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Author : William A. Prifti
Publisher : Clark Boardman Callaghan
ISBN 13 : 9780876328057
Total Pages : pages
Book Rating : 4.3/5 (28 download)
Download or read book Securities Law Handbook for Financial Planners written by William A. Prifti and published by Clark Boardman Callaghan. This book was released on 1991 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Eli P. Bernzweig
Publisher :
ISBN 13 :
Total Pages : 248 pages
Book Rating : 4.3/5 (512 download)
Download or read book The Financial Planner's Legal Guide written by Eli P. Bernzweig and published by . This book was released on 1986 with total page 248 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Thomas P. Lemke
Publisher :
ISBN 13 : 9780314832627
Total Pages : pages
Book Rating : 4.8/5 (326 download)
Download or read book Regulation of Investment Advisers written by Thomas P. Lemke and published by . This book was released on 2015 with total page 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.
Author : Robert A. Fippinger
Publisher :
ISBN 13 :
Total Pages : 480 pages
Book Rating : 4.:/5 (41 download)
Download or read book The Securities Law of Public Finance written by Robert A. Fippinger and published by . This book was released on 1988 with total page 480 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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 : Jerry W. Markham
Publisher : Edward Elgar Publishing
ISBN 13 : 1782540075
Total Pages : 563 pages
Book Rating : 4.7/5 (825 download)
Download or read book Research Handbook on Securities Regulation in the United States written by Jerry W. Markham and published by Edward Elgar Publishing. This book was released on 2014-07-31 with total page 563 pages. Available in PDF, EPUB and Kindle. Book excerpt: This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute
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 : Harold S. Bloomenthal
Publisher :
ISBN 13 :
Total Pages : 1544 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities Law Handbook written by Harold S. Bloomenthal and published by . This book was released on 2008 with total page 1544 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Harold S. Bloomenthal
Publisher : Clark Boardman Callaghan
ISBN 13 : 9780876328767
Total Pages : pages
Book Rating : 4.3/5 (287 download)
Download or read book Securities Law Handbook, 1993 written by Harold S. Bloomenthal and published by Clark Boardman Callaghan. This book was released on 1992-10-01 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : New Zealand
Publisher :
ISBN 13 : 9780864726711
Total Pages : pages
Book Rating : 4.7/5 (267 download)
Download or read book Brookers Company and Securities Law Handbook 2009 written by New Zealand and published by . This book was released on 2009-01-01 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: Brookers Company and Securities Law Handbook 2009 consolidates in two volumes the key legislation relevant to the areas of company and securities law. With 24 tabs and six blanks for your own reference, a comprehensive subject index and an alphabetical list of legislation, this portable and convenient handbook ensures quick and easy access to the information you need. This Handbook contains extensive 'full form' history and editorial notes, a table of statutes and regulations, and future amendment pending notes. It is the most comprehensive collection of company and securities law legislation available in bound form. Practitioners, students and anyone who refers to a particular area of law on a regular basis will find this handbook an invaluable reference tool. New to the 2009 edition: Financial Advisers Act 2008; Financial Service Providers (Registration and Dispute Resolution) Act 2008; Financial Transactions Reporting (Interpretation) Regulations 2008; High Court Rules (companies provisions); Limited Partnerships Act 2008.
Author : Marcus Best
Publisher :
ISBN 13 : 9789041154422
Total Pages : 0 pages
Book Rating : 4.1/5 (544 download)
Download or read book International Securities Law Handbook written by Marcus Best and published by . This book was released on 2015 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Numerous changes, large and small, in securities laws and regulations in many jurisdictions necessitate periodic new editions of this unique and much-relied-upon source of information for global investors. In this fourth edition, the goal is again to provide a comprehensive, reliable and up-to-date guide to the relevant issues encountered in the issue and offering of cross-border securities in the most significant financial markets. Since its first edition, the ‘International Securities Law Handbook’ has answered the need for a user-friendly source of information covering the most significant jurisdictions. Now fully updated and with first-time contributions from Chile, Colombia, Italy, Poland, Russia and Thailand, this invaluable reference presents the key elements of securities law and regulations in 39 jurisdictions. Country chapters, each written by a local expert in securities law, appear alphabetically. Each jurisdiction is presented in a consistent format, covering the topics most relevant to overseas investors and their advisers, so that information on specific issues can be easily found and compared from country to country.
Author : Harold S. Bloomenthal
Publisher :
ISBN 13 :
Total Pages : 432 pages
Book Rating : 4.3/5 (9 download)
Download or read book 1981 Securities Law Handbook written by Harold S. Bloomenthal and published by . This book was released on 1981 with total page 432 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Law Handbook written by and published by . This book was released on 2003 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Deborah A. Sabalot
Publisher :
ISBN 13 : 9781474317979
Total Pages : 3557 pages
Book Rating : 4.3/5 (179 download)
Download or read book Butterworths Securities & Financial Services Law Handbook written by Deborah A. Sabalot and published by . This book was released on 2021 with total page 3557 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Deborah A. Sabalot
Publisher :
ISBN 13 : 9781474327633
Total Pages : 0 pages
Book Rating : 4.3/5 (276 download)
Download or read book Butterworths Securities and Financial Services Law Handbook written by Deborah A. Sabalot and published by . This book was released on 2024-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : CFP Board
Publisher : John Wiley & Sons
ISBN 13 : 1118677633
Total Pages : 555 pages
Book Rating : 4.1/5 (186 download)
Download or read book The Financial Planning Competency Handbook written by CFP Board and published by John Wiley & Sons. This book was released on 2013-04-03 with total page 555 pages. Available in PDF, EPUB and Kindle. Book excerpt: Whether you’re studying to become a financial planner or a practitioner looking for a comprehensive reference to help serve your clients' needs, this is the ultimate guide. Developed by Certified Financial Planner Board of Standards, Inc. (CFP Board), the Financial Planning Competency Handbook gives you everything you need to meet the daily challenges of your current or future profession. This all-inclusive handbook covers the entire list of nearly 90 vital topics on integrated financial planning, including such major components as: General Principles of Finance and Financial Planning Insurance Planning Employee Benefits Planning Investment and Securities Planning State and Federal Income Tax Planning Estate Tax, Gift Tax, and Transfer Tax Planning Retirement Planning Estate Planning Principles of Communication and Counseling And more
