United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations
VIAF ID: 128017276 ( Corporate )
Permalink: http://viaf.org/viaf/128017276
Preferred Forms
4xx's: Alternate Name Forms (1)
Works
Title | Sources |
---|---|
Compliance inspections and examination by ... c1997: | |
Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds. |