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Online Results (83)
1.
Broker-dealer compliance : a case-based guide to compliance program elements and practices
Author
Fanto, James A.
Published
Northampton, Massachusetts : Edward Elgar Publishing, [2023]
Location
Law Library >> KF1071 .F36X 2023
Format
Books
2.
Broker/dealer regulation and enforcement 2023
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
3.
Fintech and regtech in the financial services industry : current issues for investment advisers and broker-dealers 2023
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
4.
Fundamentals of broker-dealer regulation 2023
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
5.
Broker-dealer regulation in a nutshell
Author
Hazen, Thomas Lee, 1947-
Published
St. Paul, MN : West Academic Press, [2021]
©2021.
Location
Law Library >> KF1071.Z9 H39 2021
Format
Books
6.
Les conventions d'actionnaires et le droit de la société anonyme en droit suisse : avec un aperçu du droit des marchés financiérs
Author
Bloch, Olivier
Published
Genève : Schulthess, 2021.
Location
Law Library >> KKW962.5 .B56 2021
Format
Books
7.
Duties of securities brokers in Canada
Author
MacIntosh, Jeffrey G.
Published
Toronto, Ontario : LexisNexis Canada, 2021.
©2021.
Location
Law Library >> KE1062 .M33 2021
Format
Books
8.
Fundamentals of broker-dealer regulation 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
9.
Dually registered broker-dealers and advisers : regulatory, compliance and enforcement 2019
Published
New York, New York : Practising Law Institute, 2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
10.
Fundamentals of broker-dealer regulation 2019
Published
New York, New York : Practising Law Institute, [2019]
©2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
11.
Broker/dealer regulation and enforcement 2018
Published
New York, New York : Practising Law Institute, 2018.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
12.
Broker-dealer retail wealth management 2018 : current legal and compliance issues facing dual registrants
Published
New York, New York : Practising Law Institute, 2018.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
13.
Fundamentals of broker-dealer regulation 2018
Published
New York, New York : Practising Law Institute, 2018.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
14.
A practitioner's guide to MiFID II
Published
London : Sweet & Maxwell/Thomas Reuters, 2018.
©2018.
Location
Law Library >> KJE2245 .P73 2018
Format
Books
15.
Broker/dealer regulation and enforcement 2017
Published
New York, New York : Practising Law Institute, 2017.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
16.
Broker-dealer regulation : cases and analysis
Author
Nichols, Cheryl
Published
Durham, NC : Carolina Academic Press, [2017]
Location
Law Library >> KF1071 .N53 2017
Format
Books
17.
Broker-dealer regulation in a nutshell
Author
Hazen, Thomas Lee, 1947-
Online
West Academic Study Aids - Hornbooks & Nutshells
Location
Yale Internet Resource
Format
Books / Online
18.
Broker-dealer regulation in a nutshell
Author
Hazen, Thomas Lee, 1947-
Published
St. Paul, MN : West Academic Publishing, [2017]
©2017.
Location
Law Library >> KF1071.Z9 H39 2017
Format
Books
19.
Broker-dealer retail wealth management 2017 : current legal and compliance issues facing dual registrants
Published
New York, New York : Practising Law Institute, [2017]
©2017.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
20.
Fundamentals of broker-dealer regulation 2017
Published
New York, New York : Practising Law Institute, [2017]
©2017.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
21.
Securities arbitration 2017
Published
New York, New York : Practising Law Institute, [2017]
©2017.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
22.
Broker-dealer advisory services 2016 : current legal and compliance issues facing dual registrants
Published
New York, N.Y. : Practising Law Institute, 2016.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
23.
Broker/dealer regulation and enforcement 2016
Published
New York, N.Y. : Practising Law Institute, [2016]
©2016.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
24.
Fundamentals of broker-dealer regulation 2016
Published
New York, N.Y. : Practising Law Institute, [2016]
©2016.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
25.
Broker-dealer advisory services 2015 : current legal and compliance issues facing dual registrants
Published
New York, N.Y. : Practising Law Institute, [2015]
©2015.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online