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Author : Poser, Fanto, Gross
Publisher : Wolters Kluwer Law & Business
ISBN 13 : 1543804969
Total Pages : 1920 pages
Book Rating : 4.66/5 ( 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 : pages
Book Rating : 4.02/5 ( 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 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Norman S. Poser
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.07/5 ( 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 : 4.16/5 ( 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 : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 : 9780316715164
Total Pages : 523 pages
Book Rating : 4.66/5 ( 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 Academic Publishing
ISBN 13 : 9780314144621
Total Pages : 0 pages
Book Rating : 4.25/5 ( 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 : David L. Johnston
Publisher :
ISBN 13 : 9780433461227
Total Pages : pages
Book Rating : 4.25/5 ( 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 : Thomas Lee Hazen
Publisher : West Group Publishing
ISBN 13 :
Total Pages : 1194 pages
Book Rating : 4.18/5 ( 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 : Louis Loss
Publisher : Wolters Kluwer Law & Business
ISBN 13 : 9781543802757
Total Pages : 0 pages
Book Rating : 4.53/5 ( 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 : Aspen Publishers
ISBN 13 :
Total Pages : 820 pages
Book Rating : 4.26/5 ( 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.
