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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.

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

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 -- United States

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 governance -- Law ...

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

Securities regulation v. 11 Rev. 2019-2 6th ed

Securities regulation v. 11 Rev. 2019-2 6th ed
Paper図書
Louis Loss, Joel Seligman, Troy ParedesWolters Kluwerc2019-
Other Libraries in Japan
  • Subject HeadingSecurities -- United States Securities industry -- Law and legislation -- United States
  • Subject Heading (ID)Securities -- United States Securities industry -- Law and legislation -- United States

Wasting a crisis : why securities regulation fails : pbk

Wasting a crisis : why securities regulation fails : pbk
Paper図書
Paul G.MahoneyUniversity of Chicago Press2016, c2015
Other Libraries in Japan
  • Subject HeadingSecurities industry -- Law and legislation -- United States Securities industry -- Law and legislation -- United States -- History -- 20th century
  • Subject Heading (ID)Securities industry -- Law and legislation -- United States Securities industry -- Law and legislation -- United States -- History -- 20th century

Wasting a crisis : why securities regulation fails : cloth

Wasting a crisis : why securities regulation fails : cloth
Paper図書
Paul G. MahoneyUniversity of Chicago Pressc2015
Other Libraries in Japan
  • Subject HeadingSecurities industry -- Law and legislation -- United States Securities industry -- Law and legislation -- United States -- History -- 20th century
  • Subject Heading (ID)Securities industry -- Law and legislation -- United States Securities industry -- Law and legislation -- United States -- History -- 20th century

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 and award -- Unit...

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

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

Securities regulation 2015 cumulative supplement 2016 cumulative supplement 4th/5th ed

Securities regulation 2015 cumulative supplement 2016 cumulative supplement 4th/5th ed
Paper図書
Louis Loss, Joel Seligman, Troy ParedesWolters Kluwerc2014-
Other Libraries in Japan
  • Subject HeadingSecurities -- United States Securities industry -- Law and legislation -- United States
  • Subject Heading (ID)Securities -- United States Securities industry -- Law and legislation -- United States

Securities regulation v. 1 v. 2 v. 3 v. 4 v. 5 v. 6 v. 7 v. 8 v. 9 v. 10 v. 11 Rev. 2014-1 v. 11 Rev. 2014-2 v. 11 Rev. 2015-1 v. 11 Rev. 2015-2 v. 11 Rev. 2016-1 v. 11 Rev. 2016-2 v. 11 Rev. 2017-1 v. 11 Rev. 2017-2 v. 11 Rev. 2018-1 v. 11 Rev. 2018-2 5th ed

Securities regulation v. 1 v. 2 v. 3 v. 4 v. 5 v. 6 v. 7 v. 8 v. 9 v. 10 v. 11 Rev. 2014-1 v. 11 Rev. 2014-2 v. 11 Rev. 2015-1 v. 11 Rev. 2015-2 v. 11 Rev. 2016-1 v. 11 Rev. 2016-2 v. 11 Rev. 2017-1 v. 11 Rev. 2017-2 v. 11 Rev. 2018-1 v. 11 Rev. 2018-2 5th ed
Paper図書
Louis Loss, Joel Seligman, Troy ParedesWolters Kluwer Law & Businessc2014-
Other Libraries in Japan
  • Subject HeadingSecurities -- United States Securities industry -- Law and legislation -- United States
  • Subject Heading (ID)Securities -- United States Securities industry -- Law and legislation -- United States

Capital markets, derivatives, and the law : positivity and preparation : hardcover 3rd ed

Capital markets, derivatives, and the law : positivity and preparation : hardcover 3rd ed
Paper図書
Alan N. RechtschaffenOxford University Pressc2019
Other Libraries in Japan
  • Subject Heading... United States Securities industry -- Law and legislation -- United States
  • Subject Heading (ID)... United States Securities industry -- Law and legislation -- United States

Reforming the nation's financial system : analysis of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.

Reforming the nation's financial system : analysis of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
Paper図書
LexisNexisc2010.<CU-441-B1>
National Diet LibraryOther Libraries in Japan
  • Subject Heading...United States. Securities industry -- Law and legislation -- United States. Banking law -- United States...

Accounting reform and investor protection : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, second session, on the legislative history of the Sarbanes-Oxley Act of 2002, accounting reform and investor protection issues raised by Enron and other public companies. vol.1 (S. hrg. ; 107-948)

Accounting reform and investor protection : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, second session, on the legislative history of the Sarbanes-Oxley Act of 2002, accounting reform and investor protection issues raised by Enron and other public companies. vol.1 (S. hrg. ; 107-948)
Microform図書
2003<YCA-Y 4.B 22/3:S.HRG.107-948/V.1>
National Diet Library
  • Subject Heading...nal provisions Securities industry -- Law and legislation -- United States -- Criminal provisions Corpor...

Accounting reform and investor protection : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, second session, on the legislative history of the Sarbanes-Oxley Act of 2002, accounting reform and investor protection issues raised by Enron and other public companies. vol.4 (S. hrg. ; 107-948)

Accounting reform and investor protection : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, second session, on the legislative history of the Sarbanes-Oxley Act of 2002, accounting reform and investor protection issues raised by Enron and other public companies. vol.4 (S. hrg. ; 107-948)
Microform図書
2003<YCA-Y 4.B 22/3:S.HRG.107-948/V.4>
National Diet Library
  • Subject Heading...nal provisions Securities industry -- Law and legislation -- United States -- Criminal provisions Corpor...