Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher :
Page : 536 pages
File Size : 28,24 MB
Release : 1975
Category : Securities
ISBN :
Author : Lawrence G. Goldberg
Publisher : Beard Books
Page : 370 pages
File Size : 25,71 MB
Release : 2003
Category : Law
ISBN : 158798167X
This is a reprint of a previously published book. It is composed of a series of papers written for a two-day conference at NYU in 1978 dealing with the problems involved in the deregulation of the banking and securities industries.
Author : United States. Congress. Conference Committees, 1975
Publisher :
Page : 124 pages
File Size : 30,93 MB
Release : 1975
Category : Securities
ISBN :
Author : United States. Securities and Exchange Commission
Publisher :
Page : 674 pages
File Size : 45,60 MB
Release : 1935
Category : Holding companies
ISBN :
Author : American Bar Association. House of Delegates
Publisher : American Bar Association
Page : 216 pages
File Size : 14,14 MB
Release : 2007
Category : Law
ISBN : 9781590318737
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author : Boston Institute of Finance
Publisher : John Wiley & Sons
Page : 370 pages
File Size : 21,73 MB
Release : 2005-05-27
Category : Study Aids
ISBN : 0471732222
Get the all-in-one product that provides preparation information for the two tests necessary to sell stocks: the Series 7 and Series 63 exams. The Boston Institute of Finance Stockbroker Course combines the industry?s premier print study guide with access to the industry?s premier online test-prep materials. This unique course has become one of the best products available for exam preparation by providing the core knowledge needed to pass. The study guide chapters parallel the content of the exams, each chapter includes review questions, and the companion CD-ROM features a sample final exam and tips that will sharpen your skills even further. If you're looking to pass both the Series 7 and Series 63 exams, this is the only guide you will need.
Author : United States
Publisher :
Page : 548 pages
File Size : 24,78 MB
Release : 1981
Category : Corporation law
ISBN :
Author : United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance
Publisher :
Page : 172 pages
File Size : 47,71 MB
Release : 1976
Category : Investment advisors
ISBN :
Author : United States
Publisher :
Page : 546 pages
File Size : 43,76 MB
Release : 1981
Category : Holding companies
ISBN :
Author : Terrance J. O'Malley
Publisher : Wolters Kluwer
Page : 714 pages
File Size : 11,38 MB
Release : 2004-01-01
Category : Law
ISBN : 9780735550926
Investment Adviser's Legal and Compliance Guide is an invaluable guide written to assist attorneys and advisers in both drafting their policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for
