Sunday, July 13, 2014

Online Research Resources: Broker/Dealer Compliance Report (BNA)

If you are interested in a broker/dealer source that provides coverage of changes in federal and state securities laws, regulations, industry rules, and legal proceedings at federal/state levels, then take a look at BNA's Broker/Dealer Compliance Report. The Report also provides news of the latest SEC, NASD Regulation, NYSE actions as well as various self-regulatory organization policies.  Coverage dates to September 22, 1999.

To access the Broker/Dealer Compliance Report (BNA):

  • Click the "Online Resources Subject List" link
  • Then, click "Commercial and Corporate Law" link
  • Scroll down to "Broker/Dealer Compliance Report (BNA)"

Ernster, the Virtual Library Cat

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