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National Association of Securities Dealers, Inc. Manual
Provides coverage of rules and memberships list for major stock exchanges.
National Association of Securities Dealers, Inc Manual March 2006
Provides coverage of Bylaws and vules for the NASD and NASDAQ.
NASD Manual
None
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Securities Markets Agencies
Committee Serial No. 91-9. Reviews administration of laws regulating securities market.
Market Making and the Changing Structure of the Securities Industry
This is a reprnit of a previously published book. it deals with changes on the U.S. financial market by the Securities Acts Amendment of 1975.
