Author: Thomas Lee Hazen
Publisher: West Academic
ISBN: 9780314189578
Category : Law
Languages : en
Pages : 271
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).
Broker-dealer Regulation in a Nutshell
Author: Thomas Lee Hazen
Publisher: West Academic
ISBN: 9780314189578
Category : Law
Languages : en
Pages : 271
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).
Publisher: West Academic
ISBN: 9780314189578
Category : Law
Languages : en
Pages : 271
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).
Securities Regulation in a Nutshell
Author: Thomas Lee Hazen
Publisher:
ISBN: 9780314269966
Category : Securities
Languages : en
Pages : 0
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.
Publisher:
ISBN: 9780314269966
Category : Securities
Languages : en
Pages : 0
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.
Securities Regulation in a Nutshell
Author: David L. Ratner
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 388
Book Description
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 388
Book Description
The Law of Securities Regulation
Author: Thomas Lee Hazen
Publisher: West Group Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 1194
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.
Publisher: West Group Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 1194
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.
Broker-Dealer Regulation
Author: Cheryl Nichols
Publisher:
ISBN: 9780769891972
Category : Stockbrokers
Languages : en
Pages : 1011
Book Description
Publisher:
ISBN: 9780769891972
Category : Stockbrokers
Languages : en
Pages : 1011
Book Description
Investment Adviser Regulation in a Nutshell
Author: Jeffrey J. Haas
Publisher: West Academic Publishing
ISBN: 9780314172655
Category : Brokers
Languages : en
Pages : 0
Book Description
Softbound - New, softbound print book.
Publisher: West Academic Publishing
ISBN: 9780314172655
Category : Brokers
Languages : en
Pages : 0
Book Description
Softbound - New, softbound print book.
Securities Regulation in a Nutshell
Author: Thomas Lee Hazen
Publisher:
ISBN: 9781683283188
Category : Securities
Languages : en
Pages : 0
Book Description
Softbound - New, softbound print book.
Publisher:
ISBN: 9781683283188
Category : Securities
Languages : en
Pages : 0
Book Description
Softbound - New, softbound print book.
Corporate Finance and the Securities Laws
Author: Charles J. Johnson
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 1154
Book Description
The highly anticipated Third Edition of Corporate Finance & the Securities Laws is a fully updated version of this classic work by two premier experts in the world of corporate finance. The book explains the legal environment in which capital markets transactions take place as well as explaining the transactions themselves and how professionals can manage the transaction and get it done. Some highlights in the Third Edition are: Underwriting practices the registration and distribution process Private placements Shelf registrations International finance Commercial paper Innovative financial products and asset-backed securities the Third Edition also includes updates on many important developments in corporate finance, including: New standards for IPO allocations the reduced role of analysts in securities offerings driven by reforms separating the interaction of research analysts And The investment bankers who bring in new business an updated look at MD&A (Management Discussion & Analysis) A new chapter focusing on asset-backed securities Sarbanes-Oxley's effects on disclosure requirements and due diligence the growing trend of On-line offerings Dealing with 'gun-jumping' problems Electronic delivery of offering documents New emphasis on financial statement due diligence New NASD corporate financing rule New NASD rule on retention of new issues (formerly the 'hot issue' rule) Exiting the SEC reporting system Innovative financing techniques And The Commodity Futures Modernization Act of 2000 Short sales and equity derivatives Innovations in convertible, exchangeable and equity-linked securities Amended Rule 10b-18 and more
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 1154
Book Description
The highly anticipated Third Edition of Corporate Finance & the Securities Laws is a fully updated version of this classic work by two premier experts in the world of corporate finance. The book explains the legal environment in which capital markets transactions take place as well as explaining the transactions themselves and how professionals can manage the transaction and get it done. Some highlights in the Third Edition are: Underwriting practices the registration and distribution process Private placements Shelf registrations International finance Commercial paper Innovative financial products and asset-backed securities the Third Edition also includes updates on many important developments in corporate finance, including: New standards for IPO allocations the reduced role of analysts in securities offerings driven by reforms separating the interaction of research analysts And The investment bankers who bring in new business an updated look at MD&A (Management Discussion & Analysis) A new chapter focusing on asset-backed securities Sarbanes-Oxley's effects on disclosure requirements and due diligence the growing trend of On-line offerings Dealing with 'gun-jumping' problems Electronic delivery of offering documents New emphasis on financial statement due diligence New NASD corporate financing rule New NASD rule on retention of new issues (formerly the 'hot issue' rule) Exiting the SEC reporting system Innovative financing techniques And The Commodity Futures Modernization Act of 2000 Short sales and equity derivatives Innovations in convertible, exchangeable and equity-linked securities Amended Rule 10b-18 and more
Securities Regulation
Author: James D. Cox
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 194
Book Description
Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more.
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 194
Book Description
Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more.
The Securities Law of Public Finance
Author: Robert A. Fippinger
Publisher:
ISBN:
Category : Bonds
Languages : en
Pages : 480
Book Description
Publisher:
ISBN:
Category : Bonds
Languages : en
Pages : 480
Book Description