38.103.63.59
|
Talk for this IP
|
Log in / create account
Welcome
Table of Contents
Contribute
Table of Contents
From InvestorsGuide
Jump to:
navigation
,
search
The Investors Guide to the Securities Industry
Introduction
Definitions
Origin of the Guide and NASD Opposition to its Publication
The Curious Phenomena of Self-Regulation
An Overview of the Industry
Types of Brokerages
Conflicts of Interest and Common Forms of Wrongdoing
Firm Definition and Registration Requirement
Registration of Brokers
State Registration and Regulation
Fingerprinting
Financial Requirements
Financial Statements
Securities Investor Protection Corporation: Self-Insurance for the Brokerage Industry
Mandatory Arbitration: Self-Adjudication for the Brokerage Industry
Public Investors Arbitration Bar Association
Sources of Information Regarding Brokers and Brokerages
Central Registration Depository
State Securities Regulators
North American State Securities Administrators Association
U. S. Securities and Exchange Commission
FINRA BrokerCheck and National Association of Securities Dealers Public Disclosure Program
The PDP “Big Firm Exception”
Other Exceptions to the PDP
“Expungement”
Industry Practices
Short Selling (audio/visual presentation) by Patrick Byrne, CEO Overstock
Naked Short Selling (PDF) by Patrick Byrne, CEO Overstock
Money Management Industry
Mutual Fund Industry
Article
|
Discussion
|
View source
|
History