Thesis (doctoral)--Universität Erlangen, 1912. / Includes bibliographical references (p. iv-v).

Thèse.-- Geneva. / Includes bibliographical references (p. 186-188).

Thesis (doctoral)--Universitẗ Greifswald.

Thesis--University of Florida. / Description based on print version record. Typescript. Vita. Includes bibliographical references (leaves 299-307).

Summary in Chinese. / Thesis (M.B.A.)--Chinese University of Hong Kong. / Bibliography: leaves 105-106. / PREFACE --- p.ii / LIST OF EXHIBITS --- p.v / Chapter Chapter I --- INTRODUCTION / Chapter A --- Definition of Stockbroker in This Study --- p.1 / Chapter B --- The Expanding Hong Kong Stock Market --- p.1 / Chapter C --- The Importance of Professional Status of Stockbrokers --- p.4 / Chapter D --- The Purpose and Scope of the Study --- p.4 / Chapter E --- THE Research Methodology and Its Limitations --- p.5 / Chapter Chapter II --- A GENERAL REVIEW OF THE HONG KONG SECURITIES INDUSTRY / Chapter A --- Historical Sketch and the Booming of the Hong Kong Stock Market in Recent Years --- p.12 / Chapter B --- The Effort of Improvement Done by the Present Exchanges --- p.15 / Chapter C --- Requirements and Exchange Regulations of a Member Firm --- p.19 / Chapter D --- The Organization Structure of a Securities Firm in Hong Kong --- p.24 / Chapter E --- The Largest Brokerage Firm in Hong Kong --- Sun Hung Kai Investment Company / Chapter F --- The Concern by the Hong Kong Government about Stock Speculation and the Establishment of the Securities Advisory Committee --- p.28 / Chapter Chapter III --- THE PROFESSIONAL REQUIREMENTS OF A STOCKBROKER / Chapter A --- The Local Regulations --- p.33 / Chapter B --- Overall Data from the Interviews --- p.34 / Chapter C --- Should the New York Stock Exchange's Registered Representative System be Applied to the Local Stock Market? --- p.41 / Chapter D --- Should the Hong Kong Stock Market Employ a Specialist (or Jobber) System? --- p.44 / Chapter Chapter IV --- THE ETHICAL CONDUCT OF HONG KONG STOCKBROKERS / Chapter A --- A Literature Review of Ethical Conduct --- p.57 / Chapter B --- A Survey of the Public Opinion with respect to the Ethical Conduct of Stockbrokers --- p.68 / Chapter C --- The Government's Moves to Promote a Healthier Market --- p.77 / Chapter V --- THE AUDITING REQUIRIXENTS AND OBLIGATIONS OF STOCKBROKERS / Chapter A --- Internal Auditing --- p.82 / Chapter B --- External Auditing --- p.86 / Chapter C --- The Requirement of Minimum Margin of Solvency --- p.92 / Chapter D --- The Problem of Partnership versus Corporation of Brokerage Firms --- p.93 / Chapter Chapter VI --- CONCLUSIONS AND RECOMMENDATIONS --- p.98 / BIBLIOGRAPGY --- p.105

Thesis (doctoral)--Universität Erlangen.

Thesis (doctoral)--Universität Erlangen, 1930. / Includes bibliographical references (p. [65-66]).

Ho, Chun Kit. / Thesis (M.Phil.)--Chinese University of Hong Kong, 2008. / Includes bibliographical references (leaves 302-315). / Abstracts in English and Chinese. / Dedication --- p.i / Abstract --- p.ii-v / Acknowledgements --- p.vi / List of Abbreviations --- p.vii / Table of Contents --- p.viii / Chapter 1. --- Introduction --- p.1 / Chapter 2. --- Literature Review: Coalition Formation and Maintenance --- p.15 / Chapter 3. --- Data and Methods --- p.45 / Chapter 4. --- Characteristics of Broker Organizations --- p.66 / Chapter 5. --- Coalition Brokers and Process of Coalition Formation --- p.102 / Chapter 6. --- Social Construction of Coalition Forms --- p.157 / Chapter 7. --- Changing Coalition Forms and Coalition Maintenance --- p.207 / Chapter 8. --- Summary and Conclusion --- p.271 / Appendices --- p.295 / Bibliography --- p.302

Thesis (Ph.D.)--Lynn University, 2007. / Adviser: Jeanette Francis. Includes bibliographical references.

Thesis (doctoral)--Universität Freiburg in der Schweiz.