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  Home > Diane Publishing Books >

Securities Markets: Actions Needed to Better Protect Investors Against Unscrupulous Brokers
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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