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Book Synopsis Broker-Dealer Law and Regulation, 5th Edition by : Poser, Fanto, Gross
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:
Book Synopsis Broker-dealer Law and Regulation by : Norman S. Poser
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 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Broker-dealer Law and Regulation by : Norman S. Poser
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:
Book Synopsis SECURITIES REGULATION, CASES AND ANALYSIS. by : STEPHEN J.. PRITCHARD CHOI (A.C.)
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:
Book Synopsis Broker-Dealer Law and Regulation by : Norman S. Poser
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:
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.
Book Synopsis Broker-dealer Regulation in a Nutshell by : Thomas Lee Hazen
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.
"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.
Book Synopsis The Law of Securities Regulation by : Thomas Lee Hazen
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.
Book Synopsis Canadian Securities Regulation by : David L. Johnston
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:
Book Synopsis FUNDAMENTALS OF SECURITIES REGULATION. by : LOUIS. LOSS
Download or read book FUNDAMENTALS OF SECURITIES REGULATION. written by LOUIS. LOSS and published by . This book was released on 2023 with total page 0 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.
Book Synopsis Securities Regulation by : Louis Loss
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.