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Securities Markets: Actions Needed to Better Protect Investors Against Unscrupulous Brokers
Our Price:
$
30.00
Year:
1994
Pages:
47
Binding
Paperback
Product Code:
0788118587
Description
. Reviews the oversight & disciplinary actions of the Securities & Exchange Commission (SEC) & several of the securities industry’s self regulatory organizations (SRO) against unscrupulous brokers - individuals licensed to sell securities who have committed a significant breach of sales practice rules or have a history of repeated sales practice violations.
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