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Author : United States. General Accounting Office
Publisher :
ISBN 13 :
Total Pages : 100 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities Investor Protection written by United States. General Accounting Office and published by . This book was released on 2001 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States Accounting Office
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781985283510
Total Pages : 96 pages
Book Rating : 4.2/5 (835 download)
Download or read book Securities Investor Protection written by United States Accounting Office and published by Createspace Independent Publishing Platform. This book was released on 2018-02-13 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt: GAO-01-653 Securities Investor Protection: Steps Needed to Better Disclose SIPC Policies to Investors
Author : Richard J. Hillman
Publisher : DIANE Publishing
ISBN 13 : 9780756716813
Total Pages : 100 pages
Book Rating : 4.7/5 (168 download)
Download or read book Securities Investor Protection written by Richard J. Hillman and published by DIANE Publishing. This book was released on 2001-09 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt: Assesses the operations of the Securities Investor Protection Corp. (SIPC), established in 1970. It discusses: (1) the basis for SIPC policies involving unauthorized trading and the extent that these policies are disclosed to investors; (2) the basis for SIPC policies involving the affiliates of SIPC member firms and the extent that these policies are disclosed to investors; (3) the SECs oversight of SIPC; and (4) the disclosure rules for SIPC, the FDIC, and state insurance guarantee associations, as well as the related implications for consumers as the financial services industry consolidates. Includes recommendations to the SIPC and the SEC regarding disclosure of SIPC policies and SEC's SIPC oversight.
Download or read book Securities Investor Protection written by and published by . This book was released on 2001 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. General Accounting Office
Publisher :
ISBN 13 :
Total Pages : 89 pages
Book Rating : 4.:/5 (2 download)
Download or read book Securities Investor Protection written by United States. General Accounting Office and published by . This book was released on 2001 with total page 89 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher : DIANE Publishing
ISBN 13 : 1428949429
Total Pages : 95 pages
Book Rating : 4.4/5 (289 download)
Download or read book Securities investor protection steps needed to better disclose SIPC policies to investors. written by and published by DIANE Publishing. This book was released on 2001 with total page 95 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher : DIANE Publishing
ISBN 13 : 1428943145
Total Pages : 42 pages
Book Rating : 4.4/5 (289 download)
Download or read book Securities investor protection update on matters related to the Securities Investor Protection Corporation. written by and published by DIANE Publishing. This book was released on with total page 42 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 1080 pages
Book Rating : 4.3/5 (555 download)
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 2005 with total page 1080 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 50 pages
Book Rating : 4.:/5 (31 download)
Download or read book Month in Review ... written by and published by . This book was released on 2001-06 with total page 50 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Publisher :
ISBN 13 :
Total Pages : 280 pages
Book Rating : 4.:/5 (327 download)
Download or read book Additional Reforms to the Securities Investor Protection Act written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and published by . This book was released on 2010 with total page 280 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 : 294 pages
Book Rating : 4.F/5 ( download)
Download or read book Enhancing Investor Protection and the Regulation of Securities Markets written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2009 with total page 294 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Z. Mikdashi
Publisher : Springer
ISBN 13 : 1403990115
Total Pages : 276 pages
Book Rating : 4.4/5 (39 download)
Download or read book Regulating the Financial Sector in the Era of Globalization written by Z. Mikdashi and published by Springer. This book was released on 2003-08-19 with total page 276 pages. Available in PDF, EPUB and Kindle. Book excerpt: The world's financial landscape is transforming as economies become increasingly interdependent. In Regulating the Financial Sector in the Era of Globalization, Zuhayr Mikdashi examines the role of public authorities and of business executives in the prevention, moderation, containment and resolution of financial problems. The book features a foreword by William C. Hunter, Senior Vice President and Director of Research at the Federal Reserve Bank of Chicago.
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
ISBN 13 :
Total Pages : 120 pages
Book Rating : 4.:/5 (327 download)
Download or read book Nominations of Alberto F. Treviño, Carolyn Y. Peoples, Rafael E. Cuéllar, Michael D. Scott, John M. Reich, Diana E. Furchtgott-Roth, Deborah Doyle McWhinney, and Armando J. Bucelo, Jr written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2003 with total page 120 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Michael D. Guttentag
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (137 download)
Download or read book Protection from What? Investor Protection and the JOBS Act written by Michael D. Guttentag and published by . This book was released on 2013 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The protection of investors is a preeminent goal of federal securities regulation in the United States, yet a basic question about investor protection has been all but ignored: what harms are securities regulations intended to protect investors from? This Article seeks to answer this basic question. The four distinct, but related, harms from which securities regulations might be intended to protect investors are: 1) fraud, 2) an unlevel informational playing field, 3) the extraction of private benefits from the firm by firm insiders, and 4) investors' propensity to make unwise investment decisions. Concern about each of these harms was a significant factor when the federal securities statutes were first enacted, and these concerns continue to influence securities regulation policy-making today. What benefits are provided by identifying the particular harms which underlie investor protection concerns? The JOBS Act offers an opportunity to address this question. Three features of the JOBS Act are analyzed: 1) provisions that create a new category of public issuer, the emerging growth company, 2) provisions that permit the public solicitation of investors in conjunction with Rule 506 offerings, and 3) provisions that make it easier for firms to avoid federal periodic disclosure obligations. Each of these JOBS Act provisions are analyzed from the perspective of the particular harms securities regulations might protect investors from. Carrying out this analysis generates several important new ideas about how to improve the JOBS Act. These findings illustrate how a better understanding of the harms to investors that underlie investor protection concerns can improve securities regulation policy-making.
Author :
Publisher :
ISBN 13 :
Total Pages : 1038 pages
Book Rating : 4.F/5 ( download)
Download or read book BNA's Banking Report written by and published by . This book was released on 2004 with total page 1038 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 16 pages
Book Rating : 4.:/5 (192 download)
Download or read book Securities Investor Protection Corporation written by and published by . This book was released on 1980 with total page 16 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 444 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities Regulation & Law Report written by and published by . This book was released on 2004 with total page 444 pages. Available in PDF, EPUB and Kindle. Book excerpt:
