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- 2007000202 contributor B10748884.
- 2007000202 contributor B10748885.
- 2007000202 created "c2007-".
- 2007000202 date "2007".
- 2007000202 date "c2007-".
- 2007000202 dateCopyrighted "c2007-".
- 2007000202 description "Includes bibliographical references and index.".
- 2007000202 description "v. 1. The economics and structure of the securities industry -- Broker-dealers within financial conglomerates -- The securities markets -- An overview of the regulatory system -- Broker registration and exemptions -- Broker and associated person registration process -- Broker recordkeeping and reporting -- Privacy and anti-money laundering -- The duty to supervise -- Compensation in the securities industry -- Electronic trading and the securities industry -- Financial regulation of broker-dealers -- Broker-dealers in public offerings -- SEC and SRO enforcement and disciplinary proceedings -- Penny stock regulation -- v. 2. Liability of broker-dealers under common law -- Fraud generally -- Churning -- The suitability doctrine -- Unauthorized trading -- Market manipulation -- Conflicts of interst and the securities industry -- Damages in actions against broker-dealers -- Defenses in actions against broker-dealers -- Vicarious liability -- Securities arbitration: the legal context -- The SRO forums -- Arbitrability of securities disputes -- Arbitration awards -- Judicial review of arbitral awards -- Mediation.".
- 2007000202 extent "v. (loose-leaf) ;".
- 2007000202 identifier "9780735567856 (loose-leaf : alk. paper)".
- 2007000202 identifier 2007000202.html.
- 2007000202 issued "2007".
- 2007000202 issued "c2007-".
- 2007000202 language "eng".
- 2007000202 publisher "[Frederick, MD] : Aspen Publishers,".
- 2007000202 relation "Broker-dealer law and regulation.".
- 2007000202 replaces "Broker-dealer law and regulation.".
- 2007000202 spatial "United States.".
- 2007000202 subject "346.73/0926 22".
- 2007000202 subject "KF1071 .P6723".
- 2007000202 subject "Stockbrokers Legal status, laws, etc. United States.".
- 2007000202 tableOfContents "v. 1. The economics and structure of the securities industry -- Broker-dealers within financial conglomerates -- The securities markets -- An overview of the regulatory system -- Broker registration and exemptions -- Broker and associated person registration process -- Broker recordkeeping and reporting -- Privacy and anti-money laundering -- The duty to supervise -- Compensation in the securities industry -- Electronic trading and the securities industry -- Financial regulation of broker-dealers -- Broker-dealers in public offerings -- SEC and SRO enforcement and disciplinary proceedings -- Penny stock regulation -- v. 2. Liability of broker-dealers under common law -- Fraud generally -- Churning -- The suitability doctrine -- Unauthorized trading -- Market manipulation -- Conflicts of interst and the securities industry -- Damages in actions against broker-dealers -- Defenses in actions against broker-dealers -- Vicarious liability -- Securities arbitration: the legal context -- The SRO forums -- Arbitrability of securities disputes -- Arbitration awards -- Judicial review of arbitral awards -- Mediation.".
- 2007000202 title "Broker-dealer law and regulation / Norman S. Poser, James A. Fanto.".
- 2007000202 type "text".