Broker Dealer Regulation In A Nutshell
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Author |
: Thomas Lee Hazen |
Publisher |
: West Academic |
Total Pages |
: 271 |
Release |
: 2011 |
ISBN-10 |
: 0314189572 |
ISBN-13 |
: 9780314189578 |
Rating |
: 4/5 (72 Downloads) |
Synopsis Broker-dealer Regulation in a Nutshell by : Thomas Lee Hazen
This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
Author |
: David L. Ratner |
Publisher |
: |
Total Pages |
: 376 |
Release |
: 1982 |
ISBN-10 |
: STANFORD:36105044610900 |
ISBN-13 |
: |
Rating |
: 4/5 (00 Downloads) |
Synopsis Securities Regulation in a Nutshell by : David L. Ratner
Author |
: David L. Ratner |
Publisher |
: West Publishing Company |
Total Pages |
: 388 |
Release |
: 2002 |
ISBN-10 |
: STANFORD:36105063189166 |
ISBN-13 |
: |
Rating |
: 4/5 (66 Downloads) |
Synopsis Securities Regulation in a Nutshell by : David L. Ratner
Author |
: Thomas Lee Hazen |
Publisher |
: West Group Publishing |
Total Pages |
: 1194 |
Release |
: 2002 |
ISBN-10 |
: STANFORD:36105063901818 |
ISBN-13 |
: |
Rating |
: 4/5 (18 Downloads) |
Synopsis The Law of Securities Regulation by : Thomas Lee Hazen
"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.
Author |
: Marc I. Steinberg |
Publisher |
: Law Journal Press |
Total Pages |
: 1220 |
Release |
: 1984 |
ISBN-10 |
: 1588520218 |
ISBN-13 |
: 9781588520210 |
Rating |
: 4/5 (18 Downloads) |
Synopsis Securities Regulation by : Marc I. Steinberg
This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
Author |
: Thomas Lee Hazen |
Publisher |
: |
Total Pages |
: 0 |
Release |
: 2016 |
ISBN-10 |
: 0314269967 |
ISBN-13 |
: 9780314269966 |
Rating |
: 4/5 (67 Downloads) |
Synopsis Securities Regulation in a Nutshell by : Thomas Lee Hazen
This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.
Author |
: Jeffrey J. Haas |
Publisher |
: West Academic Publishing |
Total Pages |
: 0 |
Release |
: 2008 |
ISBN-10 |
: 0314172653 |
ISBN-13 |
: 9780314172655 |
Rating |
: 4/5 (53 Downloads) |
Synopsis Investment Adviser Regulation in a Nutshell by : Jeffrey J. Haas
Softbound - New, softbound print book.
Author |
: Cheryl Nichols |
Publisher |
: |
Total Pages |
: 1011 |
Release |
: 2017-06-23 |
ISBN-10 |
: 0769891977 |
ISBN-13 |
: 9780769891972 |
Rating |
: 4/5 (77 Downloads) |
Synopsis Broker-Dealer Regulation by : Cheryl Nichols
Author |
: Thomas Lee Hazen |
Publisher |
: |
Total Pages |
: 0 |
Release |
: 2016 |
ISBN-10 |
: 168328318X |
ISBN-13 |
: 9781683283188 |
Rating |
: 4/5 (8X Downloads) |
Synopsis Securities Regulation in a Nutshell by : Thomas Lee Hazen
Softbound - New, softbound print book.
Author |
: James D. Cox |
Publisher |
: |
Total Pages |
: 194 |
Release |
: 2006 |
ISBN-10 |
: STANFORD:36105134441364 |
ISBN-13 |
: |
Rating |
: 4/5 (64 Downloads) |
Synopsis Securities Regulation by : James D. Cox
Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more.