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Author : Margaret A. Sheehan
Publisher : CCH Incorporated
ISBN 13 : 9780808022077
Total Pages : 400 pages
Book Rating : 4.0/5 (22 download)
Download or read book Practical Guide to Broker-Dealer Regulation written by Margaret A. Sheehan and published by CCH Incorporated. This book was released on 2009-07 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 536 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 1995 with total page 536 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : James M. Bartos
Publisher : Kluwer Law International B.V.
ISBN 13 : 9041123628
Total Pages : 326 pages
Book Rating : 4.0/5 (411 download)
Download or read book United States Securities Law written by James M. Bartos and published by Kluwer Law International B.V.. This book was released on 2006-01-01 with total page 326 pages. Available in PDF, EPUB and Kindle. Book excerpt: Capital raising, mergers and acquisitions and securities trading around the world often involve some connection with the United States and implicate the US securities laws. United States Securities Law: A Practical Guide ,offers a concise overview of US securities laws from the perspective of a non-US participant. It is written not only for lawyers but for managers, bankers and others with an interest in the topic. This new edition has been significantly updated and expanded, including for the SEC's recent offering reforms and corporate governance developments. Praise for the Second Edition: This book has been a valuable resource in effectively counselling my company in the intricacies of SEC regulation. Jim, with his many years of counselling foreign issuers out of his firms London office, writes with a perspective that is particularly relevant to the needs of foreign companies listed on US exchanges. George Miller, Executive Vice President and General Counsel, Novartis Corporation. A well written and useful primer for those looking for quick, practical answers to real life questions or who wish to understand better the background and rationale to US securities law and regulation. Leland Goss, Managing Director, Credit Suisse. This book really is a practical guide to the US securities laws. It does a great job of explaining the rules and regulations in a way that can be understood by readers that are not themselves US securities lawyers. Peter Castellon, Director andamp; Counsel, Citigroup Corporate andamp; Investment Banking.
Author : Norman S. Poser
Publisher :
ISBN 13 : 9780735567856
Total Pages : pages
Book Rating : 4.5/5 (678 download)
Download or read book Broker-dealer Law and Regulation written by Norman S. Poser and published by . This book was released on 2007 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Barry R. Temkin
Publisher :
ISBN 13 :
Total Pages : 8 pages
Book Rating : 4.:/5 (13 download)
Download or read book SEC Regulation Best Interest written by Barry R. Temkin and published by . This book was released on 2020 with total page 8 pages. Available in PDF, EPUB and Kindle. Book excerpt: On June 30, 2020 registered securities broker-dealers must begin their compliance with new SEC Regulation Best Interest and Form CRS Relationship Summary/Form ADV Part 3, which were announced by the Securities and Exchange Commission on June 5, 2019. These new regulations were promulgated under authority given to the SEC by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Regulation Best Interest has four components: (1) the disclosure obligation; (2) the care obligation; (3) the conflict of interest obligation; and (4) the compliance obligation. The Form CRS Relationship Summary/Form ADV Part 3 imposes an obligation on both broker-dealers and investment advisers to provide a Customer Relationship Summary to retail investors. For broker-dealers this form is called Form CRS. For investment advisers this form is Form ADV Part 3. This article will provide some basic preliminary guidance on how broker-dealers and investment advisers can prepare for the June 30 compliance date.
Author : Jerry W. Markham
Publisher :
ISBN 13 : 9780420611307
Total Pages : pages
Book Rating : 4.6/5 (113 download)
Download or read book Broker Dealer Operations Under Securities and Commodities Law written by Jerry W. Markham and published by . This book was released on 1998-01-12 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402407710
Total Pages : 0 pages
Book Rating : 4.4/5 (77 download)
Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Author : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 : 9780735511231
Total Pages : 1000 pages
Book Rating : 4.5/5 (112 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 1999-11-01 with total page 1000 pages. Available in PDF, EPUB and Kindle. Book excerpt: From duties under the common law to obligations imposed by the federal securities statutes, the Third Edition of Broker-Dealer Law and Regulation covers the full range of the law that protects the relationship between broker-dealers and their customers. The Third Edition includes private rights of action, securities arbitration and mediation, and regulation. 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: The regulatory framework, especially post-Glass-Steagall -- Broker-Dealer fraud -- Online trading -- Unsuitable recommendations -- Market manipulation -- Vicarious liability -- Defenses in actions against broker-dealers -- Compensatory and punitive damages and attorney's fees -- 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 : James A. Fanto
Publisher : Edward Elgar Publishing
ISBN 13 : 1800889577
Total Pages : 223 pages
Book Rating : 4.8/5 (8 download)
Download or read book Broker-Dealer Compliance written by James A. Fanto and published by Edward Elgar Publishing. This book was released on 2023-01-20 with total page 223 pages. Available in PDF, EPUB and Kindle. Book excerpt: Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
Author : Eduardo Vidal
Publisher : Globe Law and Business Limited
ISBN 13 : 9781905783496
Total Pages : 0 pages
Book Rating : 4.7/5 (834 download)
Download or read book US Securities Regulation written by Eduardo Vidal and published by Globe Law and Business Limited. This book was released on 2011 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: "While credit markets remain tight, the capital markets appear to be opening up again. As a result, many international companies will consider accessing the US markets as part of their financing strategy. This option is particularly attractive to non-US companies, which may take advantage of less stringent rules than those applicable to US companies. This practical title serves as a reference for companies and their lawyers on all matters relating to foreign private issuers in the US capital markets. Accessible and full of practical guidance, it addresses topics including amendments to the US Securities and Exchange Commission (SEC) rules automatically exempting foreign private issuers from SEC registration; new SEC rules making it easier for foreign private issuers to de-register their securities from the SEC and terminate their reporting obligations; acceptance of private issuers' financial statements prepared in accordance with International Financial Reporting Standards without reconciliation to US generally accepted accounting principles; and the new SEC release on cross-border tender offers. The book features a checklist for due diligence in international securities offerings. It also covers private placements of securities, including Rule 144A offerings, which are exempt from registration with the SEC, and a full description of American depositary receipts"--Unedited summary from book cover.
Author : Thomas Lee Hazen
Publisher : West Academic
ISBN 13 : 9780314189578
Total Pages : 271 pages
Book Rating : 4.1/5 (895 download)
Download or read book Broker-dealer Regulation in a Nutshell written by Thomas Lee Hazen and published by West Academic. This book was released on 2011 with total page 271 pages. Available in PDF, EPUB and Kindle. Book excerpt: This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
Author : James Bartos
Publisher : Springer
ISBN 13 :
Total Pages : 296 pages
Book Rating : 4.F/5 ( download)
Download or read book United States Securities Law:A Practical Guide written by James Bartos and published by Springer. This book was released on 2002-10-11 with total page 296 pages. Available in PDF, EPUB and Kindle. Book excerpt: In an increasingly global world, capital raising, securities trading and mergers and acquisitions often involve some connection with the United States and implicate the U.S. securities laws. United States Securities Law: A Practical Guide, offers a concise overview of the law and practice of issuing securities, listings, takeovers and the securities markets in the United States from the perspective of a non-U.S. participant. Originally published in 1992, this new edition has been significantly expanded and updated. The book is intended primarily for managers, financial intermediaries, lawyers and others seeking an overview of the topic. It offers a combination of practical insight and precise analysis.
Author : Steven Lofchie
Publisher :
ISBN 13 : 9780970106711
Total Pages : 808 pages
Book Rating : 4.1/5 (67 download)
Download or read book A Guide to Broker-Dealer Regulation written by Steven Lofchie and published by . This book was released on 2000-10-01 with total page 808 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Charles J. Johnson
Publisher :
ISBN 13 :
Total Pages : 1154 pages
Book Rating : 4.F/5 ( download)
Download or read book Corporate Finance and the Securities Laws written by Charles J. Johnson and published by . This book was released on 2004 with total page 1154 pages. Available in PDF, EPUB and Kindle. Book excerpt: The highly anticipated Third Edition of Corporate Finance & the Securities Laws is a fully updated version of this classic work by two premier experts in the world of corporate finance. The book explains the legal environment in which capital markets transactions take place as well as explaining the transactions themselves and how professionals can manage the transaction and get it done. Some highlights in the Third Edition are: Underwriting practices the registration and distribution process Private placements Shelf registrations International finance Commercial paper Innovative financial products and asset-backed securities the Third Edition also includes updates on many important developments in corporate finance, including: New standards for IPO allocations the reduced role of analysts in securities offerings driven by reforms separating the interaction of research analysts And The investment bankers who bring in new business an updated look at MD&A (Management Discussion & Analysis) A new chapter focusing on asset-backed securities Sarbanes-Oxley's effects on disclosure requirements and due diligence the growing trend of On-line offerings Dealing with 'gun-jumping' problems Electronic delivery of offering documents New emphasis on financial statement due diligence New NASD corporate financing rule New NASD rule on retention of new issues (formerly the 'hot issue' rule) Exiting the SEC reporting system Innovative financing techniques And The Commodity Futures Modernization Act of 2000 Short sales and equity derivatives Innovations in convertible, exchangeable and equity-linked securities Amended Rule 10b-18 and more
Author : Gary M. Brown
Publisher :
ISBN 13 : 9781402418969
Total Pages : 0 pages
Book Rating : 4.4/5 (189 download)
Download or read book Securities Law and Practice Deskbook written by Gary M. Brown and published by . This book was released on 2013-01-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations
Author : John F. Olson
Publisher : West Legalworks
ISBN 13 :
Total Pages : 1012 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities in the Electronic Age written by John F. Olson and published by West Legalworks. This book was released on 1998 with total page 1012 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Terrance J. O'Malley
Publisher : Wolters Kluwer
ISBN 13 : 1454838493
Total Pages : 1060 pages
Book Rating : 4.4/5 (548 download)
Download or read book Investment Adviser's Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
