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Author : Howard M. Friedman
Publisher : Lexington Books
ISBN 13 :
Total Pages : 264 pages
Book Rating : 4.3/5 (91 download)
Download or read book Securities and Commodities Enforcement written by Howard M. Friedman and published by Lexington Books. This book was released on 1981 with total page 264 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Nicole A. Baker
Publisher : American Bar Association
ISBN 13 : 9781590317297
Total Pages : 774 pages
Book Rating : 4.3/5 (172 download)
Download or read book The Securities Enforcement Manual written by Nicole A. Baker and published by American Bar Association. This book was released on 2007 with total page 774 pages. Available in PDF, EPUB and Kindle. Book excerpt: This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
Author :
Publisher :
ISBN 13 :
Total Pages : 206 pages
Book Rating : 4.F/5 ( download)
Download or read book The Review of Securities & Commodities Regulation written by and published by . This book was released on 2007 with total page 206 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Zachary S. Brez
Publisher :
ISBN 13 : 9781617469619
Total Pages : pages
Book Rating : 4.4/5 (696 download)
Download or read book Commodities and Futures Enforcement written by Zachary S. Brez and published by . This book was released on 2014 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Jerry Markham
Publisher : Routledge
ISBN 13 : 1317466365
Total Pages : 547 pages
Book Rating : 4.3/5 (174 download)
Download or read book Law Enforcement and the History of Financial Market Manipulation written by Jerry Markham and published by Routledge. This book was released on 2015-01-28 with total page 547 pages. Available in PDF, EPUB and Kindle. Book excerpt: First Published in 2014. This book maps the issues and traces the U.S. government's efforts to properly regulate, monitor, and prevent financial speculation and price manipulation in various markets. It begins with the period from the late nineteenth century to the first congressional efforts at regulation in the 1930s and continues on to the present, with a full chapter on the legal and financial aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The book also discusses the difficulty of initiating successful prosecutions of financial fraud and price manipulation and proposes a new approach to preventing manipulative practices.
Author : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Publisher :
ISBN 13 :
Total Pages : 172 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities Laws Enforcement written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance and published by . This book was released on 1989 with total page 172 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Marc I. Steinberg
Publisher :
ISBN 13 :
Total Pages : 808 pages
Book Rating : 4.:/5 (45 download)
Download or read book Securities Practice written by Marc I. Steinberg and published by . This book was released on 1985 with total page 808 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Allan H. Pessin
Publisher : Irwin Professional Publishing
ISBN 13 :
Total Pages : 488 pages
Book Rating : 4.3/5 (512 download)
Download or read book Securities Law Compliance written by Allan H. Pessin and published by Irwin Professional Publishing. This book was released on 1990 with total page 488 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Kenneth B. Winer
Publisher :
ISBN 13 : 9781579114473
Total Pages : pages
Book Rating : 4.1/5 (144 download)
Download or read book Securities Enforcement written by Kenneth B. Winer and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 280 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities, Commodities, & Banking written by and published by . This book was released on 1998 with total page 280 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Philip McBride Johnson
Publisher :
ISBN 13 :
Total Pages : 390 pages
Book Rating : 4.F/5 ( download)
Download or read book Derivatives Regulation written by Philip McBride Johnson and published by . This book was released on 2004 with total page 390 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Philip McBride Johnson
Publisher :
ISBN 13 :
Total Pages : 1225 pages
Book Rating : 4.:/5 (2 download)
Download or read book Derivatives Regulation written by Philip McBride Johnson and published by . This book was released on 2004 with total page 1225 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 676 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities Enforcement Institute written by and published by . This book was released on 1997 with total page 676 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Ralph C. Ferrara
Publisher : MICHIE
ISBN 13 :
Total Pages : 286 pages
Book Rating : 4.F/5 ( download)
Download or read book Redeeming Fallen Brokers written by Ralph C. Ferrara and published by MICHIE. This book was released on 1988 with total page 286 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Author : Joseph Groia
Publisher :
ISBN 13 : 9780779800032
Total Pages : 511 pages
Book Rating : 4.8/5 ( download)
Download or read book Securities Litigation and Enforcement written by Joseph Groia and published by . This book was released on 2007 with total page 511 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Alan R. Bromberg
Publisher :
ISBN 13 :
Total Pages : 642 pages
Book Rating : 4.:/5 (319 download)
Download or read book Securities Fraud & Commodities Fraud written by Alan R. Bromberg and published by . This book was released on 1993 with total page 642 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Gary E. Kalbaugh
Publisher : Aspen Publishers
ISBN 13 : 9781454851301
Total Pages : 0 pages
Book Rating : 4.8/5 (513 download)
Download or read book Derivatives Law and Regulation written by Gary E. Kalbaugh and published by Aspen Publishers. This book was released on 2014 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides the framework for a course in the law and regulation of derivatives. It is clear, concise and thorough, offering a user-friendly, easily teachable structure, while conveying an exciting insight into this field of law. Covered are both the long-standing regulatory regime for commodity futures and options and the regulatory regime for swaps mandated by the Dodd-Frank Act. Features: Examination of the contribution of derivatives to the Financial Crisis and the public policy considerations underlying the Dodd-Frank Act Study of the Commodity Futures Trading Commission (CFTC) and its jurisdiction over most derivatives Basic economic overview of derivatives and their function and descriptions of futures, forwards, options and the most common interest rate, foreign exchange, commodity, credit, and equity swaps The law and regulation applying to CFTC registrants, including designated contract markets, derivatives clearing organizations, futures commission merchants, introducing brokers, floor brokers, commodity pool operators, commodity trading advisors, swap dealers, major swap participants, swap data repositories, and swap execution facilities Focus on commodities fraud, market manipulation and the CFTCand’s enforcement authority, as enhanced by the Dodd-Frank Act Detailed description of the documentation of off-exchange derivatives and commonly-negotiated provisions Examination of the Bankruptcy Codeand’s treatment of derivatives Comparison of trading mechanics on traditional futures exchanges to trading mechanics on swap execution facilities, including with respect to custody of customer funds Discussions of prominent failures in the derivatives market, such as Peregrine Financial Corporation, MF Global and Lehman Brothers Comprehensive glossary of relevant terms
