DEFINING A NEW PUNCTILIO OF AN HONOR: THE BEST INTEREST STANDARD FOR BROKER-DEALERS.
- Published in:
- Boston University Law Review, 2012, v. 92, n. 1, p. 291
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- Publication type:
- Article
Works matching DE "LEGAL status of brokers"
Results: 22
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2
CRACKING THE PROBLEM OF FINDERS—AN EMPIRICAL AND COMPUTATIONAL ANALYSIS.
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- Wake Forest Law Review, 2016, v. 51, n. 5, p. 1021
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- Publication type:
- Article
3
Playing the Long Game to Achieve a Uniform Fiduciary Standard.
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- Journal of Financial Planning, 2014, v. 27, n. 12, p. 25
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- Article
4
The Self-Regulation of Investment Bankers.
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- George Washington Law Review, 2014, v. 83, n. 1, p. 101
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- Article
5
Staying the Course with Broker-Dealer Registration: The SEC's Impending Regulation of Crowdfunding Portals Under the JOBS Act.
- Published in:
- Journal of Corporation Law, 2014, v. 40, n. 1, p. 275
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- Article
6
THIRD READING: NEW ZEALAND.
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- Parliamentarian, 2018, v. 99, n. 3, p. 242
- Publication type:
- Article
7
Liability of Broker-Dealers for Unsuitable Recommendations to Institutional Investors.
- Published in:
- Brigham Young University Law Review, 2001, v. 2001, n. 4, p. 1493
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- Article
8
The Information Content of Undisclosed Limit Orders Around Broker Anonymity.
- Published in:
- Australasian Accounting Business & Finance Journal, 2011, v. 5, n. 1, p. 5
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- Article
9
WHAT YOU DO NOT KNOW CAN HURT YOU: HOW THE FINRA EXPUNGEMENT PROCESS IS ENDANGERING FUTURE INVESTORS THROUGH A LACK OF INFORMATION.
- Published in:
- Hofstra Law Review, 2014, v. 42, n. 4, p. 1227
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- Publication type:
- Article
10
The 'F' Word; Raising the Stakes?
- Published in:
- Journal of Financial Planning, 2004, v. 17, n. 1, p. 18
- Publication type:
- Article
11
Broker-Dealer Law Reform.
- Published in:
- Brooklyn Law Review, 2016, v. 81, n. 3, p. 1205
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- Article
12
BROKER-DEALERS FOR VIRTUAL CURRENCY: REGULATING CRYPTOCURRENCY WALLETS AND EXCHANGES.
- Published in:
- Columbia Law Review, 2018, v. 118, n. 8, p. 2323
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- Publication type:
- Article
13
ESCAPING ENTITY-CENTRISM IN FINANCIAL SERVICES REGULATION.
- Published in:
- Columbia Law Review, 2013, v. 113, n. 8, p. 2039
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- Article
14
III. REGULATION OF PRICE COMPETITION.
- Published in:
- Journal of Marketing, 1961, v. 25, n. 3, p. 80
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- Article
15
REFLECTIONS ON THE SECURITIES BROKER AS A FIDUCIARY.
- Published in:
- SMU Law Review, 2015, v. 68, n. 3, p. 845
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- Article
16
Reforming the Regulation of Broker-Dealers and Investment Advisers.
- Published in:
- Business Lawyer, 2010, v. 65, n. 2, p. 395
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- Publication type:
- Article
17
The Responsibility of the Broker-Dealer to the Investing Public (Book).
- Published in:
- American Business Law Journal, 1976, v. 13, n. 3, p. 371, doi. 10.1111/j.1744-1714.1975.tb01429.x
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- Article
18
SELLING ADVICE AND CREATING EXPECTATIONS: WHY BROKERS SHOULD BE FIDUCIARIES.
- Published in:
- Washington Law Review, 2012, v. 87, n. 3, p. 707
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- Publication type:
- Article
19
New Rules Implement the Bank Broker Provisions of the Gramm-Leach-Bliley Act.
- Published in:
- Bank Accounting & Finance (08943958), 2007, v. 21, n. 1, p. 47
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- Article
20
IMYSE Excludes Class Action Suits From Arbitration.
- Published in:
- Arbitration Journal, 1992, v. 47, n. 4, p. 4
- Publication type:
- Article
21
Securities and Exchange Commission Proposals--The Same Old Thing in a Different Wrapper.
- Published in:
- Journal of Financial Service Professionals, 2018, v. 72, n. 4, p. 20
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- Publication type:
- Article
22
AN INTRODUCTION TO PROFESSIONAL LIABILITY.
- Published in:
- Journal of Financial Service Professionals, 2006, v. 60, n. 2, p. 34
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- Publication type:
- Article