United States Securities and Exchange Commission Division of Trading and Markets
Overview
| Works: | 15 works in 17 publications in 1 language and 997 library holdings |
|---|---|
| Genres: | Registers (Lists) Handbooks and manuals |
Publication Timeline
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Most widely held works about
United States
- Oversight of the SEC's Division of Trading and Markets : 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, second session, June 26, 2014 by United States( )
- The SEC speaks in 2016( Book )
- The SEC speaks in 2015( Book )
- The SEC speaks in 2018( Book )
- Fundamentals of broker-dealer regulation, 2015( Book )
- Fundamentals of broker-dealer regulation, 2016( Book )
- The SEC speaks in 2017( Book )
- Fundamentals of broker-dealer regulation, 2018( Book )
- Fundamentals of broker-dealer regulation, 2017( Book )
- Commodity Futures Trading Commission : policies and practice-- 1996( Book )
- Fundamentals of broker-dealer regulation, 2019( Book )
- The SEC speaks in 2019( Book )
- The SEC speaks in 2020( Book )
- The SEC speaks in 2021( Book )
more
fewer
Most widely held works by
United States
Guide to broker-dealer registration by
United States(
)
1 edition published in 2008 in English and held by 307 WorldCat member libraries worldwide
1 edition published in 2008 in English and held by 307 WorldCat member libraries worldwide
Audience Level
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Related Identities
- United States Congress House Committee on Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises
- Practising Law Institute
- United States Securities and Exchange Commission
- United States Securities and Exchange Commission Division of Enforcement
- United States Securities and Exchange Commission Division of Investment Management
- Public Company Accounting Oversight Board
- Financial Industry Regulatory Authority
- Kirsch, Clifford E.
- Avakian, Stephanie
- Ceresney, Andrew J Editor
Associated Subjects
Banking law Brokers Commodity exchanges--Law and legislation Compliance auditing Corporations--Accounting--Standards Corporations--Finance Credit bureaus Financial Industry Regulatory Authority Forensic accounting International business enterprises--Accounting Investment advisor-client relationships Investment advisors Investments Legal ethics Public Company Accounting Oversight Board Rating agencies (Finance) Risk management Securities Securities Exchange Act of 1934 (United States) Securities fraud Securities--Government policy Securities industry Stockbrokers Stockbrokers--Legal status, laws, etc United States United States.--Commodity Futures Trading Commission United States.--Commodity Futures Trading Commission.--Division of Enforcement United States.--Securities and Exchange Commission United States.--Securities and Exchange Commission.--Division of Enforcement United States.--Securities and Exchange Commission.--Division of Investment Management United States.--Securities and Exchange Commission.--Division of Trading and Markets
Alternative Names
Languages