Broker Dealer Regulation In A Nutshell
Download Broker Dealer Regulation In A Nutshell full books in PDF, epub, and Kindle. Read online free Broker Dealer Regulation In A Nutshell ebook anywhere anytime directly on your device. Fast Download speed and no annoying ads. We cannot guarantee that every ebooks is available!
| Author | : Thomas Lee Hazen |
| Publisher | : West Academic |
| Total Pages | : 271 |
| Release | : 2011 |
| Genre | : Law |
| ISBN | : 9780314189578 |
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 |
| Genre | : Business & Economics |
| ISBN | : |
| Author | : David L. Ratner |
| Publisher | : West Publishing Company |
| Total Pages | : 388 |
| Release | : 2002 |
| Genre | : Business & Economics |
| ISBN | : |
| Author | : Thomas Lee Hazen |
| Publisher | : West Group Publishing |
| Total Pages | : 1194 |
| Release | : 2002 |
| Genre | : Business & Economics |
| ISBN | : |
"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 | : Thomas Lee Hazen |
| Publisher | : |
| Total Pages | : 0 |
| Release | : 2016 |
| Genre | : Securities |
| ISBN | : 9780314269966 |
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 | : Marc I. Steinberg |
| Publisher | : Law Journal Press |
| Total Pages | : 1220 |
| Release | : 1984 |
| Genre | : Business & Economics |
| ISBN | : 9781588520210 |
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 | : Jeffrey J. Haas |
| Publisher | : West Academic Publishing |
| Total Pages | : 0 |
| Release | : 2008 |
| Genre | : Brokers |
| ISBN | : 9780314172655 |
Softbound - New, softbound print book.
| Author | : Cheryl Nichols |
| Publisher | : |
| Total Pages | : 1011 |
| Release | : 2017-06-23 |
| Genre | : Stockbrokers |
| ISBN | : 9780769891972 |
| Author | : James D. Cox |
| Publisher | : |
| Total Pages | : 194 |
| Release | : 2006 |
| Genre | : Business & Economics |
| ISBN | : |
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.
| Author | : Robert C. Rosen |
| Publisher | : |
| Total Pages | : 0 |
| Release | : 1986 |
| Genre | : International finance |
| ISBN | : 9780379208252 |
Definitive and comprehensive, International Securities Regulation is the first treatise on international securities with translations of laws and regulations of 30 jurisdictions entirely in English. This seven-volume set encompasses the complete range of securities topics, including legal systems, securities regulatory schemes, descriptions of public securities markets, and discussions of those regulations regarding substantive securities matters. Lawyers, regulators, and professionals with first-hand, day-to-day experience have written commentary for each jurisdiction. Commentary focuses on each country's legal system, public securities markets, security regulations and implementations, and recent trends and developments.
