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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)
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)

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

Broker-dealer regulation : cases and analysis

Broker-dealer regulation : cases and analysis
紙図書
Cheryl NicholsCarolina Academic Pressc2017
全国の図書館

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

Broker-dealer regulation in a nutshell : pbk 3rd ed
紙図書
Thomas Lee HazenWest Academicc2017
全国の図書館

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
マイクロ図書
1997<YCA-GA 1.13:OGC-97-22>
国立国会図書館

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

Broker-dealer regulation in a nutshell : pbk 2nd ed
紙図書
by Thomas Lee HazenWest/Thomson Reutersc2011
全国の図書館

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

Broker-dealer regulation in a nutshell : pbk 4th ed
紙図書
Thomas Lee HazenWest Academicc2021
全国の図書館

Broker-dealer law and regulation : set 4th ed

Broker-dealer law and regulation : set 4th ed
紙図書
Norman S. Poser, James A. FantoAspen Publishersc2007
全国の図書館

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
紙図書
Louis L. StraneyJ. Wileyc2011
全国の図書館

Broker-dealer regulation in a nutshell : pbk

Broker-dealer regulation in a nutshell : pbk
紙図書
Thomas Lee HazenWest Groupc2003
全国の図書館

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
マイクロ図書
1991<YCA-Y 4.En 2/3:102-38>
国立国会図書館

Broker-dealer law and regulation 3rd ed

Broker-dealer law and regulation 3rd ed
紙図書
Norman S. PoserAspen Law & Business1999
全国の図書館

Broker-dealer law and regulation 2nd ed

Broker-dealer law and regulation 2nd ed
紙図書
Norman S. PoserAspen Law & Businessc1997
全国の図書館

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.
紙図書
Quorum Booksc1980.<DF178-38>
国立国会図書館全国の図書館
  • 件名Stockbrokers -- Legal status, laws, etc. -- United States. Conflict of interests -- Unit...

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
紙図書
by Jerry W. Markham and Thomas Lee HazenClark Boardman Callaghan1995-
全国の図書館

Broker-dealer law and regulation : private rights of action

Broker-dealer law and regulation : private rights of action
紙図書
Norman S. PoserLittle, Brownc1995
全国の図書館

Broker-dealer regulation [15] [15A]

Broker-dealer regulation [15] [15A]
紙図書
by David A. LiptonC. Boardman Co.c1995-
全国の図書館

Hazen & Ratner, broker dealer regulation : cases and materials

Hazen & Ratner, broker dealer regulation : cases and materials
紙図書
by Thomas Lee Hazen, David L. RatnerThomson/Westc2003
全国の図書館

Stockbroker supervision : managing stockbrokers and surviving sanctions

Stockbroker supervision : managing stockbrokers and surviving sanctions
紙図書
Ralph C. Ferrara, David W. Rivkin, Gregory S. CrespiButterworth Legal Publishersc1989
全国の図書館

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

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