Coping With Broker Dealer Regulation Enforcement 2000

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Coping with Broker/dealer Regulation & Enforcement, 2000

Coping with Broker/dealer Regulation & Enforcement, 2000
Author :
Publisher :
Total Pages : 312
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ISBN-10 : MINN:31951D019599073
ISBN-13 :
Rating : 4/5 ( Downloads)

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Download or read book Coping with Broker/dealer Regulation & Enforcement, 2000 written by and published by . This book was released on 2000 with total page 312 pages. Available in PDF, EPUB and Kindle. Book excerpt:


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In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investmen