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LEGAL REQUIREMENTS IN ESTABLISHING A BROKING FIRM

ABSTRACT

This work discusses legal requirements in establishing a broking firm. A hundred and twenty questionnaires were shared amongst stock brokers from selected stock broking agencies. . Interviews and surveys were also conducted.

Primary and secondary data were used the analysis. Both frequency distribution and regression analysis were used.

It was observed therefore that legal requirements have a significant impact on the establishment of broking firms. There is a relationship between legal requirements and the establishment of broking firms.

The work is made of five chapters with bibliography and list of references

TABLE OF CONTENT:

CHAPTER ONE

INTRODUCTION

  1. Background of the Study
    1. Statement of the Research Problem
    1. Objectives of the Study
    1. Significance of the Study
    1. Research Questions
    1. Research Hypothesis
    1. Conceptual and Operational Definition
    1. Assumptions
    1. Limitations of the Study

CHAPTER TWO

LITERATURE REVIEW

  • Sources of Literature
    • The Review
    • Summary of Literature Review

CHAPTER THREE

RESEARCH METHODOLOGY

  • Research Method
    • Research Design
    • Research Sample
    • Measuring Instrument
    • Data Collection
    • Data Analysis
    • Expected Result

CHAPTER FOUR

DATA ANALYSIS AND RESULTS

  • Data Analysis
    • Results
    • Discussion

CHAPTER FIVE

SUMMARY AND RECOMMENDATIONS

  • Summary
    • Recommendations for Further Study

Bibliography

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