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Displaying 1-50 of 504 results
Les intermédiaires financiers: l'agent de change.
- Text
- [Paris, Dunod, 1971]
- 1971
- 1 Item
Item details Format Call Number Item Location Text JFC 71-959 Schwarzman Building - General Research Room 315 Available - Can be used on site. Please visit New York Public Library - Schwarzman Building to submit a request in person.
Le borse e i contratti di borsa.
- Text
- [Torino], Unione tipografico-editrice torinese, 1970.
- 1970
- 1 Item
Item details Format Call Number Item Location Text JLE 72-755 Offsite Reasonable public rates for brokerage commissions; a report to the cost and Revenue Committee of the New York Stock Exchange.
- Text
- New York, 1970.
- 1970
- 2 Items
Item details Format Call Number Item Location Text JLF 72-974 v. 1 Offsite Item details Format Call Number Item Location Text JLF 72-974 v. 2 Offsite Audits of brokers and dealers in securities.
- Text
- New York, American Institute of Certified Public Accountants [1973]
- 1973
- 1 Item
Item details Format Call Number Item Location Text JLD 74-1807 Offsite 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 securities, to provide for improved qualification and disciplinary procedures for registered brokers and dealers, and for other purposes ...
- Text
- Washington, U. S. Govt. Print. Off., 1964.
- 1964
- 2 Items
Item details Format Call Number Item Location Text JLE 70-490 Pt. 1 Offsite Item details Format Call Number Item Location Text JLE 70-490 Pt. 2 Offsite Agentes de cambio y bolsa y corredores colegiados de comercio. Breve estudio comparativo de amblas instituciones mercantiles según la legislación española a partir de la creación de la primera Bolsa en Madrid en 10 de Septiembre de 1831. Apéndice de disposiciones en las que se fundamenta el estudio.
- Text
- Valencia, Fomento de Cultura (1971)
- 1971
- 2 Items
Item details Format Call Number Item Location Text JLD 73-2176 tomo 1 Offsite Item details Format Call Number Item Location Text JLD 73-2176 tomo 2 Offsite Stock brokerage commissions: the development and application of standards of reasonableness for public rates. A report ... To the Cost and Revenue Committee of the New York Stock Exchange.
- Text
- [New York] 1970.
- 1970
- 1 Item
Item details Format Call Number Item Location Text JLM 73-1033 v. 1 Offsite 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 disciplinary procedures for registered brokers and dealers, and for other purposes ...
- Text
- Washington, U. S. Govt. Print. Off., 1963.
- 1963
- 1 Item
Item details Format Call Number Item Location Text JLE 70-334 Offsite Law on foreign securities firms (Law no. 5 of 1971) [microform] a preliminary translation.
- Text
- [Tokyo] Japan Securities Research Institute, 1971.
- 1971
Securities industry study. Hearing[s], Ninety-second Congress, first-[second] session.
- Text
- Washington, U. S. Govt. Print. Off., 1971-72.
- 1971-1972
- 2 Items
Item details Format Call Number Item Location Text JLE 74-2992 v. 1-3 Offsite Item details Format Call Number Item Location Text JLE 74-2992 v. 4 Offsite Functions of the purchase and sales department.
- Text
- [New York] New York Institute of Finance [1973]
- 1973
- 1 Item
Item details Format Call Number Item Location Text JLE 75-159|m(SASB) Offsite Securities markets investigation. Hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-seventh Congress, first session, on H. J. Res. 438, joint resolution to amend the Securities exchange act of 1934 so as to authorize and direct the Securities and Exchange Commission to conduct a study and investigation of the adequacy, for the protection of investors, of the rules of national securities exchanges and national securities associations ...
- Text
- Washington, U. S. Govt. Print. Off., 1961.
- 1961
- 1 Item
Item details Format Call Number Item Location Text JLE 75-246 (HSSL) Offsite Dance of the money bees: a professional speaks frankly on investing.
- Text
- New York, Harper & Row [1974]
- 1974
- 1 Item
Item details Format Call Number Item Location Text JLD 75-1352 Offsite 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.
- Text
- Washington, U. S. Govt. Print. Off., 1971.
- 1971
- 1 Item
Item details Format Call Number Item Location Text JLE 75-2488 Offsite Official transcript of proceedings before the Securities and Exchange Commission in the matter of S. E. C. rate structure investigation of national securities exchanges.
- Text
- Washington, Sansom Reporting [1969-70]
- 1969-1970
- 11 Items
Item details Format Call Number Item Location Text JLM 75-497 p. 6042-6405 Offsite Item details Format Call Number Item Location Text JLM 75-497 p. 6406-6829 Offsite Item details Format Call Number Item Location Text JLM 75-497 p. 6830-7234 Offsite A primer on brokerage operations.
- Text
- [New York] New York Institute of Finance [1973]
- 1973
- 1 Item
Item details Format Call Number Item Location Text JLE 75-2333 Offsite Conflicts of interest : broker-dealer firms : report to the Twentieth Century Fund Steering Committee on Conflicts of Interest in the Securities Markets / by Martin Mayer.
- Text
- New York : Twentieth Century Fund, 1975.
- 1975
- 1 Item
Item details Format Call Number Item Location Text JLD 75-2982 Offsite The securities brokerage industry : nonprice competition and noncompetitive pricing / Lawrence Shepard.
- Text
- Lexington, Mass. : Lexington Books, [1975]
- 1975
- 1 Item
Item details Format Call Number Item Location Text JLE 75-2880 Offsite Competing for capital : a financial relations approach / Bruce W. Marcus.
- Text
- New York : Wiley, [1975]
- 1975
- 1 Item
Item details Format Call Number Item Location Text JLE 75-2882 Offsite Stock brokerage commissions; the development and application of standards of reasonableness for public rates; a report to the Cost and Revenue Committee of the New York Stock Exchange.
- Text
- [New York] 1970.
- 1970
- 1 Item
Item details Format Call Number Item Location Text JLM 73-454 v. 2 Offsite A survey of the research operations of brokerage firms in Canada / by David C. Shaw, T. Ross Archibald. -
- Text
- Toronto : Toronto Stock Exchange, 1972.
- 1972
- 1 Item
Item details Format Call Number Item Location Text JLF 76-848 Offsite The Wall Street gang. Foreword by Lee Metcalf.
- Text
- New York, Praeger [1974]
- 1974
- 1 Item
Item details Format Call Number Item Location Text JLE 76-1584 Offsite British issuing houses [microform].
- Text
- [London, 1958]
- 1958
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.
- Text
- Washington, U. S. Govt. Print. Off., 1952.
- 1952
- 1 Item
Item details Format Call Number Item Location Text JLE 76-643 Offsite The discount houses in London : principles, operations, and change / G. A. Fletcher.
- Text
- London : Macmillan, 1976.
- 1976
- 1 Item
Item details Format Call Number Item Location Text JLD 77-2410 Offsite Some accounting problems in the equity section with emphasis on convertible securities, warrants, and stock options.
- Text
- [Little Rock] 1970.
- 1970
- 1 Item
Item details Format Call Number Item Location Text *ZT-913 Offsite The securities firm in the Canadian capital market, by David C. Shaw [and] T. Ross Archibald.
- Text
- Toronto, Toronto Stock Exchange, 1972 [i.e. 1975]
- 1975
- 1 Item
Item details Format Call Number Item Location Text JLF 77-220 Offsite Regulation of brokers, dealers, and securities markets / by Nicholas Wolfson, with Richard M. Phillips and Thomas A. Russo.
- Text
- Boston : Warren, Gorham & Lamont, c1977.
- 1977
- 1 Item
Item details Format Call Number Item Location Text JLE 78-1740 Offsite Broker-dealers and securities markets : a guide to the regulatory process / Sheldon M. Jaffe.
- Text
- Colorado Springs : Shepard's, inc. of Colorado Springs, c1977.
- 1977
- 1 Item
Item details Format Call Number Item Location Text JLE 78-2344 Offsite Agente autônomo de investimento : auto-instrução programada / M. Vieira de Melo.
- Text
- Rio de Janeiro : APEC, 1973.
- 1973
- 1 Item
Item details Format Call Number Item Location Text JLF 79-1472 Offsite Abuse on Wall Street : conflicts of interest in the securities markets : report to the Twentieth Century Fund Steering Committee on Conflicts of Interest in the Securities Markets.
- Text
- Westport, Conn. : Quorum Books, c1980.
- 1980
- 1 Item
Item details Format Call Number Item Location Text JLE 80-2309|m(SASB) Offsite Research output and capital market efficiency under a competitive commission rate structure / by Nancy Jacob and Rich Pettit.
- Text
- West Lafayette, Ind. : Institute for Research in the Behavioral, Economic, and Management Sciences, Krannert Graduate School of Management, Purdue University, 1976.
- 1976
Skinner's directory of security dealer name and address changes including mergers, absorptions, liquidations, and names of trustees in liquidation.
- Text
- San Francisco, Skinner.
- unknown-present
- 8 Items
Item details Format Call Number Item Location Text JBM 90-275 (1965/89) Schwarzman Building - General Research Room 315 Available - Can be used on site. Please visit New York Public Library - Schwarzman Building to submit a request in person.
Item details Format Call Number Item Location Text JBM 90-275 (1965/90) Schwarzman Building - General Research Room 315 Available - Can be used on site. Please visit New York Public Library - Schwarzman Building to submit a request in person.
Item details Format Call Number Item Location Text JBM 90-275 (1992-93) Schwarzman Building - General Research Room 315 Available - Can be used on site. Please visit New York Public Library - Schwarzman Building to submit a request in person.
The art of selling intangibles : how to make your million($) by investing other people's money / LeRoy Gross.
- Text
- Wappingers Falls, N.Y. : New York Institute of Finance, c1982.
- 1982
- 1 Item
Item details Format Call Number Item Location Text JLF 82-190 Offsite NASD manual.
- Text
- Chicago, Ill. : Commerce Clearing House.
- 1985-2008
- 1 Item
Item details Format Call Number Item Location Text JBM 09-79 as of Nov. 2008. Schwarzman Building - General Research Room 315 Available - Can be used on site. Please visit New York Public Library - Schwarzman Building to submit a request in person.
Anlegerschutz im Recht des amerikanischen stock-broker / von Klaus Junker.
- Text
- Berlin : Duncker und Humblot, 1977.
- 1977
- 1 Item
Item details Format Call Number Item Location Text JLE 82-94|m(SASB) Offsite Manual.
- Text
- New York, Commerce Clearing House [1967-
- 1967-present
- 1 Item
Item details Format Call Number Item Location Text JLF 82-920 Offsite Competing for capital in the '80s : an investor relations approach / Bruce W. Marcus.
- Text
- Westport, Conn. : Quorum Books, c1983.
- 1983
- 1 Item
Item details Format Call Number Item Location Text JLE 83-1870|m(SASB) Offsite The investor's guide to discount brokers / David L. Scott.
- Text
- New York, N.Y. : Praeger, 1983.
- 1983
- 1 Item
Item details Format Call Number Item Location Text JLE 85-1412 Offsite Securities traders' monthly.
- Text
- New York, N.Y. : Investment Dealers' Digest, Inc., 1983-
- 1983-199
- 11 Items
Item details Format Call Number Item Location Text JLM 86-730 Jan.-Nov. 1992 Offsite Item details Format Call Number Item Location Text JLM 86-730 v. 1-2 (June 1983-Dec. 1984) Offsite Item details Format Call Number Item Location Text JLM 86-730 v. 3 (1985) Offsite Introduction to brokerage operations department procedures / New York Institute of Finance.
- Text
- New York, N.Y. : NYIF, c1979.
- 1979
- 1 Item
Item details Format Call Number Item Location Text JLE 84-1267 Offsite 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, August 4, 5, and 6, and September 1, 1976.
- Text
- Washington : U. S. Govt. Print. Off., 1976.
- 1976
- 1 Item
Item details Format Call Number Item Location Text JLE 83-3210 Offsite Supervision and management of registered representatives and customer accounts [microform]. A guide to systems as suggested by a Committee of the Member Firm Community.
- Text
- New York : New York Stock Exchange, c1967.
- 1967
Price competition in the Canadian securities industry : a test case of deregulation / by John D. Todd.
- Text
- Toronto, Ont. : Ontario Economic Council, c1983.
- 1983
- 1 Item
Item details Format Call Number Item Location Text JLD 85-1118 Schwarzman Building - General Research Room 315 Available - Can be used on site. Please visit New York Public Library - Schwarzman Building to submit a request in person.
Nelson's directory of Wall Street research.
- Text
- Rye, N.Y. : W.R. Nelson, 1984.
- 1984-1984
- 1 Item
Item details Format Call Number Item Location Text JLM 84-150 1984 Offsite How to talk to a broker : an up-to-date guide for the small investor that tells you when to get professional financial help, how to tell your broker what you want, ways to build a profitable relationship with your broker / Jay J. Pack ; packaged by Cloverdale Press.
- Text
- New York : Barnes & Noble Books : Harper & Row, c1985.
- 1985
- 1 Item
Item details Format Call Number Item Location Text JLD 85-2297 Offsite Sex and money : behind the scenes with the big-time brokers / John D. Spooner.
- Text
- Boston : Houghton Mifflin, 1985.
- 1985
- 1 Item
Item details Format Call Number Item Location Text JLE 85-1220 Offsite The financial condition of broker-dealers: a question of the adequacy of capital and regulatory safeguards [by Le Manh Tri and Terry M. Chuppe.
- Text
- Washington] Office of Policy Research, Securities and Exchange Commission, 1971.
- 1971
- 1 Item
Item details Format Call Number Item Location Text JLF 85-882 Offsite The financing and regulatory capital needs of the securities industry / U.S. Securities and Exchange Commission, Directorate of Economic and Policy Analysis.
- Text
- [Washington, D.C.] : The Commission, [1985?]
- 1985
- 1 Item
Item details Format Call Number Item Location Text JLF 86-863 Offsite
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