Fundamentals of Broker-dealer Regulation, 2016

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Publisher :
ISBN 13 : 9781402427176
Total Pages : 531 pages
Book Rating : 4.4/5 (271 download)

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Book Synopsis Fundamentals of Broker-dealer Regulation, 2016 by :

Download or read book Fundamentals of Broker-dealer Regulation, 2016 written by and published by . This book was released on 2016 with total page 531 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Securities Regulation

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Publisher :
ISBN 13 :
Total Pages : 564 pages
Book Rating : 4.F/5 ( download)

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Book Synopsis Securities Regulation by : Alan R. Palmiter

Download or read book Securities Regulation written by Alan R. Palmiter and published by . This book was released on 2005 with total page 564 pages. Available in PDF, EPUB and Kindle. Book excerpt: Students depend on Securities Regulation: Examples & Explanations because it gives them what they need: - coverage of key concepts, such as public offerings, exemptions from registration, liability in securities offerings, materiality, definition of security, securities fraud, insider trading, SEC enforcement, and cross-border regulation - Examples and Explanations approach that reinforces learning by combining textual material with well-written examples, questions, and explanations - assistance in navigating a complex subject, beginning with clear delineations of the basic concepts of securities regulation and then applying the concepts in specific areas - numerous examples drawn from newsworthy events - content corresponds to the topics in the leading casebooks - sound and logical organization moves from major themes to specifics - clear and straightforward writing style The Third Edition keeps pace with developments in the law: - Sarbanes-Oxley Act with comprehensive overview and developments, including new problems - new SEC rules on expanded risk disclosure, company certifications, and lawyer up the ladder reporting - new material on IPO abuses: spinning, flipping, gun-jumping - new NYSE and NASDAQ rules on corporate governance listing standards and stock analysts - new and updated cases - new and revised examples

U.S. Regulation of the International Securities and Derivatives Markets

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Publisher : Aspen Law & Business Publishers
ISBN 13 :
Total Pages : 254 pages
Book Rating : 4.F/5 ( download)

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Book Synopsis U.S. Regulation of the International Securities and Derivatives Markets by :

Download or read book U.S. Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Guide to Bank Underwriting, Dealing and Brokerage Activities

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Publisher :
ISBN 13 :
Total Pages : pages
Book Rating : 4.:/5 (577 download)

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Book Synopsis Guide to Bank Underwriting, Dealing and Brokerage Activities by : Robert L. Tortoriello

Download or read book Guide to Bank Underwriting, Dealing and Brokerage Activities written by Robert L. Tortoriello and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Series 66 Exam Secrets Study Guide

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ISBN 13 : 9781610728638
Total Pages : 0 pages
Book Rating : 4.7/5 (286 download)

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Book Synopsis Series 66 Exam Secrets Study Guide by : Series 66 Exam Secrets Test Prep

Download or read book Series 66 Exam Secrets Study Guide written by Series 66 Exam Secrets Test Prep and published by . This book was released on 2018-04-12 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: ***Includes Practice Test Questions*** Series 66 Exam Secrets helps you ace the Uniform Combined State Law Exam, without weeks and months of endless studying. Our comprehensive Series 66 Exam Secrets study guide is written by our exam experts, who painstakingly researched every topic and concept that you need to know to ace your test. Our original research reveals specific weaknesses that you can exploit to increase your exam score more than you've ever imagined. Series 66 Exam Secrets includes: The 5 Secret Keys to Series 66 Test Success: Time is Your Greatest Enemy, Guessing is Not Guesswork, Practice Smarter, Not Harder, Prepare, Don't Procrastinate, Test Yourself; A comprehensive General Strategy review including: Make Predictions, Answer the Question, Benchmark, Valid Information, Avoid Fact Traps, Milk the Question, The Trap of Familiarity, Eliminate Answers, Tough Questions, Brainstorm, Read Carefully, Face Value, Prefixes, Hedge Phrases, Switchback Words, New Information, Time Management, Contextual Clues, Don't Panic, Pace Yourself, Answer Selection, Check Your Work, Beware of Directly Quoted Answers, Slang, Extreme Statements, Answer Choice Families; A comprehensive content review including: Evaluating Investments, Ratios, Averages, Types of Return, Four Types of Income Tax, Analyzing Financial Profiles, Partnerships, Securities, Four Types of Preferred Stock, Focused and External Funds, Real and Expected Returns, Revocable and Irrevocable Trusts, Annuities, Class A, B, and C Mutual Funds, Treasury and Municipal Bonds, Investment Goals, Retirement Plan Issues, Traditional and Roth IRA's, Understanding and Managing Risk, Types of Loss, Non-Qualified Retirement Plan, Stock Investment Strategies, Portfolio Management, Mixed and Managed Accounts, Types of Financing, Capital Gain, Appreciation, and Loss, Asset Allocation, Types of Loans, NSMIA, Registration, Qualification and Submission Requirements, and much more...

Securities Regulation in a Nutshell

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Publisher :
ISBN 13 : 9780314269966
Total Pages : 0 pages
Book Rating : 4.2/5 (699 download)

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Book Synopsis Securities Regulation in a Nutshell by : Thomas Lee Hazen

Download or read book Securities Regulation in a Nutshell written by Thomas Lee Hazen and published by . This book was released on 2016 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.

Securities Regulation

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Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 820 pages
Book Rating : 4.F/5 ( download)

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Book Synopsis Securities Regulation by : Louis Loss

Download or read book Securities Regulation written by Louis Loss and published by Aspen Publishers. This book was released on 2009 with total page 820 pages. Available in PDF, EPUB and Kindle. Book excerpt: "The universally acknowledged work Securities Regulation is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes plus thousands of cases, SEC administrative decisions and letters definitively clarifies such questions as: When does a note fall within the definition of a "security" How have the courts altered the express civil liability provisions of the federal securities laws? Can the SEC impose additional ten-day suspensions on trading without notice? Does scienter include reckless as well as intentional conduct? And countless others, so that you're almost sure to find coverage of the "small point" on which your case may turn."--Publisher's website.

Securities Market Issues for the 21st Century

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ISBN 13 : 9781982966850
Total Pages : 476 pages
Book Rating : 4.9/5 (668 download)

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Book Synopsis Securities Market Issues for the 21st Century by : Merritt B. Fox

Download or read book Securities Market Issues for the 21st Century written by Merritt B. Fox and published by . This book was released on 2018 with total page 476 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Business Law I Essentials

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ISBN 13 : 9781680923025
Total Pages : 180 pages
Book Rating : 4.9/5 (23 download)

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Book Synopsis Business Law I Essentials by : MIRANDE. DE ASSIS VALBRUNE (RENEE. CARDELL, SUZANNE.)

Download or read book Business Law I Essentials written by MIRANDE. DE ASSIS VALBRUNE (RENEE. CARDELL, SUZANNE.) and published by . This book was released on 2019-09-27 with total page 180 pages. Available in PDF, EPUB and Kindle. Book excerpt: A less-expensive grayscale paperback version is available. Search for ISBN 9781680923018. Business Law I Essentials is a brief introductory textbook designed to meet the scope and sequence requirements of courses on Business Law or the Legal Environment of Business. The concepts are presented in a streamlined manner, and cover the key concepts necessary to establish a strong foundation in the subject. The textbook follows a traditional approach to the study of business law. Each chapter contains learning objectives, explanatory narrative and concepts, references for further reading, and end-of-chapter questions. Business Law I Essentials may need to be supplemented with additional content, cases, or related materials, and is offered as a foundational resource that focuses on the baseline concepts, issues, and approaches.

Emanuel Law Outlines for Corporations

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Publisher : Aspen Publishing
ISBN 13 : 145489945X
Total Pages : 775 pages
Book Rating : 4.4/5 (548 download)

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Book Synopsis Emanuel Law Outlines for Corporations by : Steven L. Emanuel

Download or read book Emanuel Law Outlines for Corporations written by Steven L. Emanuel and published by Aspen Publishing. This book was released on 2020-10-08 with total page 775 pages. Available in PDF, EPUB and Kindle. Book excerpt: Any law school graduate will tell you that when picking your outline tool you need to pick the best because your outlines are the most important study tool you will use throughout your law school career. Developed by legendary study aid author Steve Emanuel, Emanuel® Law Outlines (ELOs) are the #1 outline choice among law students. An ELO ensures that you understand the concepts as you learn them in class and helps you study for exams throughout the semester. Here's why you need an ELO from your first day of class right through your final exam: ELOs help you focus on the concepts and issues you need to master to succeed on exams. They are easy to understand: Each ELO contains comprehensive coverage of the topics, cases, and black letter law found in your specific casebook, but is explained in a way that is understandable. The Quiz Yourself and Essay Q&A features help you test your knowledge throughout the semester. Exam Tips alert you to the issues and fact patterns that commonly pop up on exams. The Capsule Summary provides a quick review of the key concepts covered in the full Outline—perfect for exam review!

Securities Regulation

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Publisher : Examples & Explanations
ISBN 13 : 9781454833925
Total Pages : 0 pages
Book Rating : 4.8/5 (339 download)

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Book Synopsis Securities Regulation by : Alan R. Palmiter

Download or read book Securities Regulation written by Alan R. Palmiter and published by Examples & Explanations. This book was released on 2014 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: A favorite among successful students, and often recommended by professors, the unique Examples & Explanations series gives you extremely clear introductions to concepts followed by realistic examples that mirror those presented in the classroom throughout the semester. Use at the beginning and midway through the semester to deepen your understanding through clear explanations, corresponding hypothetical fact patterns, and analysis. Then use to study for finals by reviewing the hypotheticals as well as the structure and reasoning behind the accompanying analysis. Designed to complement your casebook, the trusted Examples & Explanations titles get right to the point in a conversational, often humorous style that helps you learn the material each step of the way and prepare for the exam at the end of the course. The unique, time-tested Examples & Explanations series is invaluable to teach yourself the subject from the first day of class until your last review before the final. Each guide: helps you learn new material by working through chapters that explain each topic in simple language challenges your understanding with hypotheticals similar to those presented in class provides valuable opportunity to study for the final by reviewing the hypotheticals as well as the structure and reasoning behind the corresponding analysis quickly gets to the point in conversational style laced with humor remains a favorite among law school students is often recommended by professors who encourage the use of study guides works with ALL the major casebooks, suits any class on a given topic provides an alternative perspective to help you understand your casebook and in-class lectures

Introduction to Business

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ISBN 13 :
Total Pages : 1455 pages
Book Rating : 4./5 ( download)

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Book Synopsis Introduction to Business by : Lawrence J. Gitman

Download or read book Introduction to Business written by Lawrence J. Gitman and published by . This book was released on 2024-09-16 with total page 1455 pages. Available in PDF, EPUB and Kindle. Book excerpt: Introduction to Business covers the scope and sequence of most introductory business courses. The book provides detailed explanations in the context of core themes such as customer satisfaction, ethics, entrepreneurship, global business, and managing change. Introduction to Business includes hundreds of current business examples from a range of industries and geographic locations, which feature a variety of individuals. The outcome is a balanced approach to the theory and application of business concepts, with attention to the knowledge and skills necessary for student success in this course and beyond. This is an adaptation of Introduction to Business by OpenStax. You can access the textbook as pdf for free at openstax.org. Minor editorial changes were made to ensure a better ebook reading experience. Textbook content produced by OpenStax is licensed under a Creative Commons Attribution 4.0 International License.

Capital Markets Handbook

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Publisher : Wolters Kluwer
ISBN 13 : 0735550328
Total Pages : 1458 pages
Book Rating : 4.7/5 (355 download)

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Book Synopsis Capital Markets Handbook by : John C. Burch

Download or read book Capital Markets Handbook written by John C. Burch and published by Wolters Kluwer. This book was released on 2005-01-01 with total page 1458 pages. Available in PDF, EPUB and Kindle. Book excerpt: Capital Markets Handbook, Sixth Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in major securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, compliance issues, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. The Sixth Edition includes coverage of new developments, including compliance issues such as: New amendments to NASD Rule 2710 ("The Corporate Financing Rule") governing underwriting compensation Updates on PIPE and Registered Direct Transactions Amendments to Rule 10b-18 governing corporate repurchase of equity securities Online Dutch auction procedures in use for the Google, Inc. IPO United Kingdom Financial Service Authority guidance on conflict of interest regarding pricing and allocation issues which have been adopted by one major U.S. investment bank Amendments to Rule 105 Regulation M concerning short selling in connection with public offerings Currency conversion in settlement of a global offering NASD Rule 2790-Restriction on the Purchase and Sale of IPO equity securities NASD IPO Distribution Manager procedures for filing with NASD Corporate Financing Proposed NASD Rule 2712 concerning allocation and distribution of shares in an initial public offering A reorganized compliance chapter in a checklist format designed to ease and enhance CEO and CFO Compliance Certification required by a proposed amendment to NASD Rule 3010 (Supervision) and the adoption of Interpretive Material 3010-1 And more

Global Securities Litigation and Enforcement

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Publisher : Cambridge University Press
ISBN 13 : 1108577423
Total Pages : 1363 pages
Book Rating : 4.1/5 (85 download)

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Book Synopsis Global Securities Litigation and Enforcement by : Pierre-Henri Conac

Download or read book Global Securities Litigation and Enforcement written by Pierre-Henri Conac and published by Cambridge University Press. This book was released on 2019-01-03 with total page 1363 pages. Available in PDF, EPUB and Kindle. Book excerpt: Global Securities Litigation and Enforcement provides a clear and exhaustive description of the national regime for the enforcement of securities legislation in cases of misrepresentation on financial markets. It covers 29 jurisdictions worldwide, some of them are important although their law is not well known. It will be an invaluable resource for academics and students of securities litigation, as well as for lawyers, policy-makers and regulators. The book also provides a comprehensive contribution debate on whether public or private enforcement is preferable in terms of development of securities markets. It will appeal to those interested in the legal origins theory and in comparative securities law, and shows that the classification of jurisdictions within legal families does not explain the differences in legal regimes. While US securities law often serves as a model for international convergence, some of its elements, such as securities class actions, have not been adopted worldwide.

Principles of Financial Regulation

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Publisher : Oxford University Press
ISBN 13 : 0198786476
Total Pages : 698 pages
Book Rating : 4.1/5 (987 download)

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Book Synopsis Principles of Financial Regulation by : John Armour

Download or read book Principles of Financial Regulation written by John Armour and published by Oxford University Press. This book was released on 2016 with total page 698 pages. Available in PDF, EPUB and Kindle. Book excerpt: Examining the subject from a holistic and multidisciplinary perspective, Principles of Financial Regulation considers the underlying policies and the objectives of financial regulation.

The Securities Litigation Review

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Publisher :
ISBN 13 : 9781910813645
Total Pages : 310 pages
Book Rating : 4.8/5 (136 download)

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Book Synopsis The Securities Litigation Review by : William Savitt

Download or read book The Securities Litigation Review written by William Savitt and published by . This book was released on 2017 with total page 310 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Fundamentals of Broker-Dealer Regulation 2017

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Publisher :
ISBN 13 : 9781402429439
Total Pages : 259 pages
Book Rating : 4.4/5 (294 download)

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Book Synopsis Fundamentals of Broker-Dealer Regulation 2017 by : Practising Law Institute

Download or read book Fundamentals of Broker-Dealer Regulation 2017 written by Practising Law Institute and published by . This book was released on 2017-07-18 with total page 259 pages. Available in PDF, EPUB and Kindle. Book excerpt: