Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds.
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- 1 of 1 copy available at Evergreen Indiana.
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| Location | Call Number / Copy Notes | Barcode | Shelving Location | Status | Due Date |
|---|---|---|---|---|---|
| Indiana State Library - Indianapolis | SE 1.2:B 78 (Text) | 824297-1001 | General Federal documents | Available | - |
Record details
- Physical Description: 1 volume (various pagings) : illustrations ; 28 cm
- Publisher: [Washington, D.C.?] : The Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission, [1998]
Content descriptions
| General Note: | "September 22, 1998." Cover title. Also distributed to depository libraries in microfiche. Shipping list no.: 99-0048-P. |
| Bibliography, etc. Note: | Includes bibliographical references. |
Search for related items by subject
| Subject: | Stockbrokers > Fees > United States. Investment advisors > Fees > United States. Disclosure of information > United States. Securities > Research > United States > Finance. |
