Securities Regulation In A Nutshell
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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 |
: 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 |
: 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 |
: David L. Ratner |
Publisher |
: West Academic Publishing |
Total Pages |
: 0 |
Release |
: 2005 |
ISBN-10 |
: 031415518X |
ISBN-13 |
: 9780314155184 |
Rating |
: 4/5 (8X Downloads) |
Synopsis Securities Regulation in a Nutshell by : David L. Ratner
Acquire an understanding of the basic content and organization of federal and state securities law. Authoritative summary covers the essential background and current status of each major area, while keeping details and citations to a minimum. Discusses the regulations governing public offerings, public companies, securities businesses, and investment companies. Also explores sanctions, civil liabilities, and extraterritorial application.
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 |
: Marc I. Steinberg |
Publisher |
: LexisNexis/Matthew Bender |
Total Pages |
: 554 |
Release |
: 2007 |
ISBN-10 |
: STANFORD:36105134460356 |
ISBN-13 |
: |
Rating |
: 4/5 (56 Downloads) |
Synopsis Understanding Securities Law by : Marc I. Steinberg
Author |
: Louis Loss |
Publisher |
: Aspen Publishers |
Total Pages |
: 820 |
Release |
: 2009 |
ISBN-10 |
: STANFORD:36105064149326 |
ISBN-13 |
: |
Rating |
: 4/5 (26 Downloads) |
Synopsis Securities Regulation by : Louis Loss
"The universally acknowledged work Securities Regulation is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes plus thousands of cases, SEC administrative decisions and letters definitively clarifies such questions as: When does a note fall within the definition of a "security" How have the courts altered the express civil liability provisions of the federal securities laws? Can the SEC impose additional ten-day suspensions on trading without notice? Does scienter include reckless as well as intentional conduct? And countless others, so that you're almost sure to find coverage of the "small point" on which your case may turn."--Publisher's website.
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 |
: 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