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Can I read Securities Law Compliance : a Guide for Brokers, Dealers, and Investors on EtoBox?

Securities Law Compliance : a Guide for Brokers, Dealers, and Investors by Allan H. Pessin is a law available to read on EtoBox.

What is Securities Law Compliance : a Guide for Brokers, Dealers, and Investors about?

Covers investors' rights and obligations and the functions and responsibilities of the exchanges, government agencies, and self regulating organizations. Prescribes specific procedures to help those involved interpret and abide by laws governing recordkeeping, reporting, supervision, and marketing. Material presented prepares the reader for the New York Stock Exchange Series 14 examination. Includes a glossary, but no bibliography. Annotation copyright Book News, Inc. Portland, Or.

Who reads Securities Law Compliance : a Guide for Brokers, Dealers, and Investors?

It is typically read by working professionals who need an authoritative practice reference.

Common subject areas: medicine, law, business, engineering.

Author
Allan H. Pessin
Publisher
Richard D Irwin; Richard d Irwin; Brand: Richard D Irwin
Published
1989
Language
EN
ISBN
9781556232282
Category
law
Subjects
Business, Finance, Economics
Rating
5 / 5 (3 ratings)
Updated
2026-03-14

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