BROKER-DEALERS AND INVESTMENT ADVISERS: A BEHAVIORAL-ECONOMICS ANALYSIS OF COMPETING SUGGESTIONS FOR REFORM.
- Published in:
- Michigan Law Review, 2015, v. 113, n. 3, p. 429
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- Publication type:
- Article
Works matching DE "LEGAL status of stockbrokers"
Results: 20
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THE FLAWED STATE OF BROKER-DEALER REGULATION AND THE CASE FOR AN AUTHENTIC FEDERAL FIDUCIARY STANDARD FOR BROKER-DEALERS.
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- Fordham Journal of Corporate & Financial Law, 2011, v. 16, n. 1, p. 203
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- Publication type:
- Article
3
1737.
- Published in:
- Parliamentary History, 2010, v. 29, p. 24, doi. 10.1111/j.1750-0206.2010.00180.x
- Publication type:
- Article
4
Legal Consequences of Unethical Conduct.
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- Financial Analysts Journal, 1973, v. 29, n. 6, p. 12
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- Publication type:
- Article
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Can We Keep This Dirty Money?: Ponzi Scheme Transfers and the Fourth Circuit's Vague but Workable Standard in In re Derivium Capital, LLC.
- Published in:
- North Carolina Law Review, 2014, v. 92, n. 4, p. 1370
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- Publication type:
- Article
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TRUST, GUILT, AND SECURITIES REGULATION.
- Published in:
- University of Pennsylvania Law Review, 2003, v. 151, n. 3, p. 1059, doi. 10.2307/3312885
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- Publication type:
- Article
7
The Implications of "Regulation Best Interest: The Broker-Dealer Standard of Conduct" in an Increasingly Regulated Industry.
- Published in:
- Journal of Corporation Law, 2020, v. 46, n. 1, p. 263
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- Publication type:
- Article
8
SEC DISCIPLINARY HEARINGS--Touche Ross v. SEC--Rule 2(e) Validated in First Public Proceeding: Uncertainty Ahead for Securities Practitioners.
- Published in:
- Journal of Corporation Law, 1980, v. 5, n. 2, p. 433
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- Publication type:
- Article
9
AN ANALYSIS OF THE NEWLY ADOPTED FINGERPRINT LAW FOR BROKERAGE FIRMS.
- Published in:
- Criminology, 1971, v. 9, n. 2/3, p. 207, doi. 10.1111/j.1745-9125.1971.tb00767.x
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- Publication type:
- Article
10
The Regulation of Stock Exchange Members (Book).
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- 1942
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- Publication type:
- Book Review
11
Resolving the Conflict Between Fiduciary Duties and Socially Responsible Investing.
- Published in:
- Pace Law Review, 2014, v. 35, n. 2, p. 535
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- Publication type:
- Article
12
Negotiated Brokerage Commissions and the Individual Investor.
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- Journal of Financial & Quantitative Analysis, 1983, v. 18, n. 3, p. 331, doi. 10.2307/2330724
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- Publication type:
- Article
13
Three Former FPA Presidents Share Their Reactions to the B/D Ruling.
- Published in:
- Journal of Financial Planning, 2007, v. 20, p. 5
- Publication type:
- Article
14
Court Sides with FPA on B/D Rule Decision; CFP Board Clarifies Ethics Code.
- Published in:
- Journal of Financial Planning, 2007, v. 20, p. 5
- Publication type:
- Article
15
BAD GUYS IN BANKRUPTCY: EXCLUDING PONZI SCHEMES FROM THE STOCKBROKER SAFE HARBOR.
- Published in:
- Columbia Law Review, 2012, v. 112, n. 6, p. 1376
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- Publication type:
- Article
16
REFLECTIONS ON THE SECURITIES BROKER AS A FIDUCIARY.
- Published in:
- SMU Law Review, 2015, v. 68, n. 3, p. 845
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- Publication type:
- Article
17
The Best of Both Worlds: A Fact-Based Analysis of the Legal Obligations of Investment Advisers and Broker-Dealers and a Framework for Enhanced Investor Protection.
- Published in:
- Business Lawyer, 2012, v. 68, n. 1, p. 1
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- Publication type:
- Article
18
BREAKING PAST THE PARALLAX: FINDING THE TRUE PLACE OF LAWYERS IN SECURITIES FRAUD.
- Published in:
- Fordham Urban Law Journal, 2010, v. 37, n. 4, p. 953
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- Publication type:
- Article
19
The End of Innocence.
- Published in:
- DePaul Business & Commercial Law Journal, 2003, v. 2, n. 2, p. 377
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- Publication type:
- Article
20
The Arbitration of Investor-Broker Disputes: A Summary of Developments.
- Published in:
- Arbitration Journal, 1980, v. 35, n. 3, p. 30
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- Publication type:
- Article