「"Stockbrokers -- Legal status, laws, etc. -- United States"」の検索結果 | NDLサーチ

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

紙図書

Thomson/Westc2003.<AU-441-B2>

国立国会図書館

件名Stockbrokers -- 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)

マイクロ図書

2003<YCA-Y 4.F 49/20:108-9>

国立国会図書館

件名...and employment Stockbrokers -- Legal status, laws, etc. -- United States Securities industry -- Law an...

Broker-dealer regulation : cases and analysis

紙図書

Cheryl NicholsCarolina Academic Pressc2017

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States

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

紙図書

Thomas Lee HazenWest Academicc2017

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）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

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1997<YCA-GA 1.13:OGC-97-22>

国立国会図書館

件名...s and practice Stockbrokers -- Legal status, laws, etc. -- United States Information storage and retri...

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

紙図書

by Thomas Lee HazenWest/Thomson Reutersc2011

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States

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

紙図書

Thomas Lee HazenWest Academicc2021

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件名Stockbrokers -- Legal status, laws, etc. -- United States Study guides. lcgft Securitie...
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States Study guides. lcgft Securitie...

Broker-dealer law and regulation : set 4th ed

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Norman S. Poser, James A. FantoAspen Publishersc2007

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States

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

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Louis L. StraneyJ. Wileyc2011

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件名... United States Stockbrokers -- Legal status, laws, etc. -- United States Securities fraud -- United St...
件名（識別子）... United States Stockbrokers -- Legal status, laws, etc. -- United States Securities fraud -- United St...

Broker-dealer regulation in a nutshell : pbk

紙図書

Thomas Lee HazenWest Groupc2003

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）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

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1991<YCA-Y 4.En 2/3:102-38>

国立国会図書館

件名... United States Stockbrokers -- Legal status, laws, etc. -- United States

Broker-dealer law and regulation 3rd ed

紙図書

Norman S. PoserAspen Law & Business1999

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States

Broker-dealer law and regulation 2nd ed

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Norman S. PoserAspen Law & Businessc1997

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）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.

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Quorum Booksc1980.<DF178-38>

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件名Stockbrokers -- 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

紙図書

by Jerry W. Markham and Thomas Lee HazenClark Boardman Callaghan1995-

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States

Broker-dealer law and regulation : private rights of action

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Norman S. PoserLittle, Brownc1995

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States

Broker-dealer regulation [15] [15A]

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by David A. LiptonC. Boardman Co.c1995-

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件名Stockbrokers -- Legal status, laws, etc. -- United States
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States

Hazen & Ratner, broker dealer regulation : cases and materials

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by Thomas Lee Hazen, David L. RatnerThomson/Westc2003

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件名Stockbrokers -- Legal status, laws, etc. -- United States -- Cases Securities -- United...
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States -- Cases Securities -- United...

Stockbroker supervision : managing stockbrokers and surviving sanctions

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Ralph C. Ferrara, David W. Rivkin, Gregory S. CrespiButterworth Legal Publishersc1989

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件名Stockbrokers -- Legal status, laws, etc. -- United States Securities -- United States S...
件名（識別子）Stockbrokers -- Legal status, laws, etc. -- United States Securities -- United States S...

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

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Greenwood Press[1968]<A411-70>

国立国会図書館全国の図書館

件名Stockbrokers -- Legal status, laws, etc. -- United States. Stock exchanges -- Law and l...