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Brokers -- Malpractice -- United States

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• Brokers -- Malpractice
• Brokers -- United States
• Malpractice -- United States

• Stockbrokers -- Malpractice -- United States
• Brokers -- Malpractice -- New Jersey

• Disturbances in the U.S. securities market hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-seventh Congress, second session, on recent developments in the U.S. government securities markets arising from default by Drysdale Government Securities, Inc., May 25, 1982. (U.S. G.P.O., 1982), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Improper activities in the securities industry hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One hundredth Congress, first session, on the Securities and Exchange Commission recent enforcement actions involving allegations of insider trading, market manipulations, fraudulent conduct ... April 22, 1987. (U.S. G.P.O., 1987), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Improper activities in the securities industry : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One hundredth Congress, first session, on the Securities and Exchange Commission recent enforcement actions involving allegations of insider trading, market manipulations, fraudulent conduct ... April 22, 1987. (U.S. G.P.O. :, 1987), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)

• Report pursuant to Section 21(a) of the Securities Exchange Act of 1934 regarding the NASD and the Nasdaq market. (U.S. Securities and Exchange Commission, 1996), by United States Securities and Exchange Commission (page images at HathiTrust)
• Securities litigation abuses : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, first session ... July 24, 1997. (U.S. G.P.O. :, 1998), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Rogue brokers : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, September 14, 1994. (U.S. G.P.O. :, 1995), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• SEC, NASAA (U.S. Securities and Exchange Commission, 2002), by United States Securities and Exchange Commission (page images at HathiTrust)
• SEC, NASAA (U.S. Securities and Exchange Commission, 1998), by United States Securities and Exchange Commission (page images at HathiTrust)

• One broker gone bad : punishing the criminal, making victims whole : hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, second session, May 23, 2002. (U.S. G.P.O. :, 2002), by United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations (page images at HathiTrust)

• Failure of Bevill, Bresler & Schulman, a New Jersey government securities dealer : hearing before a subcommittee of the Committee on Government Operations, House of Representatives, Ninety-ninth Congress, first session, May 15, 1985. (U.S. G.P.O. :, 1985), by Consumer United States. Congress. House. Committee on Government Operations. Commerce (page images at HathiTrust)

Items below (if any) are from related and broader terms.

• A proposal for putting some stop to the extravagant humour of stock-jobbing. ([London : s.n., 1697]) (HTML at EEBO TCP)
• Reasons humbly offered, against a clause in the Bill for regulating brokers, &c. for making void all contracts and agreements already made, concerning bank-notes, bank-stock, and all other joynt-stocks. ([London : s.n., 1700?]) (HTML at EEBO TCP)

• Code of fair competition for investment bankers (Investment bankers code committee, 1934), by Investment bankers code committee and United States (page images at HathiTrust)
• Report on the feasibility and advisability of the complete segregation of the functions of dealer and broker. (U. S. Govt. print. off., 1936), by United States Securities and Exchange Commission, Thomas H. Gammack, Charles R. McCutcheon, Abner Hirsch Goldstone, Sherlock Davis, and David Saperstein (page images at HathiTrust)
• A century of ship agency and brokerage : the story of Funch, Edye & Co., inc., 1847-1947. (Business Biographies, 1947), by Business Biographies (page images at HathiTrust)
• Securities Investor Protection Act Amendment hearing before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-sixth Congress, second session, on H.R. 6831 ... June 3, 1980. (U.S. G.P.O., 1980), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance (page images at HathiTrust)
• Bankruptcy of commodity and securities brokers hearings before the Subcommittee on Monopolies and Commercial Law of the Committee on the Judiciary, House of Representatives, Ninety-seventh Congress, first session, on bankruptcy of commodity and securities brokers, July 23 and September 17, 1981. (U.S. G.P.O., 1984), by United States. Congress. House. Committee on the Judiciary. Subcommittee on Monopolies and Commercial Law (page images at HathiTrust)
• Brokerage and related commercial bank services hearings before the Subcommittee on Securities of the Committee on Banking, Currency, and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, in furtherance of the study of the securities activities of commercial banks ... (U.S. Govt. Print. Off., 1976), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Survey of real estate brokers license laws (Pittsburgh printing company, 1941), by Robert William Semenow and National Association of License Law Officials (page images at HathiTrust; US access only)
• The rights of margin customers against wrongdoing stockbrokers and some other problems in the modern law of pledge (The Plimpton press, 1941), by Edward Henry Warren (page images at HathiTrust)
• Insured brokered deposits and federal depository institutions : hearing before the Subcommittee on General Oversight and Investigations of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, One Hundred First Congress, first session, May 17, 1989. (U.S. G.P.O. :, 1989), by Finance United States. Congress. House. Committee on Banking (page images at HathiTrust)
• Treatise on the law relative to principals, agents, factors, auctioneers, and brokers. (Wait, 1811), by Samuel Livermore (page images at HathiTrust)
• The law of stockbrokers, with reference to transactions for customers on the New York Stock Exchange (Baker, Voorhis and Co., 1914), by Douglas Campbell (page images at HathiTrust)
• The Securities exchange act of 1934, analyzed and explained (F. E. Fitch, inc., 1934), by Charles Harrison Meyer, Sam Rayburn, and Duncan Upshaw Fletcher (page images at HathiTrust; US access only)
• Stockbrokerage law for stockbrokers and their employees (Lincoln printing company, 1937), by Walter Harper Moses (page images at HathiTrust; US access only)
• An examination of the sufficiency of capital adequacy guidelines for government security dealers proposed by the Federal Reserve Bank of New York, New York City : hearing before the Subcommittee on Domestic Monetary Policy of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, Ninety-eighth Congress, second session, May 31, 1984. (U.S. G.P.O., 1984), by Finance United States. Congress. House. Committee on Banking (page images at HathiTrust)
• Impact of brokered deposits on banks and thrifts : risks versus benefits : hearing before the Subcommittee on General Oversight and Investigations of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, Ninety-ninth Congress, first session, July 16, 1985. (U.S. G.P.O., 1985), by Finance United States. Congress. House. Committee on Banking (page images at HathiTrust)
• Survey of the Federal Reserve System's supervision of the Treasury securities market : a discussion paper (U.S. G.P.O., 1985), by Finance United States. Congress. House. Committee on Banking and United States General Accounting Office (page images at HathiTrust)
• Brokerage and related commercial bank services : hearings before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, in furtherance of the study of the securities activities of commercial banks ... (U.S. Govt. Print. Off., 1976), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Brokered deposits : hearing before the Subcommittee on Financial Institutions and Consumer Affairs of the Committee on Banking, Housing, and Urban Affairs, United States Senate, first session, on oversight hearing on the brokered deposits market concerning the benefits and abuses to the economy, the consumer, and the federal insurance system, June 5, 1985. (U.S. G.P.O., 1985), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Investor protection : hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, first[- second] session, on H.R. 6789, H.R. 6793, S. 1642, bills to amend the Securities Act of 1933, as amended, and the Securities Exchange Act of 1934, as amended, to extend disclosure requirements to the issuers of additional publicly traded securites, to provide for improved qualification and disciplinary procedures for registered brokers and dealers, and for other purposes. (U.S. G.P.O., 1964), by United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust)
• A treatise on contracts for future delivery and commercial wagers, including "options," "futures," and "short sales." (Baker, Voorhis & Co., 1886), by T. Henry Dewey (page images at HathiTrust)
• Broker's loans : hearings before the Committee on Banking and Currency, United States Senate, Seventieth Congress, first session, on S. Res. 113, a resolution favoring a restriction of loans by federal reserve banks for speculative purposes. February 9, 29, and March 7, 1928 ... (G.P.O., 1928), by United States Senate Committee on Banking and Currency (page images at HathiTrust)
• Brokers and dealers fees under Securities and Exchange Commission. Hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-second Congress, second session, on H.R. 6846, a bill to amend title V of the Independent Offices Appropriation Act, 1952, with respect to the authority of the Securities and Exchange Commission to prescribe certain fees and charges. April 30 and May 1, 1952. (U.S. Govt. Print. Off., 1952), by United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust)
• Review of SEC records of the demise of selected broker-dealers; staff study for the Special Subcommittee on Investigations of the Committee on Interstate and Foreign Commerce, House of Representatives. Ninety-second Congress, first session . . . (U.S. Govt. Print. Off., 1971), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Special Subcommittee on Investigations (page images at HathiTrust)
• Report to the commission by the Trading & exchange division on secondary distributions of exchange stocks, Feb. 5, 1942. (Trading and Exchange Division, Securities and Exchange Commission, 1942), by United States. Securities and Exchange Commission. Trading and Exchange Division, Walter William Jacobs, Joseph Aloysius Keenan, and Raymond Vernon (page images at HathiTrust)
• Registered investment bankers, January 1, 1935 ... (Investment Bankers Code Committee, 1935), by Investment Bankers Code Committee (page images at HathiTrust; US access only)
• Securities Exchange Act of 1934 as amended. (For sale by the Supt. of Docs., U.S. Govt. Print. Off.]), by United States Securities and Exchange Commission (page images at HathiTrust)
• SEC legislation, 1963. Hearings before a subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, first session, on S. 1642, a bill to amend the Securities act of 1933, as amended, and the Securities exchange act of 1934, as amended, to extend disclosure requirements to the issuers of additional publicly traded securities, to provide for improved qualification and discliplinary procedures for registered brokers and dealers, and for other purposes. (U.S. Govt. Print. Off., 1963), by United States Senate Committee on Banking and Currency (page images at HathiTrust)
• Over-the-counter brokers and dealers. Supplement no. 7-11, Jan. 31, 1941 - May 31, 1941. To directory, published June 30, 1940. (Securities and exchange commission, 1941), by United States Securities and Exchange Commission (page images at HathiTrust)

• Investment bankers and brokers of America. (A. C. Babize, in the 20th century) (page images at HathiTrust)
• Over the counter brokers and dealers registered with the Securities and Exchange Commission as of ... (Securities and Exchange Commission, 1936), by United States Securities and Exchange Commission (page images at HathiTrust)

• Index of releases (The Commission, 1984), by United States Securities and Exchange Commission (page images at HathiTrust)

• Predatory mortgage lending practices : abusive uses of yield spread premiums : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, second session on the issues surrounding the uses and misuses of yield spread premiums in light of the Department of Housing and Urban Development's announced intention of putting out a proposed rule on the Real Estate Resettlement Procedures Act, January 8, 2002. (U.S. G.P.O. :, 2003), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Legislative proposals on reforming mortgage practices : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Tenth Congress, first session, October 24, 2007. (U.S. G.P.O. :, 2008), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• Predatory mortgage lending practices : abusive uses of yield spread premiums : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, second session on the issues surrounding the uses and misuses of yield spread premiums in light of the Department of Housing and Urban Development's announced intention of putting out a proposed rule on the Real Estate Resettlement Procedures Act, January 8, 2002. (U.S. G.P.O. :, 2003), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)

• Wall Street: How it Works and For Whom (1998), by Doug Henwood (PDF with commentary at wallstreetthebook.com)
• Oversight hearing on mutual funds : hidden fees, misgovernance and other practices that harm investors : hearing before the Financial Management, the Budget, and International Security Subcommittee of the Committee on Governmental Affairs, United States Senate, One Hundred Eighth Congress, second session, January 27, 2004. (U.S. G.P.O. :, 2004), by the Budget United States. Congress. Senate. Committee on Governmental Affairs. Subcommittee on Financial Management (page images at HathiTrust)
• Improving the corporate governance of the New York Stock Exchange : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, first session, on broker-dealer self-regulation and regulatory autonomy with market sensitivity, November 20, 2003. (U.S. G.P.O. :, 2005), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The issues surrounding the collapse of Drexel Burnham Lambert : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred First Congress, second session, on lessons to be learned from the Drexel failure and possible regulatory changes, March 2, 1990. (U.S. G.P.O. :, 1990), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• 1916 handbook of curb securities (Charles A. Stoneham and Co., 1916), by Charles A. Stoneham and Co (page images at HathiTrust)
• Handbook of curb mining oil and industrial securities (Charles A. Stoneham and Co., 1918), by Charles A. Stoneham and Co (page images at HathiTrust)
• Securities firms : assessing the need to regulate additional financial activities : report to Congressional committees (The Office ;, 1992), by United States General Accounting Office (page images at HathiTrust)

More items available under broader and related terms at left.