First Page | Document Content | |
---|---|---|
![]() Date: 2013-01-31 11:36:17United States securities law 73rd United States Congress United States Securities and Exchange Commission 106th United States Congress American International Group Commodity Futures Modernization Act Dodd–Frank Wall Street Reform and Consumer Protection Act Derivative Securities Exchange Act Financial economics Finance Financial system | Add to Reading List |
![]() | UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK ----------------------------------------------------------x UNITED STATES SECURITIES AND : EXCHANGE COMMISSION,DocID: 1t6bI - View Document |
![]() | How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ AbstractDocID: 1rpew - View Document |
![]() | SR-FINRANotice of Filing and Immediate EffectivenessDocID: 1rngb - View Document |
![]() | United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued April 14, 2016 Decided June 14, 2016DocID: 1rn4k - View Document |
![]() | COMPENSATION COMMITTEE CHARTER (updated as of JuneI. Purpose and AuthorityDocID: 1rmL5 - View Document |