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ISBN 13 : 9781402444302
Total Pages : 0 pages
Book Rating : 4.4/5 (443 download)
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ISBN 13 : 9781402441820
Total Pages : 0 pages
Book Rating : 4.4/5 (418 download)
Download or read book Fundamentals of Broker-dealer Regulation 2022 written by and published by . This book was released on 2022 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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ISBN 13 :
Total Pages : 654 pages
Book Rating : 4.F/5 ( download)
Download or read book Fundamentals of Broker-dealer Regulation.... written by and published by . This book was released on 2010 with total page 654 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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ISBN 13 : 9781402444869
Total Pages : 0 pages
Book Rating : 4.4/5 (448 download)
Download or read book Broker/dealer Regulation and Enforcement, 2023 written by and published by . This book was released on 2023 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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ISBN 13 : 9781402439193
Total Pages : 334 pages
Book Rating : 4.4/5 (391 download)
Download or read book Fundamentals of Broker-dealer Regulation 2021 written by and published by . This book was released on 2021 with total page 334 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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ISBN 13 : 9781402436789
Total Pages : 0 pages
Book Rating : 4.4/5 (367 download)
Download or read book Fundamentals of Broker-dealer Regulation 2020 written by and published by . This book was released on 2020 with total page 0 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 : Louis Loss
Publisher :
ISBN 13 :
Total Pages : 2244 pages
Book Rating : 4.:/5 (21 download)
Download or read book Fundamentals of Securities Regulation written by Louis Loss and published by . This book was released on 2011 with total page 2244 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Louis Loss
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 820 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities Regulation written by Louis Loss and published by Aspen Publishers. This book was released on 2009 with total page 820 pages. Available in PDF, EPUB and Kindle. Book excerpt: "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.
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ISBN 13 : 9781402432064
Total Pages : 246 pages
Book Rating : 4.4/5 (32 download)
Download or read book Fundamentals of Broker-dealer Regulation, 2018 written by and published by . This book was released on 2018 with total page 246 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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ISBN 13 : 9781402434464
Total Pages : 300 pages
Book Rating : 4.4/5 (344 download)
Download or read book Fundamentals of Broker-dealer Regulation, 2019 written by and published by . This book was released on 2019 with total page 300 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Thomas Lee Hazen
Publisher : West Academic
ISBN 13 : 9780314189578
Total Pages : 271 pages
Book Rating : 4.1/5 (895 download)
Download or read book Broker-dealer Regulation in a Nutshell written by Thomas Lee Hazen and published by West Academic. This book was released on 2011 with total page 271 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 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 : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher :
ISBN 13 :
Total Pages : 318 pages
Book Rating : 4.3/5 (243 download)
Download or read book Guide to Broker-dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and published by . This book was released on 1974 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402405419
Total Pages : pages
Book Rating : 4.4/5 (54 download)
Download or read book Broker-dealer Regulation written by Clifford E. Kirsch and published by . This book was released on 2004 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
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:
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ISBN 13 :
Total Pages : 922 pages
Book Rating : 4.F/5 ( download)
Download or read book Coping with Broker-dealer Regulation & Increasing Enforcement written by and published by . This book was released on 2010 with total page 922 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : David A. Lipton
Publisher :
ISBN 13 :
Total Pages : 904 pages
Book Rating : 4.F/5 ( download)
Download or read book Broker Dealer Regulation written by David A. Lipton and published by . This book was released on 2008 with total page 904 pages. Available in PDF, EPUB and Kindle. Book excerpt:
