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Broker-dealer regulation in a nutshell / Thomas Lee Hazen. (West nutshell series)

Broker-dealer regulation in a nutshell / Thomas Lee Hazen. (West nutshell series)
Paper図書
Thomson/Westc2003.<AU-441-B2>
National Diet Library
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States.

A practitioner's guide to MiFID II 3rd edition.

A practitioner's guide to MiFID II 3rd edition.
Paper図書
consultant editor, Jonathan Herbst with Simon Lovegrove.Sweet & Maxwell/Thomson Reuters2018.<A411-B808>
National Diet Library

Securities Industry Act 1983 (Act 280) & regulations : as at 20th July 2006 / compiled by Legal Research Board. (Laws of Malaysia)

Securities Industry Act 1983 (Act 280) & regulations : as at 20th July 2006 / compiled by Legal Research Board. (Laws of Malaysia)
Paper図書
International Law Book Services2006.<CM12-411-B40>
National Diet Library
  • Subject Heading...n -- Malaysia. Stockbrokers -- Legal status, laws, etc. -- Malaysia.

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...and employment Stockbrokers -- Legal status, laws, etc. -- United States Securities i...

Securities and Exchange Commission [microform] : reporting requirements for brokers or dealers under the Securities Exchange Act of 1934 / United States General Accounting Office, Office of the General Counsel

Securities and Exchange Commission [microform] : reporting requirements for brokers or dealers under the Securities Exchange Act of 1934 / United States General Accounting Office, Office of the General Counsel
Microform図書
1997<YCA-GA 1.13:OGC-97-22>
National Diet Library
  • Subject Heading...s and practice Stockbrokers -- Legal status, laws, etc. -- United States Information ...

Broker-dealer regulation : cases and analysis

Broker-dealer regulation : cases and analysis
Paper図書
Cheryl NicholsCarolina Academic Pressc2017
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States

Broker-dealer regulation in a nutshell : pbk 3rd ed

Broker-dealer regulation in a nutshell : pbk 3rd ed
Paper図書
Thomas Lee HazenWest Academicc2017
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States

Broker-dealer regulation in a nutshell : pbk 4th ed

Broker-dealer regulation in a nutshell : pbk 4th ed
Paper図書
Thomas Lee HazenWest Academicc2021
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United Stat......LC)fst01110743 Stockbrokers -- Legal status, laws, etc. fast (OCoLC)fst01133669 Unite...
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United Stat......LC)fst01110743 Stockbrokers -- Legal status, laws, etc. fast (OCoLC)fst01133669 Unite...

Broker-dealer regulation in a nutshell : pbk 2nd ed

Broker-dealer regulation in a nutshell : pbk 2nd ed
Paper図書
by Thomas Lee HazenWest/Thomson Reutersc2011
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States

Droit et déontologie des activités financières en Allemagne : recueil et analyse des textes législatifs, réglementaires et des codes de conduite en Allemagne / Alice Pezard, Jean-Philippe Rageade. (Collection finance et société)

Droit et déontologie des activités financières en Allemagne : recueil et analyse des textes législatifs, réglementaires et des codes de conduite en Allemagne / Alice Pezard, Jean-Philippe Rageade. (Collection finance et société)
Paper図書
La Documentation franc̜aisec1998.<AG4-441-A20>
National Diet Library
  • Subject Heading...e supervision. Stockbrokers -- Legal status, laws, etc. -- Germany. Securities indust...

Broker-dealer law and regulation : set 4th ed

Broker-dealer law and regulation : set 4th ed
Paper図書
Norman S. Poser, James A. FantoAspen Publishersc2007
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States

Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991

Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991
Microform図書
1991<YCA-Y 4.En 2/3:102-38>
National Diet Library
  • Subject Heading... United States Stockbrokers -- Legal status, laws, etc. -- United States

Anlageberatungshaftung in Europa : eine rechtsvergleichende Untersuchung des deutschen, englischen und italienischen Rechts

Anlageberatungshaftung in Europa : eine rechtsvergleichende Untersuchung des deutschen, englischen und italienischen Rechts
Paper図書
Sophie BurchardiDe Gruyterc2020
Other Libraries in Japan
  • Subject Heading...nion countries Stockbrokers -- Legal status, laws, etc. -- European Union countries
  • Subject Heading (ID)...nion countries Stockbrokers -- Legal status, laws, etc. -- European Union countries

Broker-dealer regulation in a nutshell : pbk

Broker-dealer regulation in a nutshell : pbk
Paper図書
Thomas Lee HazenWest Groupc2003
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States

A practitioner's guide to MiFID II 3rd ed

A practitioner's guide to MiFID II 3rd ed
Paper図書
consultant editor, Jonathan Herbst with Simon LovegroveSweet & Maxwell, Thomson Reuters2018
Other Libraries in Japan
  • Subject Heading...nion countries Stockbrokers -- Legal status, laws, etc. -- European Union countries I...
  • Subject Heading (ID)...nion countries Stockbrokers -- Legal status, laws, etc. -- European Union countries I...

Investor's guide to loss recovery : rights, mediation, arbitration, and other strategies : hardback

Investor's guide to loss recovery : rights, mediation, arbitration, and other strategies : hardback
Paper図書
Louis L. StraneyJ. Wileyc2011
Other Libraries in Japan
  • Subject Heading... United States Stockbrokers -- Legal status, laws, etc. -- United States Securities f...
  • Subject Heading (ID)... United States Stockbrokers -- Legal status, laws, etc. -- United States Securities f...

Abuse on Wall Street : conflicts of interest in the securities markets : report to the Twentieth Century Fund Steering Committee on Conflicts of Interest in the Securities Markets.

Abuse on Wall Street : conflicts of interest in the securities markets : report to the Twentieth Century Fund Steering Committee on Conflicts of Interest in the Securities Markets.
Paper図書
Quorum Booksc1980.<DF178-38>
National Diet LibraryOther Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States. Conflict of...

Broker-dealer law and regulation 3rd ed

Broker-dealer law and regulation 3rd ed
Paper図書
Norman S. PoserAspen Law & Business1999
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States

Hazen & Ratner, broker dealer regulation : cases and materials

Hazen & Ratner, broker dealer regulation : cases and materials
Paper図書
by Thomas Lee Hazen, David L. RatnerThomson/Westc2003
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States -- Cases Sec...
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States -- Cases Sec...

Broker-dealer law and regulation 2nd ed

Broker-dealer law and regulation 2nd ed
Paper図書
Norman S. PoserAspen Law & Businessc1997
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States
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