject Heading (ID)... United States Brokers -- Legal status, laws, etc. -- United States Securities -- United States M...

Broker-dealer regulation : ALI-ABA course of study materials

Broker-dealer regulation : ALI-ABA course of study materials
Paper図書
cosponsored by the Securities Law Committee of the Federal Bar AssociationAmerican Law Institute-American Bar Association Committee on Continuing Professional Educationc1985
Other Libraries in Japan
  • Subject HeadingBrokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)Brokers -- Legal status, laws, etc. -- United States

Commodity Futures Improvements Act of 1991 : hearing before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred Second Congress, first session, on H.R. 707, February 19, 1991

Commodity Futures Improvements Act of 1991 : hearing before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred Second Congress, first session, on H.R. 707, February 19, 1991
Microform図書
U.S. G.P.O. : CIS1991
Other Libraries in Japan
  • Subject HeadingBrokers -- Legal status, laws, etc. -- United States Commodity exchanges -- Law an...
  • Subject Heading (ID)Brokers -- Legal status, laws, etc. -- United States Commodity exchanges -- Law an...

Commodity Futures Improvements Act of 1989 : hearings before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred First Congress, first session, on H.R. 2869, July 18 and 20, 1989

Commodity Futures Improvements Act of 1989 : hearings before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred First Congress, first session, on H.R. 2869, July 18 and 20, 1989
Microform図書
CIS1990
Other Libraries in Japan
  • Subject Heading... United States Brokers -- Legal status, laws, etc. -- United States United States. Commodity Futu...
  • Subject Heading (ID)... United States Brokers -- Legal status, laws, etc. -- United States United States. Commodity Futu...

Broker dealers : new legal, business, and compliance developments 1984

Broker dealers : new legal, business, and compliance developments 1984
Paper図書
John F.X. Peloso, chairmanPractising Law Institutec1984
Other Libraries in Japan
  • Subject HeadingBrokers -- Legal status, laws, etc. -- United States Securities -- United States S...
  • Subject Heading (ID)Brokers -- Legal status, laws, etc. -- United States Securities -- United States S...

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