The Locator -- [(subject = "United States--Securities and Exchange Commission--Rules and practice")]

262 records matched your query       


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Record 2
Financial services regtech and regulatory compliance forum 2018 / Publisher: New York, New York : Practising Law Institute, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 3
Advanced swaps & other derivatives, 2018 / Publisher: New York, New York : Practising Law Institute, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 4
Hedge fund management, 2018 / Publisher: New York, New York : Practising Law Institute, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 5
Bank asset management and collective investment funds 2018 / Publisher: New York, New York : Practising Law Institute, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 6
Hedge fund management, 2017 / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 7
Securities law and practice, 2017 : how the SEC works / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 8
Advanced swaps & other derivatives, 2017 / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 9
Financial services conflicts of interest & fiduciary duties 2017 : navigating the emerging regulatory maze / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 10
Marketplace lending and crowdfunding, 2017 / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 11
Financial services industry regulatory compliance forum, 2017/ Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 12
Master the 8-K / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 13
Securities products of insurance companies, 2016 / Publisher: New York, New York : Practising Law Institute, Date: [2016]   This title can be found in 1 Iowa libraries.
Record 14
Advanced swaps & other derivatives, 2016 / Publisher: New York, New York : Practising Law Institute, Date: [2016]   This title can be found in 1 Iowa libraries.
Record 15
Financial services conflict of interest & fiduciary duties 2016 : navigating the emerging regulatory maze / Publisher: New York, New York : Practising Law Institute, Date: ©2016.   This title can be found in 1 Iowa libraries.
Record 16
Hedge fund management, 2016 / Publisher: New York, New York : Practising Law Institute, Date: [2016]   This title can be found in 1 Iowa libraries.
Record 17
Basics of mutual funds and other registered investment companies, 2016 / Publisher: New York, New York : Practising Law Institute, Date: ©2016.   This title can be found in 1 Iowa libraries.
Record 18
Financial services industry regulatory compliance & ethics forum, 2016 / Publisher: New York, New York : Practising Law Institute, Date: [2016]   This title can be found in 1 Iowa libraries.
Record 19
Securities law and practice, 2016 : how the SEC works / Publisher: New York, New York : Practising Law Institute, Date: [2016]   This title can be found in 1 Iowa libraries.
Record 20
Broker-dealer advisory services, 2016 : current legal and compliance issues facing dual registrants / Publisher: New York, New York : Practising Law Institute, Date: [2016]   This title can be found in 1 Iowa libraries.
Record 21
Broker-dealer advisory services, 2015 : current legal and compliance issues facing dual registrants / Publisher: New York, New York : Practising Law Institute, Date: [2015]   This title can be found in 1 Iowa libraries.

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