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The administration's proposals for financial regulatory reform : hearing before the Committee on Fin

United States. Congress. House. Committee on Financial Services.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010. 2010

The Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Interme

Hague Conference on Private International Law. Permanent Bureau.
Washington : U.S. G.P.O., 2012. 2012

Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediar

United States. Congress. Senate. Committee on Foreign Relations, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2016] 2016

CRS Series: introduction to financial services--118th Congress

Labonte, Marc, author.
[Washington, D.C.] : Congressional Research Service, 2019- 2019

Dodd-Frank Wall Street Reform and Consumer Protection Act : conference report (to accompany H.R. 417

United States. Congress (111th, 2nd session : 2010)
Washington : U.S. G.P.O., 2010. 2010

Examination of the Gramm-Leach-Bliley Act five years after its passage : hearing before the Committe

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2006. 2006

Fair disclosure or flawed disclosure : is Reg FD helping or hurting investors? : hearing before the

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. [Congressional Sales Office], 2001. 2001

Financial services and products the role of the Federal Trade Commission in protecting consumers.

United States. Congress. Senate. Committee on Commerce, Science, and Transportation. Subcommittee on Consumer Protection, Product Safety, and Insurance.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011. 2011

H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. [Congressional Sales Office], 2003. 2003

H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act of 2003 : hearing before the

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2003. 2003

The half trillion dollar ruling, latest Dodd-Frank case narrows "skin-in-the-game" rule

Sykes, Jay B., author.
[Washington, D.C.] : Congressional Research Service, 2018- 2018

The impact of Dodd-Frank on customers, credit, and job creators : hearing before the Subcommittee on

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises, author.
Washington : U.S. G.P.O., 2013. 2013

Implications of the "Volcker Rules" for financial stability : hearing before the Committee on Bankin

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010. 2010

Introduction to financial services.

Shorter, Gary W., author.
[Washington, D.C.] : Congressional Research Service, 2019- 2019

Investor and industry perspectives on investment advisers and broker-dealers

Santa Monica, CA : Rand, c2008. 2008

Investor protection : a review of plaintiffs' attorney abuses in securities litigation and legislati

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2007. 2007

Investor Protection Act of 2009 report together with dissenting views (to accompany H.R. 3817) (incl

United States. Congress. House. Committee on Financial Services.
[Washington, D.C.] : [U.S. G.P.O.], [2010]- 2010

Legislation to repeal mandatory securities arbitration

Shorter, Gary W., author.
[Washington, D.C.] : Congressional Research Service, 2022- 2022

Program improvements needed within the SEC's Division of Enforcement

United States. Securities and Exchange Commission. Office of Audits.
Washington, D.C. : U.S. Securities and Exchange Commission, [2009] 2009

Pushing back the pushouts : the SEC's broker-dealer rules : joint hearing before the Subcommittee on

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 2001. 2001

Rating the rating agencies : the state of transparency and competition : hearing before the Subcommi

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2003. 2003

Regulation of securities, markets, and transactions a guide to the new environment

Collins, Patrick S., 1940-
Hoboken, N.J. : Wiley, 2011. 2011