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1
Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S....
[S.l :; Washington : s.n.,; U.S. Government Publishing Office, 2018Subjects: “…Financial Industry Regulatory Authority.…”
Format: Government Document Book
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2
Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S....
[S.l :; Washington : s.n.,; U.S. Government Publishing Office, 2015Subjects: “…Financial Industry Regulatory Authority.…”
Format: Government Document Book
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3
Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S....
Washington : U.S. Government Publishing Office, 2018Subjects: “…Financial Industry Regulatory Authority.…”
Format: Government Document Book
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4
Series 7 exam prep : FINRA series 7 study guide and practice exam questions
[United States] : TPB Publishing, 2020Subjects: “…Financial Industry Regulatory Authority Examinations.…”
Format: Book
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5
Middle market IPO Underwriting Cost Act : report (to accompany H.R. 6324) (including cost estimate of the Congressional Budget Office).
[Washington, D.C.] : [U.S. Government Publishing Office], 2018Subjects:Format: Government Document Book
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6
A practitioner's guide to FINRA sanctions analysis
Chicago, Illinois : American Bar Association, Business Law Section, 2015Subjects: “…Financial Industry Regulatory Authority…”
Format: Book
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7
Middle market IPO Underwriting Cost Act : report (to accompany H.R. 6324) (including cost estimate of the Congressional Budget Office).
[S.l :; [Washington, D.C.] : s.n.,; [U.S. Government Publishing Office], 2018Subjects:Format: Government Document Book
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8
Assessing the Madoff Ponzi scheme and regulatory failures : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on...
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009Subjects:Format: Government Document Book
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9
Assessing the Madoff Ponzi scheme and regulatory failures hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Fi...
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009Subjects:Format: Government Document Book
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10
The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United Sta...
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009Subjects:Format: Government Document Book
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11
The Madoff investment securities fraud regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United State...
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009Subjects:Format: Government Document Book
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12
FinTech, Regtech, and the financial services industry
New York, New York : Practising Law Institute, 2021Subjects:Format: Book
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13
Smart saving for college--better buy degrees : 529 plans and other college savings options.
[Washington, D.C.] : Financial Industry Regulatory Authority, [Pueblo Colo. : Federal Citizen Information Center, ] 2007Format: Book
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14
Building responsive and responsible financial regulators in the aftermath of the global financial crisis
Cambridge : Intersentia Ltd, 2015Table of Contents:Format: Book
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15
Tricks of the trade outsmarting investment fraud
[Washington, DC : FINRA Investor Education Foundation, 2009Format: Video
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16
Game stopped? : who wins and loses when short sellers, social media, and retail investors collide : virtual hearing before the Committee on Financial Services, U.S. House of Repres...
[S.l :; Washington : s.n.,; U.S. Government Publishing Office, 2022; 2021Format: Government Document Book
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17
Game stopped? : who wins and loses when short sellers, social media, and retail investors collide : virtual hearing before the Committee on Financial Services, U.S. House of Repres...
Washington : U.S. Government Publishing Office, 2021Format: Government Document Book
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