First Page | Document Content | |
---|---|---|
![]() Date: 2016-06-15 10:59:39Economy Financial regulation Finance Self-regulatory organizations Canadian law Canadian securities regulation Ontario Securities Commission Canadian Securities Administrators 73rd United States Congress U.S. Securities and Exchange Commission Securities regulation in the United States International Organization of Securities Commissions | Add to Reading List |
![]() | How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ AbstractDocID: 1rpew - View Document |
![]() | n Industry profile Rick McVey, MarketAxess Photos: Claudia Gannon “We’re evolving from a ‘client-to-multi-dealer’ e-trading venue to an ‘all-to-all’ approach thatDocID: 1royv - View Document |
![]() | SR-FINRANotice of Filing and Immediate EffectivenessDocID: 1rngb - View Document |
![]() | Microsoft Wordindex1.docDocID: 1rl1G - View Document |
![]() | JMB_Insurance_(4C)LogoReverseDocID: 1rgcM - View Document |