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Author : Poser, Fanto, Gross
Publisher : Wolters Kluwer Law & Business
ISBN 13 : 1543804969
Total Pages : 1920 pages
Book Rating : 4.5/5 (438 download)
Download or read book Broker-Dealer Law and Regulation, 5th Edition written by Poser, Fanto, Gross and published by Wolters Kluwer Law & Business. This book was released on with total page 1920 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 890 pages
Book Rating : 4.:/5 (31 download)
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 1995 with total page 890 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 1036 pages
Book Rating : 4.3/5 (91 download)
Download or read book Statistical Reference Index written by and published by . This book was released on 1986 with total page 1036 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Report of the Secretary of the Treasury on Specialized Government Securities Brokers and Dealers written by and published by . This book was released on 1995 with total page 66 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. House. Committee on Appropriations. Subcommittee on the Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies
Publisher :
ISBN 13 :
Total Pages : 614 pages
Book Rating : 4.3/5 (91 download)
Download or read book Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies Appropriations for 1987 written by United States. Congress. House. Committee on Appropriations. Subcommittee on the Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies and published by . This book was released on 1986 with total page 614 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
ISBN 13 :
Total Pages : 130 pages
Book Rating : 4.F/5 ( download)
Download or read book Legislative Calendar written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on with total page 130 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 190 pages
Book Rating : 4.3/5 ( download)
Download or read book Annual Report of the Securities and Exchange Commission written by United States. Securities and Exchange Commission and published by . This book was released on 1986 with total page 190 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
ISBN 13 :
Total Pages : 336 pages
Book Rating : 4.0/5 ( download)
Download or read book The Internationalization of Capital Markets written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 1986 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : David A. Lipton
Publisher :
ISBN 13 :
Total Pages : 904 pages
Book Rating : 4.F/5 ( download)
Download or read book Broker Dealer Regulation written by David A. Lipton and published by . This book was released on 2008 with total page 904 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 1360 pages
Book Rating : 4.3/5 (129 download)
Download or read book Decisions and Reports written by United States. Securities and Exchange Commission and published by . This book was released on 1998 with total page 1360 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Angela A. Hung
Publisher : Rand Corporation
ISBN 13 : 0833045016
Total Pages : 151 pages
Book Rating : 4.8/5 (33 download)
Download or read book Investor and Industry Perspectives on Investment Advisers and Broker-Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Author :
Publisher :
ISBN 13 :
Total Pages : 492 pages
Book Rating : 4.:/5 (49 download)
Download or read book Journal of Regulatory Economics written by and published by . This book was released on 1994 with total page 492 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 452 pages
Book Rating : 4.3/5 (121 download)
Download or read book Federal Register written by and published by . This book was released on 2013-08 with total page 452 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 728 pages
Book Rating : 4.F/5 ( download)
Download or read book The Code of Federal Regulations of the United States of America written by and published by . This book was released on 1986 with total page 728 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government.
Author : Anjali Kumar
Publisher : World Bank Publications
ISBN 13 : 9780821339404
Total Pages : 88 pages
Book Rating : 4.3/5 (394 download)
Download or read book The Regulation of Non-bank Financial Institutions written by Anjali Kumar and published by World Bank Publications. This book was released on 1997 with total page 88 pages. Available in PDF, EPUB and Kindle. Book excerpt: World Bank Discussion Paper No. 362. There has been tremendous growth worldwide in the mobilization of financial resources outside traditional banking systems. Channeled mainly through capital markets, such rapid financial diversification is posing new challenges for regulators in many emerging markets. This document describes the various aspects and implications of this growth, reviews the regulatory framework adopted in some mature market economies, including the United States and the European Union, and discusses regulatory issues in emerging markets.
Author : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 966 pages
Book Rating : 4.F/5 ( download)
Download or read book Broker-dealer Law and Regulation written by Norman S. Poser and published by Aspen Publishers. This book was released on 1997 with total page 966 pages. Available in PDF, EPUB and Kindle. Book excerpt: From duties under the common law to obligations imposed by the federal securities statutes, The new Second Edition of BROKER-DEALER LAW AND REGULATION covers the full range of the law that protects the relationship between broker-dealers and their customers. This recent update includes not only private rights of action, but also securities arbitration and mediation. Whether you represent a brokerage firm or securities dealer, An employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as 'Churning' customers' accounts Unsuitable recommendations Unauthorized trading Market manipulation Vicarious liability Defenses that may be asserted against broker-dealers Compensatory and punitive damages Liability of controlling persons Rules of self-regulatory organizations Securities arbitration Mediation of securities disputes Conflicts of interest Appendices containing both the Federal Arbitration Act And The NASD Code of Arbitration Procedure BROKER-DEALER LAW AND REGULATION is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.
Author : Melanie L. Fein
Publisher : Wolters Kluwer
ISBN 13 : 1454801247
Total Pages : 1668 pages
Book Rating : 4.4/5 (548 download)
Download or read book Securities Activities of Banks written by Melanie L. Fein and published by Wolters Kluwer. This book was released on 2011-12-20 with total page 1668 pages. Available in PDF, EPUB and Kindle. Book excerpt: "The Fourth Edition of a leading resource in the field, this valuable practice tool brings you completely up-to-date on the evolving laws governing banks' securities activities - from regulatory changes in the financial markets and administrative reform to recent court decisions and legislative reform, including the recently enacted Sarbanes-Oxley Act of 2002 and the Gramm-Leach-Bliley Act. Here is everything you need to help build a bank's securities business while avoiding compliance pitfalls. Securities Activities of Banks, Fourth Edition provides: In-depth discussions of the securities activities now permissible for banks, bank holding companies, and financial holding companies, Clear explanations of how securities laws affect banks' securities activities, A complete review of how banks are regulated - including foreign banks and affiliates, Up-to-date analysis of the evolution of the banking laws through agency and court decisions. Detailed descriptions and analyses illuminate the full range of current bank securities activities, including investment and trading activities, brokerage activities, investment advice, underwriting, mutual funds, international securities activities, derivative instruments, deposits and loans, fiduciary activities, and more."--Publisher's website.
