broker Beating the brokers, or, The boy who "counldn't be done" By digital.lib.usf.edu Published On :: Mon, 23 May 2016 14:40:46 -0400 Full Article
broker A mint of money, or, The young Wall Street broker By digital.lib.usf.edu Published On :: Fri, 03 Jun 2016 13:23:24 -0400 Full Article
broker Diamond cut diamond, or, The boy brokers of Wall Street By digital.lib.usf.edu Published On :: Mon, 06 Jun 2016 14:21:40 -0400 Full Article
broker On the curb, or, Beating the Wall Street brokers By digital.lib.usf.edu Published On :: Tue, 28 Jun 2016 10:59:08 -0400 Full Article
broker A broker at eighteen, or, Roy Gilbert's Wall Street career By digital.lib.usf.edu Published On :: Fri, 15 Jul 2016 09:23:02 -0400 Full Article
broker Price & Co., boy brokers, or, The young traders of Wall Street By digital.lib.usf.edu Published On :: Fri, 15 Jul 2016 09:37:25 -0400 Full Article
broker Nat Noble, the little broker, or, The boy who started a Wall Street panic By digital.lib.usf.edu Published On :: Thu, 13 Oct 2016 15:24:50 -0400 Full Article
broker A boy stock broker, or, From errand boy to millionaire By digital.lib.usf.edu Published On :: Thu, 03 Nov 2016 10:50:55 -0400 Full Article
broker Lucky in Wall Street, or, The boy who trimmed the brokers By digital.lib.usf.edu Published On :: Thu, 03 Nov 2016 14:28:51 -0400 Full Article
broker After big money, or, Turning the tables on the Wall Street brokers By digital.lib.usf.edu Published On :: Thu, 10 Nov 2016 13:55:55 -0400 Full Article
broker Dandy Dick, the boss boy broker, or, Hustling for gold in Wall Street By digital.lib.usf.edu Published On :: Mon, 14 Nov 2016 13:51:54 -0400 Full Article
broker The young Wall Street Jonah; or, The boy who puzzled the brokers By digital.lib.usf.edu Published On :: Wed, 30 Nov 2016 14:10:30 -0400 Full Article
broker Broker’s call: Bandhan Bank (Overweight) By www.thehindubusinessline.com Published On :: Fri, 08 May 2020 15:59:07 +0530 JP Morgan Bandhan Bank (Overweight)CMP: ₹Target: ₹330We upgrade Bandhan Bank to Overweight following sharp underperformance year-to-date (-52 per cent Full Article Stocks
broker Broker's call: APL Apollo Tubes (Buy) By www.thehindubusinessline.com Published On :: Fri, 08 May 2020 19:16:15 +0530 Reliance SecuritiesAPL Apollo Tubes (Buy)CMP: ₹1,213.45Target: ₹1,520Key triggers: a) Investment to the tune of ₹102-lakh croreRs102 trillion in the i Full Article Stocks
broker Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers By www.cch.ca Published On :: Thu, 18 Oct 2012 12:33:57 GMT Published: November 2012 Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers provides foreign securities and investment firms with essential information they need about Canadian securities regulatory licensing requirements. Written with Canada’s top securities law experts at McCarthy Tétrault LLP, this resource serves as a comprehensive guide to foreign securities and investment firms seeking Canadian clients. In short, anyone who has clients conducting securities business in Canada will require this resource. Foreign investment managers will also require this information to act as an investment fund manager in Canada. The book covers topics that should be addressed by non-residents before trading securities or providing investment advice to any person or company within Canada. What's included: Dealer registration Adviser registration Investment fund manager registration Prospectus requirements If you would like more details about this product, or would like to order a copy online, please click here. Full Article
broker Broker-Dealer Law and Regulation, Fourth Edition By www.cch.ca Published On :: Wed, 20 May 2009 10:12:18 GMT Whether you represent brokerage firms and their employees or shareholders and investors, your clients depend on your informed counsel to help them thrive in today’s securities markets. With Broker-Dealer Law and Regulation, the authoritative analysis and practical guidance you need to advise clients on their rights, duties and liabilities under today’s complex securities regulations is at your fingertips. Written by two of America’s leading securities authorities, this publication gives you reliable guidance on the latest federal and state law governing private litigation and arbitration between broker-dealers and their customers, as well as regulation by the SEC and the SROs. The Fourth Edition has been completely revised to cover all of the important regulatory changes and developments in case law affecting broker-dealers and includes new chapters covering the structure of the securities markets, the regulation of broker-dealers in public offerings and SEC and SRO enforcement, as well as expanded analysis of the technological advances in securities trading and information dissemination. Table of Contents: Introduction Chapter 1: The Economics and Structure of the Securities Industry Chapter 2: Broker-Dealers Within Financial Conglomerates Chapter 3: The Securities Markets Chapter 4: An Overview of the Regulatory System Regulation and Compliance Chapter 5: Broker Registration and Exemptions Chapter 6: Broker and Associated Person Registration Process Chapter 7: Broker Recordkeeping and Reporting Chapter 8: Privacy and Anti-Money Laundering Chapter 9: The Duty to Supervise Chapter 10: Compensation in the Securities Industry Chapter 11: Electronic Trading and the Securities Industry Chapter 12: Financial Regulation of Broker-Dealers Chapter 13: Broker-Dealers in Public Offerings Chapter 14: SEC and SRO Enforcement and Disciplinary Proceedings Chapter 15: Penny Stock Regulation Private Rights of Actions Chapter 16: Liability of Broker-Dealers Under Common Law Chapter 17: Fraud Generally Chapter 18: Churning Chapter 19: The Suitability Doctrine Chapter 20: Unauthorized Trading Chapter 21: Market Manipulation Chapter 22: Conflicts of Interest and the Securities Industry Chapter 23: Damages in Actions Against Broker-Dealers Chapter 24: Defenses in Actions Against Broker-Dealers Chapter 25: Vicarious Liability If you would like more details about this product, or would like to order a copy online, please click here. Full Article
