Securities Regulation In A Nutshell
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Securities Regulation In A Nutshell
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Author : Thomas Lee Hazen
language : en
Publisher: West Academic Publishing
Release Date : 2006
Securities Regulation In A Nutshell written by Thomas Lee Hazen and has been published by West Academic Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2006 with Business & Economics categories.
"Rev ed. of: Securities regulation in a nutshell / by David L. Ratner. 8th ed. 2005" -- Library of Congress.
Securities Regulation In A Nutshell
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Author : Thomas Lee Hazen
language : en
Publisher: West Academic Publishing
Release Date : 2009
Securities Regulation In A Nutshell written by Thomas Lee Hazen and has been published by West Academic Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Electronic books categories.
This title will help you acquire an understanding of the basic content and organization of federal and state securities law. 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, securities businesses, and investment companies. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Securities and Exchange Commission's 1933 Act offering reform, the new Financial Industry Regulatory Authority, credit rating agencies, and changes to the New York Stock Exchange specialist system.
Investment Adviser Regulation In A Nutshell
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Author : Jeffrey J. Haas
language : en
Publisher: West Academic Publishing
Release Date : 2008
Investment Adviser Regulation In A Nutshell written by Jeffrey J. Haas and has been published by West Academic Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Brokers categories.
Softbound - New, softbound print book.
Broker Dealer Regulation In A Nutshell
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Author : Thomas Lee Hazen
language : en
Publisher: West Academic
Release Date : 2011
Broker Dealer Regulation In A Nutshell written by Thomas Lee Hazen and has been published by West Academic this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Law categories.
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).
Securities Regulations
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Author : Alan R. Palmiter
language : en
Publisher: Aspen Publishers
Release Date : 1998
Securities Regulations written by Alan R. Palmiter and has been published by Aspen Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 1998 with Business & Economics categories.
Noted author Alan Palmiter sends a lifeboat to students of Securities Regulation in this carefully-crafted study guide. In the highly-regarded style of the Examples & Explanations Series that instructors know they can trust, Palmiter provides textual overviews of the key concepts of the course, followed by examples to test student understanding, and suggested answers To The examples. SECURITIES REGULATION: Examples and Explanations opens with an overview of Securities Markets and Regulation And The Definition of a Security, followed by coverage of: Materiality Registration of Securities Offerings Exemptions from Securities Act Registration Securities Act Liability Secondary and other Post-Offering Distributions Securities Exchange Act of 1934 Rule 10b-5 Insider Trading SEC Enforcement Palmiter also covers topics that sometimes receive cursory attention in class but are important on exams and in practice: Regulation of Securities Professionals U.S. Regulation of Cross-Border Securities Transactions Many of the examples and explanations in the book are drawn from newsworthy events, such as: the initial public offering of Microsoft in 1986 the recent emergence of internet trading a famous securities fraud case that bounced its way To The Supreme Court on a number of occasions With its timely examples, illuminating text, and proven effective format, SECURITIES REGULATION: Examples and Explanations makes it easier for students to learn -- and instructors to teach -- this important but difficult subject.
Securities Regulation
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Author : Alan R. Palmiter
language : en
Publisher: Aspen Publishers
Release Date : 2002
Securities Regulation written by Alan R. Palmiter and has been published by Aspen Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 2002 with Securities categories.
When students discover SECURITIES REGULATION: Examples & Explanations, they have finally located a study guide that illustrates the practical applications of the law. When instructors examine this powerful paperback, they recognize the work of an outstanding scholar with a gift for bringing synthesis and insight to a traditionally difficult area. Now, For its Second Edition, this consise guide continues to offer fully updated coverage in the effective format that has earned so many loyal users: provides an overview of the key concepts of Securities Regulation and discusses the complex law that regulate them uses numerous events, such as the initial public offering of Microsoft stock And The emergence of securities trading and disclosure on the Internet reviews the International approach to Securities Regulation to mirror the realities of practice reinforces learning through carefully chosen examples and explanations Completely revised for its Second Edition, The text now features: new coverage of the Internet and its effect on Securities Regulation complete updating of the law, including recent court cases and SEC releases and rules stylistic changes to conform To The SEC's highly successful 'plain English' initiative
Securities Regulation
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Author : Alan R. Palmiter
language : en
Publisher: Wolters Kluwer Law & Business
Release Date : 2011
Securities Regulation written by Alan R. Palmiter and has been published by Wolters Kluwer Law & Business this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Securities categories.
Informal and student-friendly, Securities Regulation
Securities Regulation
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Author : Stephen Jung Choi
language : en
Publisher:
Release Date : 2008
Securities Regulation written by Stephen Jung Choi and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Business & Economics categories.
This casebook seeks to make both securities markets and securities regulation accessible and manageable, helping students to master the basic principles and structure of securities regulation and enabling them to begin their careers as corporate lawyers with confidence.
The Law Of Securities Regulation
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Author : Thomas Lee Hazen
language : en
Publisher:
Release Date : 1985
The Law Of Securities Regulation written by Thomas Lee Hazen and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1985 with Business & Economics categories.
Banking And Financial Institutions Law In A Nutshell
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Author : William Anthony Lovett
language : en
Publisher:
Release Date : 1997
Banking And Financial Institutions Law In A Nutshell written by William Anthony Lovett and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1997 with Banking law categories.
Evolution of Banking and Financial Institutions Law; Money and Banking; Banking Market Regulation: Thrift Institutions; Securities Market Regulation; Insurance Regulation; Pension Funds. Retirement Account and Social Security; Controversies and Prospects.