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Additional reforms to the Securities Investor Protection Act [[electronic resource] ] : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009
| Additional reforms to the Securities Investor Protection Act [[electronic resource] ] : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009 |
| Pubbl/distr/stampa | Washington : , : U.S. G.P.O., , 2010 |
| Descrizione fisica | 1 online resource (v, 274 pages) |
| Soggetto topico |
Securities fraud - United States - Prevention
Investment advisors - Legal status, laws, etc - United States Stockbrokers - Legal status, laws, etc - United States |
| Formato | Materiale a stampa  |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Additional reforms to the Securities Investor Protection Act |
| Record Nr. | UNINA-9910702906503321 |
| Washington : , : U.S. G.P.O., , 2010 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Assessing the limitations of the Securities Investor Protection Act [[electronic resource] ] : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
| Assessing the limitations of the Securities Investor Protection Act [[electronic resource] ] : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010 |
| Pubbl/distr/stampa | Washington : , : U.S. G.P.O., , 2011 |
| Descrizione fisica | 1 online resource (v, 165 pages) |
| Soggetto topico |
Securities fraud - United States - Prevention
Investment advisors - Legal status, laws, etc - United States Stockbrokers - Legal status, laws, etc - United States |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Assessing the limitations of the Securities Investor Protection Act |
| Record Nr. | UNINA-9910703171503321 |
| Washington : , : U.S. G.P.O., , 2011 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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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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Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight [[electronic resource] ] : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011
| Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight [[electronic resource] ] : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011 |
| Pubbl/distr/stampa | Washington : , : U.S. G.P.O., , 2012 |
| Descrizione fisica | 1 online resource (vi, 569 pages) : illustrations |
| Soggetto topico |
Stockbrokers - Legal status, laws, etc - United States
Investment advisors - Legal status, laws, etc - United States |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight |
| Record Nr. | UNINA-9910703364603321 |
| Washington : , : U.S. G.P.O., , 2012 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Fair Access to Investment Research Act of 2015 : report together with minority views (to accompany H.R. 2356) (including cost estimate of the Congressional Budget Office)
| Fair Access to Investment Research Act of 2015 : report together with minority views (to accompany H.R. 2356) (including cost estimate of the Congressional Budget Office) |
| Pubbl/distr/stampa | [Washington, D.C.] : , : [U.S. Government Publishing Office], , [2016] |
| Descrizione fisica | 1 online resource (8 pages) |
| Collana | Report / 114th Congress, 2d session, House of Representatives |
| Soggetto topico |
Stockbrokers - Legal status, laws, etc - United States
Securities industry - Law and legislation - United States Exchange traded funds - United States |
| Soggetto genere / forma | Legislative materials. |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Fair Access to Investment Research Act of 2015 |
| Record Nr. | UNINA-9910704243703321 |
| [Washington, D.C.] : , : [U.S. Government Publishing Office], , [2016] | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Fair Access to Investment Research Act of 2017
| Fair Access to Investment Research Act of 2017 |
| Pubbl/distr/stampa | [Washington, D.C.] : , : [U.S. Government Publishing Office], , 2017 |
| Descrizione fisica | 1 online resource (4 unnumbered pages) |
| Soggetto topico |
Stockbrokers - Legal status, laws, etc - United States
Securities industry - Law and legislation - United States Exchange traded funds - United States |
| Soggetto genere / forma | Statutes and codes. |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | FAIR ACCESS TO INVESTMENT RESEARCH ACT OF 2017 |
| Record Nr. | UNINA-9910708363803321 |
| [Washington, D.C.] : , : [U.S. Government Publishing Office], , 2017 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Fair Access to Investment Research Act of 2017 : report (to accompany H.R. 910) (including cost estimate of the Congressional Budget Office)
| Fair Access to Investment Research Act of 2017 : report (to accompany H.R. 910) (including cost estimate of the Congressional Budget Office) |
| Pubbl/distr/stampa | [Washington, D.C.] : , : [U.S. Government Publishing Office], , [2017] |
| Descrizione fisica | 1 online resource (9 pages) |
| Collana | Report / 115th Congress, 1st session, House of Representatives |
| Soggetto topico |
Stockbrokers - Legal status, laws, etc - United States
Securities industry - Law and legislation - United States Exchange traded funds - United States |
| Soggetto genere / forma | Legislative materials. |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Fair Access to Investment Research Act of 2017 |
| Record Nr. | UNINA-9910705685503321 |
| [Washington, D.C.] : , : [U.S. Government Publishing Office], , [2017] | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Investor and industry perspectives on investment advisers and broker-dealers / / Angela K. Hung ... [et al.]
| Investor and industry perspectives on investment advisers and broker-dealers / / Angela K. Hung ... [et al.] |
| Edizione | [1st ed.] |
| Pubbl/distr/stampa | Santa Monica, CA, : Rand, c2008 |
| Descrizione fisica | 1 online resource (229 p.) |
| Disciplina | 346.73/0922 |
| Altri autori (Persone) | HungAngela A |
| Collana | Technical report |
| Soggetto topico |
Securities - United States
Securities industry - Law and legislation - United States Investment advisors - Legal status, laws, etc - United States Stockbrokers - Legal status, laws, etc - United States |
| ISBN |
9786611736750
0-8330-4784-1 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Regulatory and legal background -- View of the industry from published sources -- Insights from industry data -- Documentation and information provided by firms -- Investors' level of understanding. |
| Record Nr. | UNINA-9910220131903321 |
| Santa Monica, CA, : Rand, c2008 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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Investors guide to loss recovery : rights, mediation, arbitration, and other strategies / / Louis L. Straney
| Investors guide to loss recovery : rights, mediation, arbitration, and other strategies / / Louis L. Straney |
| Autore | Straney Louis L. <1946-> |
| Pubbl/distr/stampa | Hoboken, N.J., : Wiley, c2012 |
| Descrizione fisica | 1 online resource (240 p.) |
| Disciplina | 345.73/0268 |
| Collana | Wiley finance |
| Soggetto topico |
Individual investors - Legal status, laws, etc - United States
Stockbrokers - Legal status, laws, etc - United States Securities fraud - United States Restitution - United States Dispute resolution (Law) - United States |
| ISBN |
1-118-14293-4
1-119-20102-0 1-283-24661-9 9786613246615 1-118-14294-2 |
| Classificazione | BUS036000 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Investor'sGuide to LossRecovery; Contents; Foreword; Preface; Acknowledgments; Introduction; CHAPTER 1 Road to Recovery; CHAPTER 2 Rock, Paper, Scissors; CHAPTER 3 Paperwork and Nostalgia; CHAPTER 4 Revolutionary Acts; CHAPTER 5 Expect the Unexpected; CHAPTER 6 The Lean Compromise; CHAPTER 7 Arbitration: People, Places, and Things; CHAPTER 8 The Advocates; CHAPTER 9 End of the Beginning; About the Author; Index |
| Record Nr. | UNINA-9910139609403321 |
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Straney Louis L. <1946->
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| Hoboken, N.J., : Wiley, c2012 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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A legislative proposal to amend the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, November 21, 2013
| A legislative proposal to amend the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, November 21, 2013 |
| Pubbl/distr/stampa | Washington : , : U.S. Government Printing Office, , 2014 |
| Descrizione fisica | 1 online resource (v, 179 pages) : illustrations |
| Soggetto topico |
Securities industry - Law and legislation - United States
Stockbrokers - Legal status, laws, etc - United States Securities industry - Law and legislation Stockbrokers - Legal status, laws, etc |
| Soggetto genere / forma | Legislative hearings. |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Legislative proposal to amend the Securities Investor Protection Act |
| Record Nr. | UNINA-9910705496803321 |
| Washington : , : U.S. Government Printing Office, , 2014 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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