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Liability of asset managers 1st ed.

Liability of asset managers 1st ed.
Paper図書
edited by Danny Busch, Deborah A. DeMott.Oxford University Press2012.<A411-B489>
National Diet Library

Regulation of securities, markets, and transactions : a guide to the new environment / Patrick S. Collins. ([Wiley finance])

Regulation of securities, markets, and transactions : a guide to the new environment / Patrick S. Collins. ([Wiley finance])
Paper図書
Wileyc2011.<DF135-B30>
National Diet Library
  • Subject HeadingSecurities -- United States. Securities industry -- Law and legislation -- United States.

Financial services regulation in Asia Pacific / general editors, Andrew Halper and Carl Hinze. 2nd ed.

Financial services regulation in Asia Pacific / general editors, Andrew Halper and Carl Hinze. 2nd ed.
Paper図書
Oxford University Press2008.<A411-B211>
National Diet Library
  • Subject Heading...ation -- Asia. Securities industry -- Law and legislation -- Asia. Finan...... Pacific Area. Securities industry -- Law and legislation -- Pacific Area.

Rehuli͡uvanni͡a rynku t͡sinnykh paperiv v Ukraïni : derz︠h︡avne rehuli͡uvanni͡a rynku t͡sinnykh paperiv, pori͡adok vypusku t͡sinnykh paperiv, kontrol' za vypuskom ta obihom t͡sinnykh paperiv, obih t͡sinnykh paperiv u Nat͡sional'niĭ depozytarniĭ systemi, rei͡estrat͡sii͡a ta vypusk t͡sinnykh paperiv, sudova praktyka. (Bi͡uleten' zakonodavstva i i͡urydychnoï praktyky Ukraïny ; 5, 2005)

Rehuli͡uvanni͡a rynku t͡sinnykh paperiv v Ukraïni : derz︠h︡avne rehuli͡uvanni͡a rynku t͡sinnykh paperiv, pori͡adok vypusku t͡sinnykh paperiv, kontrol' za vypuskom ta obihom t͡sinnykh paperiv, obih t͡sinnykh paperiv u Nat͡sional'niĭ depozytarniĭ systemi, rei͡estrat͡sii͡a ta vypusk t͡sinnykh paperiv, sudova praktyka. (Bi͡uleten' zakonodavstva i i͡urydychnoï praktyky Ukraïny ; 5, 2005)
Paper図書
I͡Urinkom Inter2005.<CU5-411-B8>
National Diet Library
  • Subject HeadingSecurities -- Ukraine. Securities industry -- Law and legislation -- Ukraine.

Derivatives reform and regulation (Economic issues, problems and perspectives)

Derivatives reform and regulation (Economic issues, problems and perspectives)
Paper図書
Aidan B. Lynch, editor.Nova Science Publishersc2011.<DF161-B67>
National Diet Library

Rating the rating agencies : the state of transparency and competition : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, first session, April 2, 2003 Serial no. 108-18 (United States. Congress. House. Committee on Financial Services)

Rating the rating agencies : the state of transparency and competition : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, first session, April 2, 2003 Serial no. 108-18 (United States. Congress. House. Committee on Financial Services)
Microform図書
2003<YCA-Y 4.F 49/20:108-18>
National Diet Library
  • Subject Heading... United States Securities industry -- Law and legislation -- United States

Global securities litigation and enforcement : hardback

Global securities litigation and enforcement : hardback
Paper図書
edited by Pierre-Henri Conac, Martin GelterCambridge University Press2019
Other Libraries in Japan
  • Subject HeadingSecurities Securities industry -- Law and legislation Actions and defenses (Adminis...
  • Subject Heading (ID)Securities Securities industry -- Law and legislation Actions and defenses (Adminis...

Securities Fraud Deterrence and Investor Restitution Act of 2004 : report together with dissenting views (to accompany H.R. 2179) (including cost estimate of the Congressional Budget Office) (Rept.)

Securities Fraud Deterrence and Investor Restitution Act of 2004 : report together with dissenting views (to accompany H.R. 2179) (including cost estimate of the Congressional Budget Office) (Rept.)
Microform図書
2004<YCA-Y 1.1/8:108-475/PT.1>
National Diet Library
  • Subject Heading... -- Prevention Securities industry -- Law and legislation -- United States Restitution ...

Sarbanes-Oxley manual : a handbook for the Act and SEC rules / [editorial staff] James Hamilton, Ted Trautmann. 3rd ed.

Sarbanes-Oxley manual : a handbook for the Act and SEC rules / [editorial staff] James Hamilton, Ted Trautmann. 3rd ed.
Paper図書
CCH Incorporatedc2008.<AU-861-B9>
National Diet Library
  • Subject Heading...United States. Securities industry -- Law and legislation -- United States. Corporate g...

H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker Accountability Through Enhanced Transparency Act of 2003 : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, first session, March 6, 2003 Serial no. 108-9 (United States. Congress. House. Committee on Financial Services)

H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker Accountability Through Enhanced Transparency Act of 2003 : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, first session, March 6, 2003 Serial no. 108-9 (United States. Congress. House. Committee on Financial Services)
Microform図書
2003<YCA-Y 4.F 49/20:108-9>
National Diet Library
  • Subject Heading... United States Securities industry -- Law and legislation -- United States

Policing the markets : inside the black box of securities enforcement : hbk

Policing the markets : inside the black box of securities enforcement : hbk
Paper図書
James W. WilliamsRoutledge2012
Other Libraries in Japan
  • Subject HeadingSecurities industry -- Law and legislation Securities
  • Subject Heading (ID)Securities industry -- Law and legislation Securities

Building an EU securities market / Eilís Ferran.

Building an EU securities market / Eilís Ferran.
Paper図書
Cambridge University Press2004.<AE5-411-B39>
National Diet Library
  • Subject HeadingSecurities industry -- Law and legislation -- European Union countries. ...

Lehrbuch Wertpapierrecht : nach österreichischem und deutschem Recht

Lehrbuch Wertpapierrecht : nach österreichischem und deutschem Recht
Paper図書
von Heinz Keinert, Elisabeth Keinertfacultas2023
Other Libraries in Japan
  • Subject Heading...ies -- Germany Securities industry -- Law and legislation -- Austria Securities industry -- Law and legislation -- Germany Neg......y -- Textbooks Securities industry -- Law and legislation -- Austria -- Textbooks Securities industry -- Law and legislation -- Germany -- Textbooks Negot...
  • Subject Heading (ID)...ies -- Germany Securities industry -- Law and legislation -- Austria Securities industry -- Law and legislation -- Germany Neg......y -- Textbooks Securities industry -- Law and legislation -- Austria -- Textbooks Securities industry -- Law and legislation -- Germany -- Textbooks Negot...

Principles of corporate finance law : pbk 3rd ed.

Principles of corporate finance law : pbk 3rd ed.
Paper図書
Eilís Ferran, Elizabeth Howell and Felix SteffekOxford University Pressc2023
Other Libraries in Japan
  • Subject Heading...nion countries Securities industry -- Law and legislation -- Great Britain Securities industry -- Law and legislation -- European Union countries
  • Subject Heading (ID)...nion countries Securities industry -- Law and legislation -- Great Britain Securities industry -- Law and legislation -- European Union countries

Fair disclosure or flawed disclosure : is Reg FD helping or hurting investors? : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, May 17, 2001

Fair disclosure or flawed disclosure : is Reg FD helping or hurting investors? : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, May 17, 2001
Microform図書
2001<YCA-Y 4.F 49/20:107-18>
National Diet Library
  • Subject Heading... United States Securities industry -- Law and legislation -- United States

Hearing to consider H.R. 3412 : hearing before the Committee on Small Business, House of Representatives, One Hundred Fifth Congress, second session, Washington, DC, March 12, 1998

Hearing to consider H.R. 3412 : hearing before the Committee on Small Business, House of Representatives, One Hundred Fifth Congress, second session, Washington, DC, March 12, 1998
Microform図書
1998<YCA-Y 4.SM 1:105-39>
National Diet Library
  • Subject Heading... United States Securities industry -- Law and legislation -- United States

Mandatory arbitration agreements in employment contracts in the securities industry : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, second session, on amending certain federal civil rights statutes to prevent the involuntary application of arbitration to claims ... July 31, 1998 (S. hrg. ; 105-1020)

Mandatory arbitration agreements in employment contracts in the securities industry : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, second session, on amending certain federal civil rights statutes to prevent the involuntary application of arbitration to claims ... July 31, 1998 (S. hrg. ; 105-1020)
Microform図書
1999<YCA-Y 4.B 22/3:S.HRG.105-1020>
National Diet Library
  • Subject HeadingSecurities industry -- Law and legislation -- United States Arbitration ...

Pushing back the pushouts : the SEC's broker-dealer rules : joint hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, August 2, 2001

Pushing back the pushouts : the SEC's broker-dealer rules : joint hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, August 2, 2001
Microform図書
2001<YCA-Y 4.F 49/20:107-43>
National Diet Library
  • Subject Heading... United States Securities industry -- Law and legislation -- United States

Liability of asset managers

Liability of asset managers
Paper図書
edited by Danny Busch, Deborah A. DeMottOxford University Press2012
Other Libraries in Japan
  • Subject HeadingInvestment advisors -- Legal status, laws, etc Securities industry -- Law and legislation
  • Subject Heading (ID)Investment advisors -- Legal status, laws, etc Securities industry -- Law and legislation

Consumer and Investor Access to Information Act of 1999 : report (to accompany H.R. 1858) (including cost estimate of the Congressional Budget Office) (Rept.)

Consumer and Investor Access to Information Act of 1999 : report (to accompany H.R. 1858) (including cost estimate of the Congressional Budget Office) (Rept.)
Microform図書
1999<YCA-Y 1.1/8:106-350/PT.1>
National Diet Library
  • Subject Heading... United States Securities industry -- Law and legislation -- United States
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