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Online Results (32)
26.
Investment adviser regulation in a nutshell
Author
Haas, Jeffrey J.
Published
St. Paul, MN : Thomson West, c2008.
Location
Law Library >> KF1072 .H33 2008
Format
Books
27.
Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994
Author
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1994.
Location
Library Shelving Facility (LSF) >> Y 4.EN 2/3:103-106
Format
Books
28.
Securities regulatory equality hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994
Author
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1994.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online
29.
Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994
Author
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1994.
Online
Online book
4.EN 2/3:103-106
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
30.
Investor and industry perspectives on investment advisers and broker-dealers
Published
Santa Monica, CA : Rand, c2008.
Location
Law Library >> KF1070 .I58X 2008
Format
Books
31.
Investor and industry perspectives on investment advisers and broker-dealers
Published
Santa Monica, CA : Rand, c2008.
Location
SML, Stacks, LC Classification >> KF1070 .I58X 2008 (LC) Oversize
Format
Books
32.
The Securities Investment Promotion Act of 1996--S. 1815 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, second session, on S. 1815 ... June 5, 1996
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1996.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.104-681
Format
Books
33.
The Securities Investment Promotion Act of 1996 --S. 1815 hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, second session, on S. 1815 ... June 5, 1996
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1996.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online
34.
The Securities Investment Promotion Act of 1996--S. 1815 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, second session, on S. 1815 ... June 5, 1996
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1996.
Online
Online book
4.B 22/3:S.HRG.104-681
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
35.
Investor and industry perspectives on investment advisers and broker-dealers
Published
Santa Monica, CA : Rand, c2008.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
36.
Villanova journal of law and investment management
Published
Villanova, PA : Global Financial Press, ©1999-[2002?]
Online
Full text
Location
Yale Internet Resource >> None
Format
Journals & Newspapers / Online
37.
Canadian securities regulatory requirements applicable to non-resident broker-dealers, advisers and investment fund managers
Published
Toronto, Ontario : CCH Canadian Limited, [2012]
©2012.
Location
Law Library >> KE1062 .A33 2012
Format
Books
38.
Villanova journal of law and investment management
Published
Villanova, PA : Global Financial Press, ©1999-[2002?]
Location
Library Shelving Facility (LSF) >> K26 .I5598
Format
Journals & Newspapers
39.
Advising private funds : a comprehensive guide to representing hedge funds, private equity funds & their advisers
Online
Access limited to Law School community, contact reference.law@yale.edu; Cover...
Location
Yale Internet Resource
Format
Online
40.
Securities industry essentials exam
Published
[New York, N.Y.] : Kaplan, 2019.
Location
BASS, Lower Level >> HG4928.5 .S43 2019 (LC) Oversize
Format
Books
41.
National Securities Markets Improvement Act of 1996
Author
United States
Published
[Washington, D.C.? : U.S. G.P.O. : Supt. of Docs., U.S. G.P.O., distributor, 1996]
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
42.
A practitioner's guide to MiFID II
Published
London : Sweet & Maxwell/Thomas Reuters, 2018.
©2018.
Location
Law Library >> KJE2245 .P73 2018
Format
Books
43.
Regulation of investment management & fiduciary services
Online
Access limited to Law School community, contact reference.law@yale.edu; Cover...
Location
Yale Internet Resource
Format
Online
44.
Securities practice and electronic technology
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
45.
Life at the center : reflections on fifty years of securities regulation
Author
Karmel, Roberta S., 1937-
Published
New York : Practising Law Institute, [2014]
©2014.
Location
Law Library >> KF1439 .K37 2014
Format
Books