Stockbrokers -- Legal status, laws, etc. -- United States

Resource Information

The concept Stockbrokers -- Legal status, laws, etc. -- United States represents the subject, aboutness, idea or notion of resources found in Indiana State Library.

The Resource Stockbrokers -- Legal status, laws, etc. -- United States

Label: Stockbrokers -- Legal status, laws, etc. -- United States

Authority link: (EG-IN)1055674

Focus

trueStockbrokers

Sub Focus

trueLegal status, laws, etc.
trueUnited States

15 Items that share the Concept Stockbrokers -- Legal status, laws, etc. -- United States

A legislative proposal to amend the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, November 21, 2013

Borrow it

Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009

Borrow it

Amending the Securities Exchange Act of 1934 to permit members of national securities exchanges to effect certain transactions with respect to accounts for which such members exercise investment discretion : report (to accompany H.R. 616) (including cost estimate of the Congressional Budget Office)

Borrow it

Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010

Borrow it

Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011

Borrow it

Fair Access to Investment Research Act of 2015 : report together with minority views (to accompany H.R. 2356) (including cost estimate of the Congressional Budget Office)

Borrow it

Fair Access to Investment Research Act of 2017 : report (to accompany H.R. 910) (including cost estimate of the Congressional Budget Office)

Borrow it

H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker Accountability Through Enhanced Transparency Act of 2003 : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, first session, March 6, 2003

Borrow it

Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 23, 2013

Borrow it

Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991

Borrow it

Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)

Borrow it

Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office)

Borrow it

Securities and Exchange Commission : reporting requirements for brokers or dealers under the Securities Exchange Act of 1934, United States General Accounting Office, Office of the General Counsel

Borrow it

The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, March 7, 2012

Borrow it

Context

Context of Stockbrokers -- Legal status, laws, etc. -- United States

Subject of

A legislative proposal to amend the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, November 21, 2013
Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009
Amending the Securities Exchange Act of 1934 to permit members of national securities exchanges to effect certain transactions with respect to accounts for which such members exercise investment discretion : report (to accompany H.R. 616) (including cost estimate of the Congressional Budget Office)
Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011
Fair Access to Investment Research Act of 2015 : report together with minority views (to accompany H.R. 2356) (including cost estimate of the Congressional Budget Office)
Fair Access to Investment Research Act of 2017 : report (to accompany H.R. 910) (including cost estimate of the Congressional Budget Office)
H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker Accountability Through Enhanced Transparency Act of 2003 : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, first session, March 6, 2003
Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 23, 2013
Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991
Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)
Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office)
Securities and Exchange Commission : reporting requirements for brokers or dealers under the Securities Exchange Act of 1934
The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, March 7, 2012

Embed (Experimental)

Settings

Select options that apply then copy and paste the RDF/HTML data fragment to include in your application

Embed this data in a secure (HTTPS) page:

Layout options: Carousel Grid List Card

Include data citation:

<div class="citation" vocab="http://schema.org/"> Data from <a href="http://link.library.in.gov/resource/YfwpS9sTFxc/">Stockbrokers -- Legal status, laws, etc. -- United States</a> - <a property="url" href="http://link.library.in.gov/">Indiana State Library</a></div>

Note: Adjust the width and height settings defined in the RDF/HTML code fragment to best match your requirements

Preview

Cite Data - Experimental

Data Citation of the Concept Stockbrokers -- Legal status, laws, etc. -- United States

Copy and paste the following RDF/HTML data fragment to cite this resource

<div class="citation" vocab="http://schema.org/"><i class="fa fa-external-link-square fa-fw"></i> Data from <span resource="http://link.library.in.gov/resource/YfwpS9sTFxc/" typeof="CategoryCode http://bibfra.me/vocab/lite/Concept"><span property="name http://bibfra.me/vocab/lite/label"><a href="http://link.library.in.gov/resource/YfwpS9sTFxc/">Stockbrokers -- Legal status, laws, etc. -- United States</a></span> - <span property="potentialAction" typeOf="OrganizeAction"><span property="agent" typeof="LibrarySystem http://library.link/vocab/LibrarySystem" resource="http://link.library.in.gov/"><span property="name http://bibfra.me/vocab/lite/label"><a property="url" href="http://link.library.in.gov/">Indiana State Library</a></span></span></span></span></div>

Stockbrokers -- Legal status, laws, etc. -- United States

Resource Information

The concept Stockbrokers -- Legal status, laws, etc. -- United States represents the subject, aboutness, idea or notion of resources found in Indiana State Library.

Context

Subject of