Call Number (LC) Title Results
HG4928.5 .U54 1985a SEC study on the financing and regulatory capital needs of the securities industry. 1
HG4928.5 .U544 1994i Employment discrimination how registered representatives fare in discrimination disputes : report to the Chairman, Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives / 1
HG4928.5 .U55 2009 Investigation of failure of the SEC to uncover Bernard Madoff's Ponzi scheme / 1
HG4928.5 .W44 Weiss Ratings' guide to brokerage firms. 1
HG4928.5 .W45 1990 Traders : the jobs, the products, the markets / 1
HG4928.5 .W64 1997 The right time the right place / 2
HG4928.5 .Z49 1993 Banking on fraud : Drexel, junk bonds, and buyouts / 1
HG4928.5 Z496 2017 Banking on Fraud : Drexel, Junk Bonds, and Buyouts / 1
HG4929.A2 A5 1937c To amend the Securities act of 1933 : Solicitation of proxies, etc., in reorganizations, etc. :hearing[s] before the Committee on interstate and foreign commerce, House of representatives, Seventy-fifth Congress, first session, on H.R. 6968, to amend the Securities act of 1933, as amended, by adding thereto a new title, providing for the regulation of the solicitation, in interstate and foreign commerce and through the mails, of proxies, deposits, and assents in connection with certain reorganizationss, voluntary readjustments and debt arrangements; and for other purposes, June 8-July 21, 1937. 1
HG4929.A2 A5 1939b Trust indentures. : Hearings before a subcommittee of the Committee on interstate and foreign commerce, House of representatives, Seventy-sixth Congress, first session, on H.R. 2191 and H.R. 5220, to provide for the regulation of the sale of certain securities in interstate and foreign commerce and through the mails, and the regulation of the trust indentures under which the same are issued, and for other purposes. April 4, 5, 6, 7, and 11, 1939. 1
HG4929.A2 C45 The investor and the Securities act / 1
HG4929.A2 C45 1942a The investor and the Securities act / 1
HG4929.A2 C55 Disclosure to investors; a reappraisal of Federal Administrative policies under the 1933 and 1934 acts. 1
HG4929.A2 E5 The annotated Blue sky laws of the United States; a complete digest and manual of all the laws of all the states governing the right or license to dispose of stocks, bonds and other securities under the "Blue sky" or other regulatory laws, by corporations, underwriters, bankers, investment bankers, brokers, insurance companies, bond investment companies (sales on the instalment plan) dealers and individuals. The decisions of the courts, with the opinions of the attorney-general of several states construing the laws relating to the disposal of securities. The rules, regulations and forms of procedure of the department of each state, which supervise the disposal of securities. 1
HG4929.A2 L3 Federal Securities act procedure, 1
HG4929.A2 M3 Understanding the Securities act and the S.E.C. 1
HG4929.A2 S8 Government and the investor / 2
HG4929.A2 T43 Three years of the Securities act. 1
HG4929.C3 S3 State regulation of corporate financial practices: the California experience. 1
HG4930 The fund industry : how your money is managed /
Inside vanguard : leadership secrets from the company that continues to rewrite the rules of the investing business /
Mutual funds fifty years of research findings /
The man in the arena : Vanguard founder John C. Bogle and his lifelong battle to serve investors first / 		8