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Inspection Report on the Soft Dollar Practices of Broker-Dealers, Investment Advisers and Mutual Funds

United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations
Format
Book; Government Document
Published
[Washington, D.C.?] : The Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission, [1998]
Language
English
SuDoc Number
SE 1.2:B 78
Description
1 v. (various pagings) : ill. ; 28 cm.
Notes
  • "September 22, 1998."
  • Cover title.
  • Shipping list no.: 99-0048-P.
  • Includes bibliographical references.
Technical Details
  • Access in Virgo Classic
  • Staff View

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    a| Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds.
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    a| [Washington, D.C.?] : b| The Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission, c| [1998]
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    a| 1 v. (various pagings) : b| ill. ; c| 28 cm.
    500
      
      
    a| "September 22, 1998."
    500
      
      
    a| Cover title.
    500
      
      
    a| Shipping list no.: 99-0048-P.
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    a| Includes bibliographical references.
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    a| Security (Law) z| United States.
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    a| Stockbrokers x| Legal status, laws, etc. z| United States.
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    a| Stock exchanges z| United States.
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    a| Pension trusts x| Investments z| United States.
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    a| Investment advisors z| United States.
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