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Accounting guide : brokers and dealers in securities / / AICPA
| Accounting guide : brokers and dealers in securities / / AICPA |
| Pubbl/distr/stampa | Durham, North Carolina : , : American Institute of Certified Public Accountants, , [2019] |
| Descrizione fisica | 1 online resource (455 pages) |
| Disciplina | 346.73092 |
| Soggetto topico | Securities - United States |
| Soggetto genere / forma | Electronic books. |
| ISBN |
1-948306-67-0
1-119-67910-9 1-119-67909-5 |
| Formato | Materiale a stampa  |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Record Nr. | UNINA-9910554869103321 |
| Durham, North Carolina : , : American Institute of Certified Public Accountants, , [2019] | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Accounting guide : brokers and dealers in securities . 2019/ / AICPA
| Accounting guide : brokers and dealers in securities . 2019/ / AICPA |
| Pubbl/distr/stampa | [Hoboken, N.J.], : Wiley, c2019 |
| Descrizione fisica | 1 online resource (455 pages) |
| Disciplina | 346.73092 |
| Soggetto topico |
Accounting -- United States
Brokers -- United States -- Accounting Securities industry -- Accounting Stockbrokers -- United States -- Accounting Stockbrokers -- United States -- Auditing Securities industry -- United States -- Accounting Securities industry -- United States -- Auditing |
| ISBN |
1-948306-67-0
1-119-67910-9 1-119-67909-5 |
| Classificazione |
336.9
657.0973 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | und |
| Record Nr. | UNINA-9910677164403321 |
| [Hoboken, N.J.], : Wiley, c2019 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Equity trading round-up : proposals for strengthening the markets / / Robert A. Schwartz, John Aidan Byrne, Eileen Stempel, editors
| Equity trading round-up : proposals for strengthening the markets / / Robert A. Schwartz, John Aidan Byrne, Eileen Stempel, editors |
| Edizione | [1st ed. 2021.] |
| Pubbl/distr/stampa | Cham, Switzerland : , : Springer, , [2021] |
| Descrizione fisica | 1 online resource (XX, 159 p. 7 illus., 6 illus. in color.) |
| Disciplina | 346.73092 |
| Collana | Zicklin School of Business Financial Markets Series |
| Soggetto topico |
Stock exchanges - Law and legislation - United States
Stocks |
| ISBN | 3-030-51015-8 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Preface -- List of Participants -- Conference Sponsors -- Chapter 1: Trading, Clearing, Custody and the Worldwide Evolution of Exchanges as Unique Organizations -- Chapter 2: Coping with Liquidity Provision -- Chapter 3: The View from Here -- Chapter 4: Coping with the Dynamics of a Continuous Market -- Chapter 5: Strengthening the Infrastructure -- Chapter 6: A Closer Look at How to Improve and Repair Market Structure -- Chapter 7: Regulatory Initiatives -- Chapter 8: Unravelling the Complexity of Market Structure -- Chapter 9: A Liquidity Program to Stabilize Equity Markets -- Chapter 10: Invited Editorial: Combating Turbulence in the Equity Markets: Get the Listed Companies on Board. |
| Record Nr. | UNINA-9910483130903321 |
| Cham, Switzerland : , : Springer, , [2021] | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Investment adviser regulation in a nutshell / / by Jeffrey Haas, Steven Howard
| Investment adviser regulation in a nutshell / / by Jeffrey Haas, Steven Howard |
| Autore | Haas Jeffrey |
| Pubbl/distr/stampa | St. Paul, Minnesota : , : Thomson/West, , 2008 |
| Descrizione fisica | 1 online resource (368 pages) : illustrations |
| Disciplina | 346.73092 |
| Soggetto topico |
Investment advisors - Legal status, laws, etc - United States
Brokers - Legal status, laws, etc - United States Securities - United States |
| ISBN | 1-63459-988-8 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Introduction -- Who is an investment adviser? -- Federal and state authority over investment advisers -- Hedge fund and collateralized debt obligation (CDO) advisers -- Registration and form ADV -- Advertising by investment advisers -- The advisory relationship -- Performance of duties -- Wrap fee programs -- Proprietary and insider trading -- Recordkeeping requirements -- Chief compliance officers (CCOs) and issues relating to them -- Compliance, inspection and enforcement under the Advisers Act -- Limited private right of action -- Purchase and sale of investment advisers -- Special issues relating to the advisory business. |
| Record Nr. | UNINA-9910149185203321 |
Haas Jeffrey
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| St. Paul, Minnesota : , : Thomson/West, , 2008 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Investment management law and regulation / Harvey E. Bines, Steve Thel
| Investment management law and regulation / Harvey E. Bines, Steve Thel |
| Autore | BINES, Harvey E. |
| Edizione | [2. ed] |
| Pubbl/distr/stampa | New York : Aspen, c2004 |
| Descrizione fisica | XXXV, 927 p. ; 26 cm |
| Disciplina | 346.73092 |
| Altri autori (Persone) | THEL, Steve |
| Soggetto topico | Investimenti - Diritto e legislazione - Stati Uniti d'America |
| ISBN | 0-7355-3048-3 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Record Nr. | UNISA-990002156480203316 |
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BINES, Harvey E.
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| New York : Aspen, c2004 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. di Salerno | ||
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Principles of securities regulation / / by Thomas Lee Hazen
| Principles of securities regulation / / by Thomas Lee Hazen |
| Autore | Hazen Thomas Lee |
| Edizione | [Third edition.] |
| Pubbl/distr/stampa | St. Paul, Minnesota : , : West, , 2009 |
| Descrizione fisica | 1 online resource (463 pages) : illustrations |
| Disciplina | 346.73092 |
| Collana | Concise Hornbook Series |
| Soggetto topico |
Securities - United States
Securities |
| ISBN | 1-62810-727-8 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Record Nr. | UNINA-9910136115903321 |
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Hazen Thomas Lee
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| St. Paul, Minnesota : , : West, , 2009 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Securities regulation / by Louis Loss
| Securities regulation / by Louis Loss |
| Autore | LOSS, Louis |
| Edizione | [2 ed.] |
| Pubbl/distr/stampa | Boston : Little Brown, 1961-1969 |
| Descrizione fisica | 6 v. ; 24 cm |
| Disciplina | 346.73092 |
| Soggetto topico | Titoli - Stati Uniti d'America - Regolamentazione |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Record Nr. | UNISA-990000798060203316 |
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LOSS, Louis
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| Boston : Little Brown, 1961-1969 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. di Salerno | ||
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Securities regulation / / by Niels Schaumann
| Securities regulation / / by Niels Schaumann |
| Autore | Schaumann Niels |
| Edizione | [Seventh edition.] |
| Pubbl/distr/stampa | Chicago, Illinois : , : Thomson/West, , 2008 |
| Descrizione fisica | 1 online resource (715 pages) : illustrations |
| Disciplina | 346.73092 |
| Collana | Gilbert Law Summaries |
| Soggetto topico | Securities - United States |
| ISBN | 1-63459-172-0 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Record Nr. | UNINA-9910149185503321 |
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Schaumann Niels
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| Chicago, Illinois : , : Thomson/West, , 2008 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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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 | ||
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