Broker-dealer Regulation in a Nutshell
Broker-dealer Regulation in a Nutshell

Author: Thomas Lee Hazen

Publisher: West Academic

Published: 2011

Total Pages: 271

ISBN-13: 9780314189578

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This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).

The Law of Securities Regulation
The Law of Securities Regulation

Author: Thomas Lee Hazen

Publisher: West Group Publishing

Published: 2002

Total Pages: 1194

ISBN-13:

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"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.

Securities Regulation
Securities Regulation

Author: Marc I. Steinberg

Publisher: Law Journal Press

Published: 1984

Total Pages: 1220

ISBN-13: 9781588520210

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This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.

Securities Regulation in a Nutshell
Securities Regulation in a Nutshell

Author: Thomas Lee Hazen

Publisher:

Published: 2016

Total Pages: 0

ISBN-13: 9780314269966

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This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.