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  1. 101
    SEC year 2000 report : future reports could provide more detailed information : report to the ranking minority member, Committee on Commerce, House of Representatives /
    Published 1998

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    Government Document Book
  2. 102
    Money penalties : securities and futures regulators collect many fines but need to better use industrywide data : report to congressional committees /
    Published 1999

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    Government Document Book
  3. 103
    Securities regulation : customer protection rule oversight procedures appear adequate : report to the Chairman, Subcommittee on Commerce, Consumer, and Monetary Affairs, Committee on Government Operations, House of Representatives /
    Published 1991

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Government Document Book
  4. 104
    Stock market automation : exchanges have increased systems' capacities since the 1987 market crash : report to congressional committees /
    Published 1991

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Government Document Book
  5. 105
    The coming rise in Wall Street /

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Book
  6. 106
    Issuing securities : a guide to securities regulation around the world /
    Published 1993

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Book
  7. 107
    Brokers and dealers in securities, with conforming changes as of ..
    Published 1998

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Serial
  8. 108
    Conflicts of interest and professional inadequacies in the securities industry : report and recommendations of the Center for Applied Ethics, New York Society for Ethical Culture
    Published 1974

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    Book
  9. 109
    Capital ideas : the improbable origins of modern Wall Street /
    by Bernstein, Peter L
    Published 1993

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    Book
  10. 110
    Blue Skies and Boiler Rooms : Buying and Selling Securities in Canada, 1870-1940 /
    by Armstrong, Chris, Armstrong, Chris
    Published 2016

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    Book
  11. 111
    The first junk bond : a story of corporate boom and bust /
    by Platt, Harlan D., 1950-
    Published 2019

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    Book
  12. 112
    Securities Markets Agencies : hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Commerce and Finance, Ninety-First Congress, first session, on Feb. 25-27, Mar. 4, 7, 1969
    Published 1969

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Government Document Book
  13. 113
    Report on the status of the recommendations from the Large Firm Project report /
    Published 1994

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Government Document Book
  14. 114
    Oversight of the U.S. Securities and Exchange Commission hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifteenth Congress, first session, on receiving testimony from the Chairman of the Securities and Exchange Commission regarding the agency's work and agenda, September 26, 2017
    Published 2018

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Government Document Electronic Book
  15. 115
    Continued oversight of the SEC's offices and divisions : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, second session, April 21, 2016
    Published 2017

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    Government Document Book
  16. 116
    Problems in the Securities Industry : hearings before the United States Senate Committee on Banking and Currency, Subcommittee on Securities, Ninety-First Congress, first session, on Mar. 6, 1969
    Published 1969

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Government Document Book
  17. 117
    Amending Securities Act of 1933, Securities Exchange Act of 1934, Trust Indenture Act of 1939, and Investment Company Act of 1940 : hearings before the United States House Committee on Interstate and Foreign Commerce, Eighty-Third Congress, second session, on Mar. 19, 1954
    Published 1954

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Government Document Book
  18. 118
    Securities Industry Essentials Exam For Dummies with Online Practice
    by Rice, Steven
    Published 2019

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Electronic Book
  19. 119
    Current Developments in Monetary and Financial Law, Volume 5
    Published 2008

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Book
  20. 120
    Consumer and Investor Access to Information Act of 1999 : report (to accompany H.R. 1858) (including cost estimate of the Congressional Budget Office)
    Published 1999

    This item is not available through BorrowDirect. Please contact your institution’s interlibrary loan office for further assistance.
    Government Document Book
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