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9780880632492

Redeeming Fallen Brokers Managing the Aftermath of Broker Dealer Enforcement Proceedings

Redeeming Fallen Brokers Managing the Aftermath of Broker Dealer Enforcement Proceedings

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Product details

  • ISBN-13: 9780880632492
  • ISBN: 0880632496
  • Publisher: LEXIS Publishing

AUTHOR

Ferrara, Ralph C., Crespi, Gregory S.

SUMMARY

This work summarizes relevant portions of the major securities statutes, state blue sky laws, and the rules of each of the major securities and commodities organizations. Discussed are types of adverse legal consequences that may be imposed upon a securities firm as a result of an administrative, civil, or criminal proceeding against it.Ferrara, Ralph C. is the author of 'Redeeming Fallen Brokers Managing the Aftermath of Broker Dealer Enforcement Proceedings' with ISBN 9780880632492 and ISBN 0880632496.

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