Broker Dealer Regulation In A Nutshell
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Author | : Thomas Lee Hazen |
Publisher | : West Academic |
Total Pages | : 271 |
Release | : 2011 |
Genre | : Law |
ISBN | : 9780314189578 |
Download Broker-dealer Regulation in a Nutshell Book in PDF, Epub and Kindle
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 | : Thomas Lee Hazen |
Publisher | : West Academic Publishing |
Total Pages | : 0 |
Release | : 2003 |
Genre | : Law |
ISBN | : 9780314144621 |
Download Broker-dealer Regulation in a Nutshell Book in PDF, Epub and Kindle
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 basic regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration.
Author | : Thomas Lee Hazen |
Publisher | : |
Total Pages | : 0 |
Release | : 2016 |
Genre | : Securities |
ISBN | : 9780314269966 |
Download Securities Regulation in a Nutshell Book in PDF, Epub and Kindle
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 | : David L. Ratner |
Publisher | : West Publishing Company |
Total Pages | : 388 |
Release | : 2002 |
Genre | : Business & Economics |
ISBN | : |
Download Securities Regulation in a Nutshell Book in PDF, Epub and Kindle
Author | : David L. Ratner |
Publisher | : |
Total Pages | : 388 |
Release | : 1992 |
Genre | : Business & Economics |
ISBN | : |
Download Securities Regulation in a Nutshell Book in PDF, Epub and Kindle
Author | : Thomas Lee Hazen |
Publisher | : West Group Publishing |
Total Pages | : 1194 |
Release | : 2002 |
Genre | : Business & Economics |
ISBN | : |
Download The Law of Securities Regulation Book in PDF, Epub and Kindle
"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 | : Jeffrey J. Haas |
Publisher | : West Academic Publishing |
Total Pages | : 0 |
Release | : 2008 |
Genre | : Brokers |
ISBN | : 9780314172655 |
Download Investment Adviser Regulation in a Nutshell Book in PDF, Epub and Kindle
Softbound - New, softbound print book.
Author | : Thomas Lee Hazen |
Publisher | : |
Total Pages | : 467 |
Release | : 2020 |
Genre | : Securities |
ISBN | : 9781647088217 |
Download Securities Regulation in a Nutshell Book in PDF, Epub and Kindle
"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, the Dodd-Frank Act as well as the JOBS Act, including the crowdfunding and expanded Regulation A exemptions." -- Publisher.
Author | : Cheryl Nichols |
Publisher | : |
Total Pages | : 1011 |
Release | : 2017-06-23 |
Genre | : Stockbrokers |
ISBN | : 9780769891972 |
Download Broker-Dealer Regulation Book in PDF, Epub and Kindle
Author | : James D. Cox |
Publisher | : |
Total Pages | : 194 |
Release | : 2006 |
Genre | : Business & Economics |
ISBN | : |
Download Securities Regulation Book in PDF, Epub and Kindle
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.