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| Author | : Poser, Fanto, Gross |
| Publisher | : Wolters Kluwer Law & Business |
| Total Pages | : 1920 |
| Release | : |
| Genre | : Stockbrokers |
| ISBN | : 1543804969 |
| Author | : Norman S. Poser |
| Publisher | : |
| Total Pages | : |
| Release | : 2007 |
| Genre | : Securities |
| ISBN | : |
| Author | : Norman S. Poser |
| Publisher | : |
| Total Pages | : 0 |
| Release | : 1999 |
| Genre | : Brokers |
| ISBN | : |
| Author | : Norman S. Poser |
| Publisher | : Aspen Publishers |
| Total Pages | : 523 |
| Release | : 1995-12-31 |
| Genre | : |
| ISBN | : 9780316715164 |
| 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. Johnston |
| Publisher | : |
| Total Pages | : |
| Release | : 2014 |
| Genre | : Corporations |
| ISBN | : 9780433461227 |
| Author | : Louis Loss |
| Publisher | : Wolters Kluwer Law & Business |
| Total Pages | : 0 |
| Release | : 2018 |
| Genre | : Corporations |
| ISBN | : 9781543802757 |
Previous editions : 2011 (6th), 1983 (1st).
| 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 | : Steven Mark Levy |
| Publisher | : Wolters Kluwer |
| Total Pages | : 1683 |
| Release | : 2003-01-01 |
| Genre | : Law |
| ISBN | : 073554350X |
Federal Money Laundering Regulation: Banking, Corporate and Securities Compliance is a comprehensive guide to understanding and complying with all U.S. legislation and regulatory requirements governing money laundering. Carefully written and well-organized, this book is the most authoritative but practical publication available in this subject area. Users of the book include banks, credit unions, securities broker-dealers, casinos, money services businesses, futures commission merchants, mutual funds, insurance companies and other financial institutions and their legal counsel, As well as regulatory and law enforcement agencies, The criminal bar, public accountants, and federal and state courts. The easy-to-use looseleaf format allows the reader to keep the volume up to date as annual supplements are issued. The current volume has approximately 1100 pages, organized in 27 chapters. Read the highlights in the latest supplement for Federal Money Laundering Regulation: Banking, Corporate and Securities Compliance .
| Author | : Louis Loss |
| Publisher | : Aspen Publishers |
| Total Pages | : 820 |
| Release | : 2009 |
| Genre | : Business & Economics |
| ISBN | : |
"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.
