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Current results range from 1777 to 2024

1.
Securities regulation
Author
Loss, Louis
Published
New York : Wolters Kluwer, [2024]-
©2024.
Location
Law Library >> KF1070 .L62 2024
Format
Books
2.
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
3.
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
4.
Corporate finance
Author
Rhee, Robert J.
Published
Frederick, MD : Aspen Publishing, [2023]
Location
Law Library >> KF1428 .R48X 2023
Format
Books
5.
Corporate finance : the lawyer's role
Author
Gabilondo, José
Published
Eagan, MN : West Academic Publishing, [2023]
Location
Law Library >> KF1428 .M29X 2023
Format
Books
6.
Empowering entrepreneurs : removing barriers to capital access for small businesses : hearing before the Subcommittee on Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighteenth Congress, first session, February 8, 2023
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2023.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:118-4
Format
Books
7.
E, S, G, and W : examining private sector disclosure of workforce management, investment, and diversity data : hybrid hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, second session, December 8, 2022
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2023.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:117-108
Format
Books
8.
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
9.
The future of digital assets : identifying the regulatory gaps in spot market regulation : hearing before the Subcommittee on Commodity Markets, Digital Assets, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred Eighteenth Congress, first session
Author
United States. Congress. House. Committee on Agriculture. Subcommittee on Commodity Markets, Digital Assets, and Rural Development, author
Published
Washington : U.S. Government Publishing Office, 2023.
Location
Library Shelving Facility (LSF) >> Y 4.AG 8/1:118-9/PT.1-3
Format
Books
10.
A history of securities law in the Supreme Court
Author
Pritchard, Adam C.
Published
New York : Oxford University Press, [2023]
Location
Law Library >> KF1439 .P75X 2023
Format
Books
11.
A history of securities law in the Supreme Court
Author
Pritchard, Adam C.
Published
New York, NY : Oxford University Press, 2023.
Online
Oxford Academic
Location
Yale Internet Resource
Format
Books / Online
12.
Nominations of the Honorable Christy Goldsmith Romero, Ms. Kristin N. Johnson, Mrs. Summer Kristine Mersinger, and Ms. Caroline D. Pham : hearing before the Committee on Agriculture, Nutrition, and Forestry, United States Senate, One Hundred Seventeenth Congress, second session, March 2, 2022
Author
United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry, author
Published
Washington : U.S. Government Publishing Office, 2023.
Location
Library Shelving Facility (LSF) >> Y 4.AG 8/3:S.HRG.117-601
Format
Books
13.
Oversight of the Securities and Exchange Commission : Wall Street's cop on the beat : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, September 24, 2019
Author
United States. Congress. House. Committee on Financial Services, author
Published
Washington : U.S. Government Publishing Office, 2023.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:116-50
Format
Books
14.
An overview of corporate securities law in four English-language jurisdictions
Author
Baber, Graeme
Published
New York : Nova Science Publishers, [2023]
Location
Law Library >> K1331 .B33X 2023
Format
Books
15.
Regulation and governance of mutual funds : United Kingdom and United States of America perspectives on investor protection
Author
Khair Alshaleel, Mohammed
Published
Abingdon, Oxon ; New York, NY : Routledge, Taylor & Francis Group, 2023.
©2023.
Location
Law Library >> KD1787 .K43X 2023
Format
Books
16.
Securities arbitration 2023
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
17.
Securities law and practice 2023 : how the SEC works
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
18.
Securities litigation, enforcement, and compliance : cases and materials
Author
Nagy, Donna M.
Published
Eagan, MN : West Academic Publishing, [2023]
©2023.
Location
Law Library >> KF1439 .N34 2023
Format
Books
19.
Securities offerings 2023 : a public offering from start to finish
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
20.
Security analysis : principles and technique
Author
Graham, Benjamin, 1894-1976
Published
New York : McGraw Hill, [2023]
Location
MARX Library >> HG4521 .G67 2023 (LC)
Format
Books
21.
Sophistication or discrimination? : how the "accredited investor" definition unfairly limits investment access for the non-wealthy and the need for reform : hearing before the Subcommittee on Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighteenth Congress, first session, February 8, 2023
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2023.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:118-3
Format
Books
22.
55th annual institute on securities regulation
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
23.
Treatise on the law of securities regulation
Author
Hazen, Thomas Lee, 1947-
Published
St. Paul, MN : Thomson Reuters, [2023]
©2023.
Location
Law Library >> KF1439 .H39 2023
Format
Books
24.
Understanding securities law
Author
Steinberg, Marc I.
Published
Durham, North Carolina : Carolina Academic Press, LLC, [2023]
Location
Law Library >> KF1440 .S74 2023
Format
Books
25.
Understanding the securities laws 2023
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
26.
Business planning : financing the start-up business and venture capital financing
Author
Maynard, Therese H.
Published
New York : Wolters Kluwer, [2022]
Location
Law Library >> KF1355 .M26X 2022
Format
Books
27.
Comparative securities law : perspectives from Kuwait, the UK and US
Author
Alshebli, Abdullah
Published
Abingdon, Oxon ; New York, NY : Routledge, Taylor & Francis Group, 2022.
©2022.
Location
Law Library >> K1114 .A94X 2022
Format
Books
28.
Empowering States to Protect Seniors from Bad Actors Act : report (to accompany H.R. 5914)
Author
United States. Congress. House. Committee on Financial Services, author
Published
[Washington, D.C.] : [U.S. Government Publishing Office], [2022]
Online
https://purl.fdlp.gov/GPO/gpo183250
Location
Yale Internet Resource >> None
Format
Books / Online
29.
Federal securities law
Author
Hazen, Thomas Lee, 1947-
Published
Washington, DC : Federal Judicial Center, 2022.
Online
https://purl.fdlp.gov/GPO/gpo183252
Location
Yale Internet Resource >> None
Format
Books / Online
30.
Federal securities law
Author
Hazen, Thomas Lee, 1947-
Published
Washington, DC : Federal Judicial Center, 2022.
Location
Library Shelving Facility (LSF) >> JU 13.2:SE 2/2022
Format
Books
31.
A notch above? examining the bond rating industry : hybrid hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, second session, May 11, 2022
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2022.
Online
https://purl.fdlp.gov/GPO/gpo184642
Location
Yale Internet Resource >> None
Format
Books / Online
32.
A notch above? examining the bond rating industry : hybrid hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, second session, May 11, 2022
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2022.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:117-83
Format
Books
33.
Oversight of America's stock exchanges : examining their role in our economy : hybrid hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, second session, March 30, 2022
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2022.
Online
https://purl.fdlp.gov/GPO/gpo183299
Location
Yale Internet Resource >> None
Format
Books / Online
34.
Oversight of America's stock exchanges : examining their role in our economy : hybrid hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, second session, March 30, 2022
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2022.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:117-75
Format
Books
35.
Securities regulation : cases and materials
Author
Cox, James D., 1943-
Published
New York : Wolters Kluwer, [2022]
©2022.
Location
Law Library >> KF1439 .C69X 2022
Format
Books
36.
Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021 : report (to accompany H.R. 935) (including cost estimate of the Congressional Budget Office)
Author
United States. Congress. House. Committee on Financial Services, author
Published
[Washington, D.C.] : [U.S. Government Publishing Office], [2022]
Online
https://purl.fdlp.gov/GPO/gpo183000
Location
Yale Internet Resource >> None
Format
Books / Online
37.
Taking stock of "China, Inc." : examining risks to investors and the U.S. posed by foreign issuers in U.S. markets : virtual hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, October 26, 2021
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2022.
Online
https://purl.fdlp.gov/GPO/gpo174505
Location
Yale Internet Resource >> None
Format
Books / Online
38.
Taking stock of "China, Inc." : examining risks to investors and the U.S. posed by foreign issuers in U.S. markets : virtual hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, October 26, 2021
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2022.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:117-56
Format
Books
39.
Bond rating agencies : examining the "nationally recognized" statistical rating organizations : hybrid hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, July 21, 2021
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2021.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:117-42
Format
Books
40.
Bond rating agencies : examining the "nationally recognized" statistical rating organizations : hybrid hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, July 21, 2021
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2021.
Online
https://purl.fdlp.gov/GPO/gpo171734
Location
Yale Internet Resource >> None
Format
Books / Online
41.
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
42.
Corporate finance
Author
Haas, Jeffrey J.
Published
St. Paul, MN : West Academic Publishing, [2021]
©2021.
Location
Law Library >> KF1428 .H334 2021
Format
Books
43.
Corporate finance in a nutshell
Author
Haas, Jeffrey J.
Published
St. Paul, MN : West Academic Publishing, [2021]
©2021.
Location
Law Library >> KF1428.Z9 H33 2021
Format
Books
44.
Examining the role of municipal bond markets in advancing-and undermining- economic, racial, and social justice : virtual hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, April 28, 2021
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations, author
Published
Washington, DC : United States Government Publishing Office, 2021.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:117-19
Format
Books
45.
Examining the role of municipal bond markets in advancing-and undermining- economic, racial, and social justice : virtual hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, April 28, 2021
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations, author
Published
Washington : U.S. Government Publishing Office, 2021.
Online
https://purl.fdlp.gov/GPO/gpo157939
Location
Yale Internet Resource >> None
Format
Books / Online
46.
Game stopped? : who wins and loses when short sellers, social media, and retail investors collide : virtual hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session
Author
United States. Congress. House. Committee on Financial Services, author
Published
Washington : U.S. Government Publishing Office, 2021.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20
Format
Books
47.
Game stopped? : who wins and loses when short sellers, social media, and retail investors collide : virtual hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session
Author
United States. Congress. House. Committee on Financial Services, author
Published
Washington : U.S. Government Publishing Office, 2021.
Online
https://purl.fdlp.gov/GPO/gpo158745
Location
Yale Internet Resource >> None
Format
Books / Online
48.
Going public : SPACs, direct listings, public offerings, and the need for investor protections : virtual hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, May 24, 2021
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2021.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:117-26
Format
Books
49.
Going public : SPACs, direct listings, public offerings, and the need for investor protections : virtual hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, May 24, 2021
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2021.
Online
https://purl.fdlp.gov/GPO/gpo158466
Location
Yale Internet Resource >> None
Format
Books / Online
50.
Introduction to financial services : the Securities and Exchange Commission
Author
Shorter, Gary W.
Published
[Washington, D.C.] : Congressional Research Service, 2021-
Online
https://purl.fdlp.gov/GPO/gpo158378
Location
Yale Internet Resource >> None
Format
Online
51.
The law of securities regulation
Author
Hazen, Thomas Lee, 1947-
Published
St. Paul, MN : West Academic Publishing, [2021]
Location
Law Library >> KF1439 .H388 2021
Format
Books
52.
Principles of securities regulation
Author
Hazen, Thomas Lee, 1947-
Published
St. Paul, MN : West Academic Publishing, [2021]
Location
Law Library >> KF1439 .H393 2021
Format
Books
53.
Rethinking securities law
Author
Steinberg, Marc I.
Published
New York, NY : Oxford University Press, [2021]
Location
Law Library >> KF1439 .S7329X 2021
Format
Books
54.
Rethinking securities law
Author
Steinberg, Marc I.
Published
New York, NY : Oxford University Press, 2021.
Location
Yale Internet Resource
Format
Books / Online
55.
Securities litigation and enforcement in a nutshell
Author
Sachs, Margaret V.
Published
St. Paul, MN : West Academic Publishing, [2021]
©2021.
Location
Law Library >> KF1439 .S33 2021
Format
Books
56.
Securities regulation
Author
Palmiter, Alan R.
Published
Frederick, MD : Aspen Publishing, 2021.
Online
Aspen Learning Library: Study Aids
Location
Yale Internet Resource
Format
Books / Online
57.
Securities regulation : cases and materials
Author
Coffee, John C., 1944-
Published
St. Paul, MN : Foundation Press, [2021]
©2021.
Location
Law Library >> KF1438 .J46 2021
Format
Books
58.
Securities regulation in a nutshell
Author
Hazen, Thomas Lee, 1947-
Published
St. Paul, MN : West Academic Publishing, [2021]
Location
Law Library >> KF1440 .R37 2021
Format
Books
59.
Conflicts of interest rule for asset-backed securities
Author
Shorter, Gary W.
Published
[Washington, D.C.] : Congressional Research Service, 2020-
Online
https://purl.fdlp.gov/GPO/gpo137705
Location
Yale Internet Resource >> None
Format
Online
60.
COVID-19 : commercial paper market strains and federal government support
Author
Miller, Rena S.
Published
[Washington, D.C.] : Congressional Research Service, 2020-
Online
https://purl.fdlp.gov/GPO/gpo155370
Location
Yale Internet Resource >> None
Format
Online
61.
COVID-19 liability : tort, workplace safety, and securities law
Author
Upton, Harold F. (Harold Frank)
Published
[Washington, D.C.] : Congressional Research Service, 2020-
Online
https://purl.fdlp.gov/GPO/gpo153678
Location
Yale Internet Resource >> None
Format
Online
62.
Dark Trading : shedding light on US and EU regulation of the securities markets' dark sector
Author
Salger, Anna-Carina
Published
Berlin : De Gruyter, [2020]
Location
Law Library >> K1114 .S25 2020
Format
Books
63.
The Dodd-Frank Wall Street Reform and Consumer Protection Act
Author
Miller, Rena S.
Published
[Washington, D.C.] : Congressional Research Service, 2020-
Online
https://purl.fdlp.gov/GPO/gpo138045
Location
Yale Internet Resource >> None
Format
Online
64.
Emerging threats to stability : considering the systemic risk of leveraged lending : hearing before the Subcommittee on Consumer Protection and Financial Institutions of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, June 4, 2019
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Consumer Protection and Financial Institutions, author
Published
Washington : U.S. Government Publishing Office, 2020.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:116-29
Format
Books
65.
Emerging threats to stability : considering the systemic risk of leveraged lending : hearing before the Subcommittee on Consumer Protection and Financial Institutions of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, June 4, 2019
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Consumer Protection and Financial Institutions, author
Published
Washington : U.S. Government Publishing Office, 2020.
Online
https://purl.fdlp.gov/GPO/gpo133617
Location
Yale Internet Resource >> None
Format
Books / Online
66.
Enforcement 2020 : perspectives from government agencies
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
67.
Examining corporate priorities : the impact of stock buybacks on workers, communities, and investors : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, October 17, 2019
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2020.
Online
https://purl.fdlp.gov/GPO/gpo155293
Location
Yale Internet Resource >> None
Format
Books / Online
68.
Examining corporate priorities : the impact of stock buybacks on workers, communities, and investors : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, October 17, 2019
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2020.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:116-58
Format
Books
69.
Federal securities laws : an overview
Author
Linebaugh, Chris D.
Published
[Washington, D.C.] : Congressional Research Service, 2020-
Online
https://purl.fdlp.gov/GPO/gpo140907
Location
Yale Internet Resource >> None
Format
Online
70.
Fundamentals of investment adviser regulation 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
71.
Global capital markets & the U.S. securities laws 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
72.
Liu v. SEC : the Supreme Court to consider whether disgorgement is an equitable remedy in SEC enforcement actions
Author
Lobert, Joshua T.
Published
[Washington, D.C.] : Congressional Research Service, 2020-
Online
https://purl.fdlp.gov/GPO/gpo146655
Location
Yale Internet Resource >> None
Format
Online
73.
52nd annual institute on securities regulation
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
74.
Nineteenth annual institute on securities regulation in Europe : practical implications of U.S. law on EU practice
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
75.
Oversight of the status of the Consolidated Audit Trail : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixteenth Congress, first session, on examining the efforts to implement the Consolidated Audit Trail and to review elements of the CAT national market system plan necessary to the market regulatory function, October 22, 2019
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author
Published
Washington : U.S. Government Publishing Office, 2020.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.116-113
Format
Books
76.
Oversight of the status of the Consolidated Audit Trail : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixteenth Congress, first session, on examining the efforts to implement the Consolidated Audit Trail and to review elements of the CAT national market system plan necessary to the market regulatory function, October 22, 2019
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author
Published
Washington : U.S. Government Publishing Office, 2020.
Online
https://purl.fdlp.gov/GPO/gpo132373
Location
Yale Internet Resource >> None
Format
Books / Online
77.
Pocket MBA 2020 : finance for lawyers and other professionals
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
78.
Putting investors first examining proposals to strengthen enforcement against securities law violators : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, June 19, 2019
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2020.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:116-32
Format
Books
79.
Putting investors first : examining proposals to strengthen enforcement against securities law violators : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, June 19, 2019
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2020.
Online
https://purl.fdlp.gov/GPO/gpo
Location
Yale Internet Resource >> None
Format
Books / Online
80.
Recent developments in distressed debt, restructurings and workouts 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
81.
Regulation best interest (Reg BI) : the SEC's rule for broker-dealers
Author
Shorter, Gary W.
Published
[Washington, D.C.] : Congressional Research Service, 2020-
Online
https://purl.fdlp.gov/GPO/gpo142930
Location
Yale Internet Resource >> None
Format
Online
82.
Regulation best interest (Reg BI) : the SEC's rule for broker-dealers
Author
Shorter, Gary W.
Published
[Washington, D.C.] : Congressional Research Service, 2020-
Online
https://purl.fdlp.gov/GPO/gpo142930
Location
Yale Internet Resource >> None
Format
Online
83.
SEC reporting and practice skills workshop for lawyers 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
84.
SEC reporting handbook 2020 : rules and forms
Published
New York, New York : Practising Law Institute, [2020]
©2020.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
85.
The SEC speaks in 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
86.
Securities arbitration 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
87.
Securities law and practice 2020 : how the SEC works
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
88.
Securities litigation 2020 : from investigation to trial
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
89.
Securities offerings 2020 : a public offering from start to finish
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
90.
Securities regulation : cases and materials
Author
Cox, James D., 1943-
Published
New York : Wolters Kluwer, [2020]
©2020.
Location
Law Library >> KF1439 .C69X 2020
Format
Books
91.
Securities regulation : cases and materials
Author
Hazen, Thomas Lee, 1947-
Published
St. Paul, MN : West Academic, 2020.
©2020.
Location
Law Library >> KF1438 .R38 2020
Format
Books
92.
Understanding the securities laws 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
93.
Auction-rate securities
Author
Austin, D. Andrew
Published
[Washington, D.C.] : Congressional Research Service, 2019-
Online
https://purl.fdlp.gov/GPO/gpo127214
Location
Yale Internet Resource >> None
Format
Online
94.
Eighteenth annual institute on securities regulation in Europe : practical implications of U.S. law on EU practice
Published
New York, New York : Practising Law Institute, 2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
95.
Foreign investment in U.S. securities
Author
Jackson, James K., 1949-
Published
[Washington, D.C.] : Congressional Research Service, 2019-
Online
https://purl.fdlp.gov/GPO/gpo125392
Location
Yale Internet Resource >> None
Format
Online
96.
Fundamentals of investment adviser regulation 2019
Published
New York, New York : Practising Law Institute, [2019]
©2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
97.
Global capital markets & the U.S. securities laws 2019
Published
New York, New York : Practising Law Institute, [2019]
©2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
98.
Master the 8-K
Author
Brown, Gary M.
Published
New York, New York : Practising Law Institute, [2019]
©2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
99.
Master the 10-K and 10-Q
Author
Brown, Gary M., 1955-
Published
New York, New York : Practising Law Institute, [2019]
©2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
100.
Putting investors first? : examining the SEC's best interest rule : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, March 14, 2019
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, author
Published
Washington : U.S. Government Publishing Office, 2019.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:116-10
Format
Books