First Page | Document Content | |
---|---|---|
![]() Date: 2014-10-15 14:50:22Financial regulation Municipal Securities Rulemaking Board Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Credit rating agency Depository Trust & Clearing Corporation Securities market Electronic Municipal Market Access Investor Protection and Securities Reform Act Self-regulatory organizations Financial economics Financial system | 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 |