Broker-dealer Regulation in a Nutshell PDF Download
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Author: Thomas Lee Hazen
Publisher: West Academic
ISBN: 9780314189578
Category : Law
Languages : en
Pages : 271
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Book Description
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
ISBN: 9780314189578
Category : Law
Languages : en
Pages : 271
Get Book Here
Book Description
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
ISBN: 9780314144621
Category : Law
Languages : en
Pages : 0
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Book Description
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: David L. Ratner
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 376
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Book Description
Author: Thomas Lee Hazen
Publisher: West Group Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 1194
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Book Description
"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. Ratner
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 388
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Book Description
Author: Thomas Lee Hazen
Publisher:
ISBN: 9780314269966
Category : Securities
Languages : en
Pages : 0
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Book Description
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: Jeffrey J. Haas
Publisher: West Academic Publishing
ISBN: 9780314172655
Category : Brokers
Languages : en
Pages : 0
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Book Description
Softbound - New, softbound print book.
Author: Cheryl Nichols
Publisher:
ISBN: 9780769891972
Category : Stockbrokers
Languages : en
Pages : 1011
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Book Description
Author: Thomas Lee Hazen
Publisher:
ISBN: 9781683283188
Category : Securities
Languages : en
Pages : 0
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Book Description
Softbound - New, softbound print book.
Author: Marc I. Steinberg
Publisher: Law Journal Press
ISBN: 9781588520210
Category : Business & Economics
Languages : en
Pages : 1220
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Book Description
This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
