Broker-dealer advisory services 2015 : current legal and compliance issues facing dual registrants /

Broker-dealer advisory services 2015 : current legal and compliance issues facing dual registrants /

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Bibliographic Details
Imprint:New York, N.Y. : Practising Law Institute, c2015.
Description:1 online resource (170 p.) : ill. ; cm.
Language:English
Series:Corporate law and practice course handbook series ; no. B-2150
Corporate law and practice course handbook series ; no. B-2150.
Subject:
Stockbrokers -- Legal status, laws, etc. -- United States.
Investment advisors -- Legal status, laws, etc. -- United States.
Securities -- United States.
Investment advisors -- Legal status, laws, etc.
Securities.
Stockbrokers -- Legal status, laws, etc.
United States.
Format: E-Resource Book
URL for this record:http://pi.lib.uchicago.edu/1001/cat/bib/11446711
Hidden Bibliographic Details
Varying Form of Title:Broker dealer advisory services 2015
Other authors / contributors:Kirsch, Clifford E.
Practising Law Institute.
ISBN:9781402423949
Notes:#58573.
"Prepared for distribution at the Broker-dealer advisory services 2015 : current legal and compliance issues facing dual registrants program, February 18, 2015."
Includes bibliographical references and index.

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