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Stockbrokers

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Broader term:

Brokers

Narrower terms:

Used for:

Securities dealers
Investment brokers
Stock brokers
Security traders
Stock brokerage firms

Filed under: Stockbrokers

Uniform securities act (blue sky law) : act no. 265 of 1964 public acts : effective January 1, 1965 / ([Lansing : 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)
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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. [Congressional Sales Office], 2002), by United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations (page images at HathiTrust)
Arbitration procedures / ([Washington, D.C.? : U.S. Securities and Exchange Commission, 1992]), by United States Securities and Exchange Commission and Securities Industry Conference on Arbitration (page images at HathiTrust)
Accounting methods of banks ; Operating on the New York Stock Exchange ; Stock-brokerage accounting methods ; Accounts for steam roads ; Accounts for mining companies ; Accounts for insurance companies ; Municipal accounting ; Graphs ; C.P.A. questions and answers. (Scranton : International Textbook Co., 1921, c1915-1920), by International Correspondence Schools (page images at HathiTrust)
Securities firms : assessing the need to regulate additional financial activities : report to Congressional committees / (Washington, D.C. : The Office ; Gaithersburg, MD (P.O. Box 6015, Gaithersburg 20877) : The Office [distributor, 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 / (Washington, D.C. : The Office ; Gaithersburg, MD (P.O. Box 6015, Gaithersburg 20884-6015) : The Office [distributor, 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)
Alerta sobre las llamadas telefońicas para ventas de inversiones : el telef́ono suena -- sera ́un problema? ([Washington, D.C.] : U.S. Securities and Exchange Commission, [2002]), by United States Securities and Exchange Commission (page images at HathiTrust)
A treatise on the law of stock-brokers and stock-exchanges / (New York : Harper & Bros., 1882), by John R. Dos Passos (page images at HathiTrust)
Handbook of curb mining oil and industrial securities (New York : Charles A. Stoneham and Co., 1918 [c1917]), by Charles A. Stoneham and Co (page images at HathiTrust)
Curb, mining, oil and industrial securities : 1916 handbook (New York : Charles A. Stoneham and Co., c1916), by Charles A. Stoneham and Co (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 2003), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker Accountability Through Enhanced Transparency Act of 2003 : 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 6, 2003. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 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). ([Washington, D.C. : 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)
H.R. 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003 : 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, June 18, 2003. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 2003), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
The law of stockbrokers : including the law relating to transactions for customers on the New York Stock Exchange / (New York : Baker, Voorhis, 1922), by Douglas Campbell (page images at HathiTrust)
Sketch of the formation and progress of the Baltimore Stock Board. : June 23, 1865. ([Baltimore, Md.] : J.F. Wiley, printer, s.w. cor. Baltimore and Calvert Sts., [1865]), by Md.) Baltimore Stock Board (Baltimore (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)
Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds. ([Washington, D.C.?] : 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)
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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Off., 1991), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1995), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1990), by Housing United States. Congress. Senate. Committee on Banking (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2006), by Science United States. Congress. Senate. Committee on Commerce (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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1998), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
Securities activities of First Jersey Securities, Inc., and Robert Brennan, owner and former chairman : a staff report / (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, 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)
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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2005), 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. ([Washington, D.C.?] : U.S. Securities and Exchange Commission, [1996]), by United States Securities and Exchange Commission (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" / (New York : 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)
Stock brokers and the "Wagering Contracts Act" in Massachusetts. (Boston : Printed for the Governing Committee of the Boston Stock Exchange, 1919), by Boston Stock Exchange. Governing Committee (page images at HathiTrust)
Cold calling alert : the phone rings-- is there trouble on the line? : hello? ([Washington, D.C.] : U.S. Securities and Exchange Commission, [1998]), by United States Securities and Exchange Commission (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 (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010), 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. ([Washington, D.C.] : 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)
Special study of securities markets : reports. (Washington : U.S. Govt. Print. Off., 1963-), by United States Securities and Exchange Commission and United States House Committee on Interstate and Foreign Commerce (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., 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)
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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., 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)

Filed under: Stockbrokers -- England

To the most honorable assemblie the Commons House of Parliament, the humble petition of the English brokers lawfully admitted to deale betweene marchants in London: ([London : s.n., 1621]) (HTML at EEBO TCP)

Filed under: Stockbrokers -- Malpractice -- England -- Early works to 1800

Filed under: Stockbrokers -- Juvenile fiction

The Boy Broker; Or, Among the Kings of Wall Street, by Frank Andrew Munsey (Gutenberg ebook)
Helping himself, or, Grant Thornton's ambition (Philadelphia: Henry T. Coates & Co., 1886), by Horatio Alger (page images at Florida)

Filed under: Stockbrokers -- United States

Wall Street: How it Works and For Whom (1998), by Doug Henwood (PDF with commentary at wallstreetthebook.com)

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

Filed under: Brokers

Code de la bourse : ou exposé méthodique de la législation et de la jurisprudence belges : sur les bourses de commerce, les agents de change, et les opérations de bourse : suivi des documents officiels / (Paris : A. Marescq, 1876), by Louis Bastiné and etc Belgium. Laws (page images at HathiTrust)
A treatise on the law of stock brokers. (Philadelphia, J.B. Lippincott & Co., 1882), by Arthur Biddle and George Biddle (page images at HathiTrust)
De constitutione et juribus factorum seu institorum, factorn, buchhaltern, & c. / (Giessae Hassorum, 1684), by Huldreich von Eyben and Conrad Caspar Schuemacher (page images at HathiTrust)
Securities Investor Protection Act Amendment [microform] : 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. (Washington : 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)
Disturbances in the U.S. securities market [microform] : 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. (Washington : U.S. G.P.O., 1982), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
Bankruptcy of commodity and securities brokers [microform] : 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. (Washington : 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)
Improper activities in the securities industry [microform] : 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. (Washington : U.S. G.P.O., 1987), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
Brokerage and related commercial bank services [microform] : 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 ... (Washington : U.S. Govt. Print. Off., 1976), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
Corredores de comercio / (Buenos Aires : Impr., Litografía y Encuadernación de J. Peuser, 1892), by Eliseo A. Castellano (page images at HathiTrust; US access only)
A century of ship agency and brokerage : the story of Funch, Edye & Co., inc., 1847-1947. (New York : Business Biographies, [1947?]), by Business Biographies (page images at HathiTrust; US access only)
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 . . . (Washington : 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)
On buying and selling securities through a member of a stock exchange. (New York, Baker, Voorhis and company, 1896), by Eliot Norton (page images at HathiTrust; US access only)
Brokerage accounts; a treatise on the business of brokerage, its accounting books and records, (New York, The Ronald press company, 1916), by Frederick Simson Todman (page images at HathiTrust; US access only)
A legal guide for Wisconsin real estate brokers. (Madison, Wis., Wisconsin Real estate brokers' board, [1938?]), by Wisconsin Real Estate Brokers' Board (page images at HathiTrust; US access only)
A handbook of stock exchange laws affecting members, their customers, brokers and investors / (Garden City, N. Y. : Doubleday, Page, 1914), by Samuel P. Gilman (page images at HathiTrust)
Laws relating to state banks and trust companies, savings banks and industrial banks, building and loan associations, private bankers, brokers and small loan licensees and to the sale of securities ... ([Meridan, The Journal press], 1933), by statutes Connecticut. Laws and Connecticut. Bank Commissioners (page images at HathiTrust; US access only)
Bankers and brokers directory with list of lawyers and accountants. (New York : Williams & Co.,) (page images at HathiTrust)
Wall street accounting; a description of the business of brokerage, its accounting records and procedure, (New York, The Ronald press company, 1921), by Frederick Simson Todman (page images at HathiTrust; US access only)
A treatise on the law of agency, including special classes of agents, attorneys, brokers and factors, auctioneers, masters of vessels, etc., etc., (St. Paul, Minn., Keefe-Davidson co., 1905), by William Lawrence Clark and Henry Heckerman Skyles (page images at HathiTrust; US access only)
Décret du 7 octobre 1890 portant règlement da̓dministration publique pour le̓xécution de la̓rticle 90 du Code de commerce et de la Loi du 28 mars 1885 sur les marchés à terme, modifié par le décret du 29 juin 1898. (Paris, Chambre syndicale des agents de change, 1898), by etc France. Laws (page images at HathiTrust; US access only)
L'argent : rentiers, agioteurs, millionnaires / (Paris : Ledoyen, 1857), by Jules Vallès (page images at HathiTrust)
La profession d'agent de change; ses droits et ses responsabilités. (Paris, Librairie générale de droit et de jurisprudence, 1888), by Abel Waldmann (page images at HathiTrust; US access only)
The Securities exchange act of 1934, analyzed and explained (New York, N.Y., F. E. Fitch, inc., [c1934]), by Charles Harrison Meyer, Sam Rayburn, and Duncan Upshaw Fletcher (page images at HathiTrust; US access only)
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. (Washington : U.S. Govt. Print. Off., 1952), by United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust)
An essay on brokers and factors, or commission merchants : including a commentary on the factors' act. (Albany, Weed, Parsons and company, 1870), by Isaac Edwards and Great Britain (page images at HathiTrust)
A treatise on the law of agency, including not only a discussion of the general subject, but also special chapters on attorneys, auctioneers, brokers and factors, (Chicago, Callaghan, 1914), by Floyd R. Mechem (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1987), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
Regulation of over-the-counter markets. Hearings before the Committee on banking and currency, United States Senate, Seventy-fifth Congress, third session, on S. 3255, (Washington, U. S. Govt. print. off., 1938), by United States Senate Committee on Banking and Currency (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. (Washington : U.S. G.P.O., 1985), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
Compilation of releases dealing with matters arising under the Securities exchange act of 1934 and Investment advisers act of 1940. ([Washington : For sale by the Supt. of Docs., U.S. Govt. Print. Off.], 1968), by United States Securities and Exchange Commission (page images at HathiTrust)
Report to the Commission by the Trading & Exchange Division on floor trading, January 15, 1945. ([Philadelphia, Pa.], 1945), by Raymond Vernon and United States Securities and Exchange Commission (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 ... (Washington : U.S. Govt. Print. Off., 1976), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
You and your broker; your duties and rights as customer, his obligations to you as an agent; a handbook for investors and traders which explains the terms and the methods of brokerage. ([New York, The McConnell Printing Co., c1917]), by Robert Lincoln Smitley (page images at HathiTrust)
Manual del banquero, del agente de bolsa y del corredor de cambios / (Madrid : Libr. Hijos de Gabriel Sánchez, 1864), by Angel Henry (page images at HathiTrust)
You and your broker; your duties and rights as customer, his obligations to you as an agent, (New York, The Magazine of Wall Street, [c1920]), by Robert Lincoln Smitley (page images at HathiTrust)
Code of fair competition for investment bankers, ([Washington, D.C.] Investment bankers code committee, [1934]), by Investment bankers code committee and United States. National recovery administration. Code of fair competition for investment bankers (page images at HathiTrust)
Report on the feasibility and advisability of the complete segregation of the functions of dealer and broker. (Washington, 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)
The rights of margin customers against wrongdoing stockbrokers and some other problems in the modern law of pledge, ([Norwood, Mass, The Plimpton press, c1941]), by Edward Henry Warren (page images at HathiTrust)
Index of releases / ([Washington, D.C.?] : The Commission, 1984-), by United States Securities and Exchange Commission (page images at HathiTrust)
Commodity Futures Improvements Act of 1991 : hearing before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred Second Congress, first session, on H.R. 707, February 19, 1991. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1991), by Credit United States. Congress. House. Committee on Agriculture. Subcommittee on Conservation (page images at HathiTrust)
Audits of brokers or dealers in securities by independent certified public accountants. (New York, [1956]), by American Institute of Certified Public Accountants. Committee on Auditing Procedure (page images at HathiTrust; US access only)
Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1994), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
Stockbrokers' accounts / (London : Gee & Co., 1908), by W. D. Callaway (page images at HathiTrust; US access only)
A treatise on contracts for future delivery and commercial wagers, including "options," "futures," and "short sales." (New York, Baker, Voorhis & Co., 1886), by T. Henry Dewey (page images at HathiTrust)
The law of stockbrokers, including the law relating to transactions for customers on the New York stock exchange. (New York, Baker, Voorhis & co., 1914), by Douglas Campbell (page images at HathiTrust)
Brokerage accounts [microform]; a treatise on the business of brokerage, its accounting books and records, (New York, The Ronald Press Company, 1916), by Frederick Simson Todman (page images at HathiTrust)
Stockbrokers' accounts [microform] / (London : Gee & Co., 1908), by W. D. Callaway (page images at HathiTrust; US access only)
Index to Investor protection hearings : before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, first and second sessions, H.R. 6789, H.R. 6793 and S. 1642 / ([Washington, D.C. : Securities and Exchange Commission Library, 1964?]), by Chester Dunton, United States. Securities and Exchange Commission. Library, and United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust)
Opportunities in the securities business: brokerage, investment banking, investment counseling, mutual funds. (New York : Vocational Guidance Manuals, [©1963]), by Sam Shulsky (page images at HathiTrust; US access only)
Proposed restrictions on money brokers : hearing before a subcommittee of the Committee on Government Operations, House of Representatives, Ninety-eighth Congress, second session, March 14, 1984. (Washington : U.S. G.P.O., 1984), by Consumer United States. Congress. House. Committee on Government Operations. Commerce (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. (Washington : U.S. G.P.O. : [For sale by the Supt. of Docs., U.S. G.P.O., Congressional Sales Office], 1984), by United States. Congress. House. Committee on the Judiciary. Subcommittee on Monopolies and Commercial Law (page images at HathiTrust)
Illinois Loan Brokers Act of 1995. ([Springfield, Ill.] : Illinois Securities Dept., [1997]), by Illinois and Illinois. Securities Dept (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 ... (Washington : G.P.O., 1928), by United States Senate Committee on Banking and Currency (page images at HathiTrust)
SEC oversight : hearings before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, on SEC oversight, authorization, and other matters--H.R. 1602, H.R. 1603, and H.R. 1604, March 21, 1985, SEC oversight, March 5, 1986. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1986), by Consumer Protection United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications (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. (Washington : U.S. G.P.O. : [For sale by the Supt. of Docs., U.S. G.P.O., Congressional Sales Office], 1985), by Consumer United States. Congress. House. Committee on Government Operations. Commerce (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. (Washington : 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 / (Washington : 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)
Report to the commission by the Trading & exchange division on secondary distributions of exchange stocks, Feb. 5, 1942. ([Washington] 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)
Rules and regulations relating to customhouse brokers. (Washington [Govt. Print. Off.], 1936), by United States Department of the Treasury (page images at HathiTrust)
Over-the-counter brokers and dealers registered with the Securities and Exchange Commission as of... (Washington, D.C. [etc.] : Securities and Exchange Commission, 1936-), by United States Securities and Exchange Commission (page images at HathiTrust)
Investment bankers and brokers of America (New York ëtc.,̈ A.C. Babize ëtc.) (page images at HathiTrust)
Registered investment bankers, January 1, 1935 ... (Washington, D.C., Investment Bankers Code Committee, [1935]), by Investment Bankers Code Committee (page images at HathiTrust; US access only)
The law of stockbrokers, with reference to transactions for customers on the New York Stock Exchange, (New York, Baker, Voorhis and Co., 1914), by Douglas Campbell (page images at HathiTrust)
On short sales of securities through a stockbroker / (New York : J. McBride, 1907), by Eliot Norton (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. (Washington : U.S. G.P.O., 1964), by United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust)
Stockbrokers' accounts. (London, Gee & co., 1902), by William Dale Callaway (page images at HathiTrust; US access only)
Brokerage, (New York, Universal Business Institute, Inc., c1910), by Edwin Griswold Nourse (page images at HathiTrust)
Manuel des agents de change : banque, finance et commerce : contenant les lois, règlements et actes officiels qui régissent et intéressent l'exercice de leurs fonctions ... 1304-1893. (Paris : A. Rousseau, 1893), by France) Compagnie des agents de change (Paris (page images at HathiTrust; US access only)
A treatise on the laws relating to factors and brokers. (London : S. Sweet [etc.], 1844), by John A. Russell (page images at HathiTrust)
Handling a brokerage account, (Boston : American Institute of Finance, [c1922]), by Robert Lincoln Smitley and American Institute of Finance (page images at HathiTrust)
The law of stock exchanges, stockbrokers & customers : the legal relations between customers, brokers and stock exchanges, the National Securities and Exchange Act, national and state decisions, the regulations of the New York Stock Exchange and the Stock Clearing Corporation / (St. Paul, Minn. : West Publishing Co. ; New York, N.Y. : The Edward Thompson Co., 1940), by William Harman Black (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. (Washington : U.S. Govt. Print. Off., 1963), by United States Senate Committee on Banking and Currency (page images at HathiTrust)
Stockbrokerage law for stockbrokers and their employees, (Chicago, New York : Lincoln printing company, 1937), by Walter Harper Moses (page images at HathiTrust; US access only)
The work of the cashier's cage, (New York : Doubleday, Page & company for Investment bankers' association of America, 1923), by Frederick Simson Todman (page images at HathiTrust)
The stockbroker's office : organisation, management and accounts / (London : New York : Sir I. Pitman, 1923), by Julius E. Day (page images at HathiTrust; US access only)
Course of study for brokerage, stock exchange, investment banking; including a section on economic factors affecting prices, (New York, N.Y., Dixie business book shop, 1923), by Robert Lincoln Smitley (page images at HathiTrust)
Managing your brokerage account, (New York, G.P. Putnam's, 1923), by William Winfield Spaid and Enoch Burton Gowin (page images at HathiTrust)
Stock exchange law, with special reference to the New York Stock Exchange and New York law, (New York : Ronald Press Co., 1923), by Samuel P Gilman and New York (State) (page images at HathiTrust; US access only)
A handbook of stock exchange laws : affecting members, their customers, brokers and investors / (Albany, N.Y. : Mathew Bender, 1915), by Samuel P. Goldman (page images at HathiTrust)
Treatise on the law relative to principals, agents, factors, auctioneers, and brokers. (Boston, Wait, 1811), by Samuel Livermore (page images at HathiTrust)
Lov om kommission : handelsagentur og handelsreisende av 30. juni 1916 / (Kristiania : J.W. Cappelen, [1916]), by Nicolay Lysholm Bugge and Norway (page images at HathiTrust; US access only)
Förslag till lag om kommission, handelsagentur och handelsresande : äfvensom till lag om ändrad lydelse af 2 ss i Förordningen den 4 maj 1855 angående handelsböcker och handelsräkningar, afgifna af därtill utsedda kommitterade. (Stockholm : I. Marcus' boktryckeri-aktiebolag, 1913), by Sweden and Sweden. Obligationsrättskommittén (page images at HathiTrust; US access only)
Report. ([Sacramento, 1949]), by California. Legislature. Joint Committee on Lending Transactions (page images at HathiTrust; US access only)
New York law of real estate brokerage, (New York : The Ronald press company, [c1929]), by Alexander Pfeiffer (page images at HathiTrust)
Securities Exchange Act of 1934 as amended. ([Washington : For sale by the Supt. of Docs., U.S. Govt. Print. Off.]), by United States Securities and Exchange Commission (page images at HathiTrust)
Brokerage accounting, (New York, N.Y. : Business text-book publishers, inc., c1938), by Homer St. Clair Pace (page images at HathiTrust)
Audits of brokers or dealers in securities by independent certified public accountants. (New York, [1956]), by American Institute of Certified Public Accountants. Committee on Auditing Procedure (page images at HathiTrust)
Wall street procedure, with special reference to brokers' accounts, (New York, Greenberg, [c1930]), by De Witt Carl Eggleston (page images at HathiTrust; US access only)
Federal Broker-Dealer Insurance Corporation : hearings ... Ninety-first Congress, second session, on S. 2348, S. 3988, and S. 3989, bills to provide greater protection for customers of registered brokers and dealers and members of national securities exchanges. (Washington, U.S. Govt. Print. Off., 1970), by United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities (page images at HathiTrust)
Oversight hearing on Section 529 college savings plans : high fees, inadequate disclosure, disparate state tax treatment, and questionable broker sales practices : 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, September 30, 2004. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2005), by the Budget United States. Congress. Senate. Committee on Governmental Affairs. Subcommittee on Financial Management (page images at HathiTrust)
Finance and industry : the New York Stock Exchange : banks, bankers, business houses, and moneyed institutions : the great metropolis of the United States : copyrighted. (New York ; Philadelphia : Historical Publishing Company, 1886), by Historical Publishing Company (N.Y.) (page images at HathiTrust)

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