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Vol 21 No 11 Nov/Dec 2016

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Hazen's Treatise on the Law of Securities Regulation: Volume 5 7th

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ISBN13: 9780314844521
Published: March 2016
Publisher: Thomson West
Country of Publication: US
Format: Hardback
Price: £35.00



Usually despatched in 1 to 3 weeks.

This is Volume 5 from the 7-Volume Treatise on the Law of Securities Regulation..

Volume 5 covers Chapter 14 Section 45 to Chapter 16 Section 17.

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Subjects:
Other Jurisdictions , Banking and Finance, USA
Contents:
Volume 5

Chapter 14: Market regulation; broker-dealer regulation; credit rating agencies (continued)
Part II. Manipulative practices
Part III. Broker-dealer registration and regulation
Part IV. Broker-dealer sales practices and related obligations
Part V. Private rights of action
Part VI. Regulation of credit rating agencies

Chapter 15: Arbitration of broker-dealer disputes
Part I. Enforceability of predispute arbitration agreements
Part II. Procedures and rules applicable to arbitration proceedings

Chapter 16: Operation of the Securities and Exchange Commission
Part I. SEC enforcement and administrative powers ;