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Broker-dealer regulation in a nutshell / / Thomas Lee Hazen
| Broker-dealer regulation in a nutshell / / Thomas Lee Hazen |
| Autore | Hazen Thomas Lee <1947-> |
| Edizione | [Second edition.] |
| Pubbl/distr/stampa | St. Paul, Minnesota : , : West Academic Publishing, , 2011 |
| Descrizione fisica | 1 online resource (167 pages) |
| Disciplina | 346.730926 |
| Collana | Nutshell series |
| Soggetto topico | Stockbrokers - Legal status, laws, etc - United States |
| ISBN | 1-62810-605-0 |
| Formato | Materiale a stampa  |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Record Nr. | UNINA-9910136676603321 |
Hazen Thomas Lee <1947->
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| St. Paul, Minnesota : , : West Academic Publishing, , 2011 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Federal securities law [[electronic resource] /] / Thomas Lee Hazen ; legal editor: Kris Markarian
| Federal securities law [[electronic resource] /] / Thomas Lee Hazen ; legal editor: Kris Markarian |
| Autore | Hazen Thomas Lee <1947-> |
| Edizione | [3rd ed.] |
| Pubbl/distr/stampa | [Washington, D.C.] : , : Federal Judicial Center, , 2011 |
| Descrizione fisica | 1 online resource (ix, 201 pages) |
| Altri autori (Persone) | MarkarianKris |
| Soggetto topico |
Securities - United States
Stock exchanges - Law and legislation - United States |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 1. Introduction -- 2. Scope and reach of securities laws -- 3. Regulating distribution of securities - Securities Act of 1933 -- 4. Regulating issuers, securities professionals, and securities markets - Securities Exchange Act of 1934. |
| Record Nr. | UNINA-9910693606103321 |
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Hazen Thomas Lee <1947->
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| [Washington, D.C.] : , : Federal Judicial Center, , 2011 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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The law of securities regulation / / Thomas Lee Hazen
| The law of securities regulation / / Thomas Lee Hazen |
| Autore | Hazen Thomas Lee <1947-> |
| Edizione | [Seventh edition.] |
| Pubbl/distr/stampa | St. Paul, Minnesota : , : West Academic Publishing, , 2017 |
| Descrizione fisica | 1 online resource (1,056 pages) : illustrations |
| Disciplina | 346.730666 |
| Collana | Hornbook series |
| Soggetto topico | Securities - United States |
| ISBN | 1-68328-170-5 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | The basic coverage of the securities laws -- Registration requirements of the Securities Act of 1933 -- The 1933 Act registration process and disclosure -- Exemptions from 1933 Act registration -- The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act -- IPO practices : manipulation, stabilization and hot issues -- Remedies for violations of the Securities Act of 1933 (and other consequences of deficient registration statements) -- State securities laws ("blue sky" laws) -- Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies -- Shareholder suffrage : proxy regulation -- Tender offer and takeover regulation -- Manipulation and fraud : civil liability -- Insider reporting and short-swing trading : Securities Exchange Act section 16 -- Market regulation and broker-dealer regulation -- Arbitration of broker-dealer disputes -- Civil and criminal enforcement -- Jurisdictional aspects -- Debt securities and protection of bondholders : the Trust Indenture Act of 1939 -- Federal regulation of investment companies : the Investment Company Act of 1940 -- Investment Advisers Act of 1940 -- Special problems and overview of related laws. |
| Record Nr. | UNINA-9910150250603321 |
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Hazen Thomas Lee <1947->
|
||
| St. Paul, Minnesota : , : West Academic Publishing, , 2017 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Securities regulation in a nutshell / / Thomas Lee Hazen
| Securities regulation in a nutshell / / Thomas Lee Hazen |
| Autore | Hazen Thomas Lee <1947-> |
| Edizione | [Eleventh edition.] |
| Pubbl/distr/stampa | St. Paul, Minnesota : , : West Academic Publishing, , 2016 |
| Descrizione fisica | 1 online resource (259 pages) : illustrations |
| Disciplina | 346.73092 |
| Collana | Nutshell series |
| Soggetto topico | Securities - United States |
| ISBN | 1-68328-319-8 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Introduction -- Regulation of public offerings -- Introduction to the Regulation of publicly-held companies -- Antifraud provisions -- Regulation of the securities business -- Regulation of investment companies and investment advisers -- Sanctions for violations -- Civil liabilities -- Extraterritorial application -- State regulation. |
| Record Nr. | UNINA-9910149425103321 |
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Hazen Thomas Lee <1947->
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||
| St. Paul, Minnesota : , : West Academic Publishing, , 2016 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||