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Author : Poser, Fanto, Gross
Publisher : Wolters Kluwer Law & Business
ISBN 13 : 1543804969
Total Pages : 1920 pages
Book Rating : 4.5/5 (438 download)
Download or read book Broker-Dealer Law and Regulation, 5th Edition written by Poser, Fanto, Gross and published by Wolters Kluwer Law & Business. This book was released on with total page 1920 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Norman S. Poser
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (2 download)
Download or read book Broker-dealer Law and Regulation written by Norman S. Poser and published by . This book was released on 2007 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Norman S. Poser
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (612 download)
Download or read book Broker-dealer Law and Regulation written by Norman S. Poser and published by . This book was released on 1999 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : STEPHEN J.. PRITCHARD CHOI (A.C.)
Publisher :
ISBN 13 : 9781636592718
Total Pages : 0 pages
Book Rating : 4.5/5 (927 download)
Download or read book SECURITIES REGULATION, CASES AND ANALYSIS. written by STEPHEN J.. PRITCHARD CHOI (A.C.) and published by . This book was released on 2024 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Thomas Lee Hazen
Publisher : West Academic Publishing
ISBN 13 : 9780314144621
Total Pages : 0 pages
Book Rating : 4.1/5 (446 download)
Download or read book Broker-dealer Regulation in a Nutshell written by Thomas Lee Hazen and published by West Academic Publishing. This book was released on 2003 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 : 9780316715164
Total Pages : 523 pages
Book Rating : 4.7/5 (151 download)
Download or read book Broker-Dealer Law and Regulation written by Norman S. Poser and published by Aspen Publishers. This book was released on 1995-12-31 with total page 523 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Thomas Lee Hazen
Publisher : West Group Publishing
ISBN 13 :
Total Pages : 1194 pages
Book Rating : 4.F/5 ( download)
Download or read book The Law of Securities Regulation written by Thomas Lee Hazen and published by West Group Publishing. This book was released on 2002 with total page 1194 pages. Available in PDF, EPUB and Kindle. Book excerpt: "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 : David L. Johnston
Publisher :
ISBN 13 : 9780433461227
Total Pages : pages
Book Rating : 4.4/5 (612 download)
Download or read book Canadian Securities Regulation written by David L. Johnston and published by . This book was released on 2014 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Louis Loss
Publisher : Wolters Kluwer Law & Business
ISBN 13 : 9781543802757
Total Pages : 0 pages
Book Rating : 4.8/5 (27 download)
Download or read book Fundamentals of Securities Regulation written by Louis Loss and published by Wolters Kluwer Law & Business. This book was released on 2018 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Previous editions : 2011 (6th), 1983 (1st).
Author : Marc I. Steinberg
Publisher : LexisNexis/Matthew Bender
ISBN 13 :
Total Pages : 554 pages
Book Rating : 4.F/5 ( download)
Download or read book Understanding Securities Law written by Marc I. Steinberg and published by LexisNexis/Matthew Bender. This book was released on 2007 with total page 554 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Louis Loss
Publisher :
ISBN 13 : 9780735580640
Total Pages : 822 pages
Book Rating : 4.5/5 (86 download)
Download or read book Securities Regulation written by Louis Loss and published by . This book was released on 2009 with total page 822 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Alan R. Palmiter
Publisher :
ISBN 13 : 9787801076274
Total Pages : 477 pages
Book Rating : 4.0/5 (762 download)
Download or read book 证券法 written by Alan R. Palmiter and published by . This book was released on 2003 with total page 477 pages. Available in PDF, EPUB and Kindle. Book excerpt: 责任者译名:帕尔米特。
Author : Steven Mark Levy
Publisher : Wolters Kluwer
ISBN 13 : 073554350X
Total Pages : 1683 pages
Book Rating : 4.7/5 (355 download)
Download or read book Federal Money Laundering Regulation written by Steven Mark Levy and published by Wolters Kluwer. This book was released on 2003-01-01 with total page 1683 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 : Gary M. Brown
Publisher :
ISBN 13 : 9781402418969
Total Pages : 0 pages
Book Rating : 4.4/5 (189 download)
Download or read book Securities Law and Practice Deskbook written by Gary M. Brown and published by . This book was released on 2013-01-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations
Author : Thomas Lee Hazen
Publisher : American Bar Association
ISBN 13 : 9781616320973
Total Pages : 0 pages
Book Rating : 4.3/5 (29 download)
Download or read book Securities Regulation written by Thomas Lee Hazen and published by American Bar Association. This book was released on 2011 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The book is designed to provide an understanding of the federal securities laws; emphasizing those areas of the law that are likely to be confronted in a general or corporate practice, while giving some coverage to market regulation, broker-dealers, and the regulation of investment companies and investment advisers.
Author : James D. Cox
Publisher : Aspen Publishers
ISBN 13 : 9780735571884
Total Pages : 0 pages
Book Rating : 4.5/5 (718 download)
Download or read book Securities Regulation written by James D. Cox and published by Aspen Publishers. This book was released on 2008-07-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: To ensure that you have the most up-to-date and complete materials for yourSecurities Regulation class, be sure to use this 2008 Case Supplement.Table of Cases:Italics indicate principal cases.American Federation of State, County & Municipal Employees v. AmericanInternational Group, Inc. Berckeley Investment Group, Ltd. v.ColkittChamber of Commerce v. SECCredit Suisse Sec. (USA) LLC v. Glen BillingsDolphin and Bradbury v. SEC Feder v. FrostFinancial Planning Association v. SECGFL Advantage Fund, Ltd. v. ColkittGoldstein v. SECMakor Issues & Rights Ltd. v. Tellabs, Inc. (7th Cir.) Merrill Lynch, Pierce, Fenner & Smith, Inc. v.Dabit Oscar Private Equity Investments v.Allegiance Telecom, Inc. Overton v. Todman & Co.Securities and Exchange Commission v. Kern Securities and Exchange Commission v.RocklageSecurities and Exchange Commission v. DorozhkoStoneridge Inv. Partners, LLC, Petitioner v. Scientific-Atlanta, Inc. Tellabs, Inc. v. Makor Issues & Rights, Ltd. United States v. BrownUnited States v. EbbersUnited States v. SimonYung v. Lee
Author : Larry D. Soderquist
Publisher : Foundation Press
ISBN 13 : 9781599415192
Total Pages : 0 pages
Book Rating : 4.4/5 (151 download)
Download or read book Securities Regulation 2008 written by Larry D. Soderquist and published by Foundation Press. This book was released on 2008-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This is the 2008 Supplement updating the 6th Edition of Soderquist and Gabaldon's Securities Regulation casebook.
