Kids Library Home

Welcome to the Kids' Library!

Search for books, movies, music, magazines, and more.

     
Available items only
Add Marked to Bag Add All On Page
Subjects (1-6 of 6)
Financial Industry Regulatory Authority
1
E-Book/E-Doc
 

Broker-dealer registration where to file



[Washington, D.C.] : U.S. Securities and Exchange Commission, [2007] 2007

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  SE 1.2:B 78/2    ---  Available
2
E-Book/E-Doc
 

Execution quality statistics how to find information on order execution and routing practices



[Washington, D.C.] : U.S. Securities and Exchange Commission, [2009] 2009

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  SE 1.2:EX 3/2    ---  Available
3
Print Material
 

Financial well-being by state : using data from the Financial Industry Regulatory Authority Foundati



[Washington, D.C.] : Consumer Financial Protection Bureau, 2019. 2019

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  FR 2.2:W 45    ---  Available
4
E-Book/E-Doc
 

Mutual fund classes



[Washington, D.C.] : U.S. Securities and Exchange Commission, [2008] 2008

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  SE 1.2:M 98    ---  Available
5
E-Book/E-Doc
 

Mutual fund fees and expenses



[Washington, D.C.] : U.S. Securities and Exchange Commission, [2007] 2007

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  SE 1.2:M 98/2    ---  Available
6
E-Book/E-Doc
 

Securities regulation opportunities exist to improve SEC's oversight of the Financial Industry Regul


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2012] 2012

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-12-625    ---  Available
Add Marked to Bag Add All On Page
Locate in results
 
    
Available items only