Broker-dealer operations under securities & commodities law.
This practical guide gives the user insight into managing broker-dealer back-office operational issues and the supervisory responsibilities inherent in them. Covers regulatory structure, net capital requirements, and more.
Saved in:
| Main Authors: | , |
|---|---|
| Format: | Online |
| Language: | English |
| Published: |
[St. Paul, Minnesota] :
Thomson Reuters,
2010-
|
| Subjects: | |
| Online Access: | Coverage: most recent update |
| Tags: |
Add Tag
No Tags, Be the first to tag this record!
|