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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.

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 industry -- Law an...

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

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 storage and retri...

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

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 States Study guides. lcgft Securitie...
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States Study guides. lcgft Securitie...

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

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 fraud -- United St...
  • Subject Heading (ID)... United States Stockbrokers -- Legal status, laws, etc. -- United States Securities fraud -- United St...

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

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

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

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

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 interests -- Uni...

Broker-dealer operations under securities and commodities law : financial responsibilities, credit regulation, and consumer protection

Broker-dealer operations under securities and commodities law : financial responsibilities, credit regulation, and consumer protection
Paper図書
by Jerry W. Markham and Thomas Lee HazenClark Boardman Callaghan1995-
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States

Broker-dealer law and regulation : private rights of action

Broker-dealer law and regulation : private rights of action
Paper図書
Norman S. PoserLittle, Brownc1995
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 [15] [15A]

Broker-dealer regulation [15] [15A]
Paper図書
by David A. LiptonC. Boardman Co.c1995-
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 Securities -- United...
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States -- Cases Securities -- United...

Stockbroker supervision : managing stockbrokers and surviving sanctions

Stockbroker supervision : managing stockbrokers and surviving sanctions
Paper図書
Ralph C. Ferrara, David W. Rivkin, Gregory S. CrespiButterworth Legal Publishersc1989
Other Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States Securities -- United States S...
  • Subject Heading (ID)Stockbrokers -- Legal status, laws, etc. -- United States Securities -- United States S...

A treatise on the law of stock-brokers and stock-exchanges.

A treatise on the law of stock-brokers and stock-exchanges.
Paper図書
Greenwood Press[1968]<A411-70>
National Diet LibraryOther Libraries in Japan
  • Subject HeadingStockbrokers -- Legal status, laws, etc. -- United States. Stock exchanges -- Law and l...
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