Securities Regulation In A Nutshell
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Author | : Thomas Lee Hazen |
Publisher | : West Academic Publishing |
Total Pages | : 418 |
Release | : 2006 |
Genre | : Business & Economics |
ISBN | : |
"Rev ed. of: Securities regulation in a nutshell / by David L. Ratner. 8th ed. 2005" -- Library of Congress.
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 | : |
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 | : 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 | : 9781683283188 |
Softbound - New, softbound print book.
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 | : Jeffrey J. Haas |
Publisher | : West Academic Publishing |
Total Pages | : 0 |
Release | : 2008 |
Genre | : Brokers |
ISBN | : 9780314172655 |
Softbound - New, softbound print book.
Author | : Marc I. Steinberg |
Publisher | : LexisNexis/Matthew Bender |
Total Pages | : 554 |
Release | : 2007 |
Genre | : Business & Economics |
ISBN | : |
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.