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Stockbrokers -- Malpractice -- United States

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• 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)

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)

• 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)

• 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)

• 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)

• Government-sponsored enterprises : changes in securities distribution process and use of derivative products : briefing report to the Chairman, Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives (The Office ;, 1993), by United States General Accounting Office and United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)

• Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds. (The Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission, 1998), by United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations (page images at HathiTrust)

• Arbitration procedures (U.S. Securities and Exchange Commission, 1992), by United States Securities and Exchange Commission and Securities Industry Conference on Arbitration (page images at HathiTrust)

• Sketch of the formation and progress of the Baltimore Stock Board. : June 23, 1865. (J.F. Wiley, printer, s.w. cor. Baltimore and Calvert Sts., 1865), by Md.) Baltimore Stock Board (Baltimore (page images at HathiTrust)

• Stock brokers and the "Wagering Contracts Act" in Massachusetts. (Printed for the Governing Committee of the Boston Stock Exchange, 1919), by Boston Stock Exchange. Governing Committee (page images at HathiTrust)

• Michigan blue sky law (Michigan Corp. and Securities Commission, Securities Division, 1965), by Michigan, Michigan. Corporation and Securities Commission, and Michigan. Legislative Service Bureau (page images at HathiTrust; US access only)

• Securities activities of First Jersey Securities, Inc., and Robert Brennan, owner and former chairman : a staff report (U.S. G.P.O. :, 1987), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)

• A concise method of keeping the accounts and stock transfers of railroad and other corporate agencies, in the city of New York. (Nathan Lane & co., 1858), by John J. Hill and Nathan Lane & Co (page images at HathiTrust)

• The Stock Exchange in caricature : a private collection of caricatures, cartoons and character sketches of members of the New York Stock Exchange, humorously portraying their fads and foibles, and conveying the jovial spirit and good fellowship underlying the serious side of everyday life "on 'change" (Abram Stone publisher, 1904), by George E. Croscup, Emil Flohri, J. C. Fireman, Richard Felton Outcault, F. Gilbert Edge, Archie Gunn, Henry Mayer, Dan Smith, Charles Green Bush, Thomas Nast, Clay Meredith Greene, and N.Y.) Miller Press (New York (page images at HathiTrust)

• These firms are members of the New York Stock Exchange and are subject to the rules of the exchange. ([New York], 1922), by New York Stock Exchange (page images at HathiTrust)

• Issues and perspectives in enforcing corporate governance : the experience of the state of New York : hearing before the Subcommittee on Consumer Affairs, Foreign Commerce and Tourism of the Committee on Commerce, Science, and Transportation, United States Senate, One Hundred Seventh Congress, second session, June 26, 2002. (U.S. G.P.O. :, 2006), by Science United States. Congress. Senate. Committee on Commerce (page images at HathiTrust)

• The law of stockbrokers : including the law relating to transactions for customers on the New York Stock Exchange (Baker, Voorhis, 1922), by Douglas Campbell (page images at HathiTrust)

• Mutual fund industry practices and their effect on individual investors : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, first session, March 12, 2003. (U.S. G.P.O. :, 2003), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• Mutual Funds Integrity and Fee Transparency Act of 2003 : report (to accompany H.R. 2420) (including cost estimate of the Congressional Budget Office). (U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 2003), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• HR 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003 (U.S. G.P.O. :, 2003), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• Effect of the absence of fixed rates of commissions. (Securities Exchange Commission, 1975), by United States Securities and Exchange Commission (page images at HathiTrust)

• HR 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and HR 957, the Broker Accountability Through Enhanced Transparency Act of 2003 (U.S. G.P.O. :, 2003), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• A treatise on the law of stock-brokers and stock-exchanges (Harper & Bros., 1882), by John R. Dos Passos (page images at HathiTrust)
• Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991. (U.S. G.P.O. :, 1991), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009. (U.S. G.P.O. :, 2010), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011. (U.S. G.P.O. :, 2012), by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises (page images at HathiTrust)
• Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010 (U.S. G.P.O. :, 2011), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• Guide to broker-dealer compliance : report of the Advisory Committee on a Model Broker-Dealer Compliance Program. (The Commission, 1974), by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and United States Securities and Exchange Commission (page images at HathiTrust)

• Legal topics relating to medical malpractice : report. (Dept. of Health, Education, and Welfare, Public Health Service, 1977), by American Bar Association. Fund for Public Education (page images at HathiTrust)
• Legal aspects of PHS medical care (U.S. Dept. of Health, Education, and Welfare, Public Health Service, Bureau of Medical Services; [for sale by the Superintendent of Documents, U.S. Govt. Print. Off., 1966), by Eli P. Bernzweig and United States. Public Health Service. Bureau of Medical Services (page images at HathiTrust; US access only)
• Malpractice law dissected for quick grasping. (Medicine-Law Press, 1962), by Charles Louis Cusumano (page images at HathiTrust)
• Doctor and patient and the law. (C. V. Mosby Co., 1956), by Louis J. Regan (page images at HathiTrust)
• Civil malpractice: a treatise on surgical jurisprudence. With chapters on skill in diagnosis and treatment, prognosis in fractures, and on negligence. (Hurd and Houghton; Boston, H. O. Houghton & company, 1877), by Milo A. McClelland (page images at HathiTrust)
• Doctor and patient and the law. (C.V. Mosby Co., 1949), by Louis J. Regan (page images at HathiTrust)
• Medical malpractice; report. (Dept. of Health, Education, and Welfare; [for sale by the Supt. of Docs., U. S. Govt. Print. Off.], 1973), by United States. Secretary's Commission on Medical Malpractice and Wendell G. Freeland (page images at HathiTrust; US access only)
• Protecting Medicare and Medicaid patients from sanctioned health practitioners hearing before the Special Committee on Aging, United States Senate, Ninety-eighth Congress, second session, Washington, DC, May 1, 1984. (U.S. G.P.O., 1984), by United States Senate Special Committee on Aging (page images at HathiTrust)
• Medical malpractice claims by Armed Forces personnel hearing before the Subcommittee on Administrative Law and Governmental Relations of the Committee on the Judiciary, House of Representatives, Ninety-eighth Congress, first session on H.R. 1942 ... April 13, 1983. (U.S. G.P.O., 1984), by United States. Congress. House. Committee on the Judiciary. Subcommittee on Administrative Law and Governmental Relations (page images at HathiTrust)
• Defensive medicine and medical malpractice hearing before the Committee on Labor and Human Resources, United States Senate, Ninety-eighth Congress, second session ... July 10, 1984. (U.S. G.P.O., 1984), by United States Senate Committee on Labor and Human Resources (page images at HathiTrust)
• Defensive medicine and medical malpractice. (United States Congress, Office of Technology Assessment, 1994), by United States Congress Office of Technology Assessment (page images at HathiTrust)
• Medical malpractice liability : hearing before the Subcommittee on Medicare and Long-Term Care of the Committee on Finance, United States Senate, One Hundred Second Congress, first session, October 18, 1991. (U.S. G.P.O. :, 1992), by United States. Congress. Senate. Committee on Finance. Subcommittee on Medicare and Long-Term Care (page images at HathiTrust)
• Medical malpractice and antitrust issues in health care reform : hearing before the Committee on Finance, United States Senate, One Hundred Third Congress, second session, May 12, 1994. (U.S. G.P.O. :, 1995), by United States. Congress. Senate. Committee on Finance (page images at HathiTrust)
• Medical malpractice reform : hearing before the Subcommittee on Courts and Administrative Practice of the Committee on the Judiciary, United States Senate, One Hundred Third Congress, second session, on a hearing to determine whether Congress should federalize a law in the health care package on medical malpractice reform, May 24, 1994. (U.S. G.P.O. :, 1995), by United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Courts and Administrative Practice (page images at HathiTrust)
• Medical malpractice : a framework for action : report to Congressional requesters (The Office, 1987), by United States General Accounting Office (page images at HathiTrust)
• Carmelo Rodriguez Military Medical Accountability Act of 2009 : hearing before the Subcommittee on Commercial and Administrative Law of the Committee on the Judiciary, House of Representatives, One Hundred Eleventh Congress, first session, on H.R. 1478, March 24, 2009. (U.S. G.P.O. :, 2009), by United States. Congress. House. Committee on the Judiciary. Subcommittee on Commercial and Administrative Law (page images at HathiTrust)
• A medico-legal treatise on malpractice and medical evidence, comprising the elements of medical jurisprudence. (Baker, Voorhis, 1866), by John J. Elwell (page images at HathiTrust)
• Carmelo Rodriguez Military Medical Accountability Act of 2009 : report together with dissenting views (to accompany H. R. 1478) (including cost estimate of the Congressional Budget Office). (U.S. G.P.O., 2010), by United States House Committee on the Judiciary (page images at HathiTrust)
• Health Care Quality Improvement Act of 1986 : hearings before the Subcommittee on Civil and Constitutional Rights of the Committee on the Judiciary, House of Representatives, Ninety-ninth Congress, second session on H.R. 5540 ... October 8 and 9, 1986. (U.S. G.P.O. :, 1987), by United States. Congress. House. Committee on the Judiciary. Subcommittee on Civil and Constitutional Rights (page images at HathiTrust)
• Medical malpractice suits for armed services personnel : hearing before the Subcommittee on Courts and Administrative Practice of the Committee on the Judiciary, United States Senate, One Hundredth Congress, second session on S. 2490 ... and H.R. 1054 ... June 17, 1988. (U.S. G.P.O. :, 1989), by United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Courts and Administrative Practice (page images at HathiTrust)
• Medical malpractice : a report prepared at the request of the House Committee on Ways and Means (U.S. G.P.O. :, 1990), by United States. Congress. House. Committee on Ways and Means, Library of Congress. Congressional Research Service. American Law Division, and Library of Congress. Education and Public Welfare Division (page images at HathiTrust)
• Medical malpractice (M. Bender, 1960), by David W. Louisell and Harold Williams (page images at HathiTrust; US access only)
• Civil malpractice. A report presented to the Military Tract Medical Society, at its fifteenth semi-annual meetinf, January 14, 1873. (W. B. Keen, Cooke & Co., 1873), by M. A. McClelland (page images at HathiTrust)
• Appendix : report of the Secretary's Commission on Medical Malpractice : reports, studies, and analysis. (Dept. of Health, Education, and Welfare : for sale by the Supt. of Docs., U.S. Govt. Print. Off., 1973), by United States. Secretary's Commission on Medical Malpractice (page images at HathiTrust)
• Thrift failures : actions needed to stabilize RTC's professional liability program : report to the Chairman, Committee on Banking, Housing and Urban Affairs, U.S. Senate (The Office ;, 1993), by United States General Accounting Office and Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• A medico-legal treatise on malpractice and medical evidence : comprising the elements of medical jurisprudence (John S. Voorhis, 1860), by John J. Elwell (page images at HathiTrust)
• A medicolegal treatise on malpractice and medical evidence : comprising the elements of medical jurisprudence (Baker, Voorhis, 1871), by John J. Elwell (page images at HathiTrust)
• Malpractice law dissected for quick grasping (Medicine-Law Press, 1963), by Charles Louis Cusumano (page images at HathiTrust; US access only)

More items available under broader and related terms at left.