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Study And Recommendations On Improved Investor Access To Registration Information About Investment Advisers And Broker Dealers
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Book Synopsis Study and Recommendations on Improved Investor Access to Registration Information about Investment Advisers and Broker-Dealers by : Elisse B. Walter
Download or read book Study and Recommendations on Improved Investor Access to Registration Information about Investment Advisers and Broker-Dealers written by Elisse B. Walter and published by DIANE Publishing. This book was released on 2011-04 with total page 46 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Dodd-Frank Wall Street Reform and Consumer Protection Act required this study of ways to improve the access of investors to registration information about registered and previously registered investment advisers, associated persons of investment advisers, brokers and dealers and their associated persons, and to identify additional information that should be made publicly available. The Act specifies that the study include an analysis of the advantages and disadvantages of further centralizing access to registration information, and identify data pertinent to investors and the method and format for displaying and publishing the data to enhance the information's accessibility and utility to investors. This is a print on demand report.
Book Synopsis Study and Recommendations on Improved Investor Access to Registration Information about Investment Advisers and Broker-dealers by :
Download or read book Study and Recommendations on Improved Investor Access to Registration Information about Investment Advisers and Broker-dealers written by and published by . This book was released on 2011 with total page 45 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Investor and Industry Perspectives on Investment Advisers and Broker-Dealers by : Angela A. Hung
Download or read book Investor and Industry Perspectives on Investment Advisers and Broker-Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Author :United States. Congress. Senate. Committee on Homeland Security and Governmental Affairs. Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia Publisher : ISBN 13 : Total Pages :136 pages Book Rating :4.:/5 (318 download)
Book Synopsis Financial Literacy by : United States. Congress. Senate. Committee on Homeland Security and Governmental Affairs. Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia
Download or read book Financial Literacy written by United States. Congress. Senate. Committee on Homeland Security and Governmental Affairs. Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia and published by . This book was released on 2011 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Study on Investment Advisers and Broker-Dealers by : Barry Leonard
Download or read book Study on Investment Advisers and Broker-Dealers written by Barry Leonard and published by DIANE Publishing. This book was released on 2011-05 with total page 208 pages. Available in PDF, EPUB and Kindle. Book excerpt: Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial goals. BD&IA are regulated extensively, but the regulatory regimes differ, and BD&IA are subject to different standards under fed. law when providing invest. advice (IA) about securities. This report evaluated: (1) The effectiveness of existing legal standards of care for providing personalized IA and recommend. about securities to retail customers; and (2) Whether there are legal gaps in regulatory standards in the protection of retail customers relating to providing personalized IA about securities to retail customers that should be addressed by statute. This is print on demand report.
Book Synopsis Encyclopedia of White-Collar and Corporate Crime by : Lawrence M. Salinger
Download or read book Encyclopedia of White-Collar and Corporate Crime written by Lawrence M. Salinger and published by SAGE Publications. This book was released on 2013-06-14 with total page 1212 pages. Available in PDF, EPUB and Kindle. Book excerpt: Since the first edition of the Encyclopedia of White Collar and Corporate Crime was produced in 2004, the number and severity of these crimes have risen to the level of calamity, so much so that many experts attribute the near-Depression of 2008 to white-collar malfeasance, namely crimes of greed and excess by bankers and financial institutions. Whether the perpetrators were prosecuted or not, white-collar and corporate crime came near to collapsing the U.S. economy. In the 7 years since the first edition was produced we have also seen the largest Ponzi scheme in history (Maddoff), an ecological disaster caused by British Petroleum and its subcontractors (Gulf Oil Spill), and U.S. Defense Department contractors operating like vigilantes in Iraq (Blackwater). White-collar criminals have been busy, and the Second Edition of this encyclopedia captures what has been going on in the news and behind the scenes with new articles and updates to past articles.
Book Synopsis Congressional Record by : United States. Congress
Download or read book Congressional Record written by United States. Congress and published by . This book was released on 2004 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The Congressional Record is the official record of the proceedings and debates of the United States Congress. It is published daily when Congress is in session. The Congressional Record began publication in 1873. Debates for sessions prior to 1873 are recorded in The Debates and Proceedings in the Congress of the United States (1789-1824), the Register of Debates in Congress (1824-1837), and the Congressional Globe (1833-1873)
Book Synopsis Journal of the House of Representatives of the United States by : United States. Congress. House
Download or read book Journal of the House of Representatives of the United States written by United States. Congress. House and published by . This book was released on 2004 with total page 1778 pages. Available in PDF, EPUB and Kindle. Book excerpt: Some vols. include supplemental journals of "such proceedings of the sessions, as, during the time they were depending, were ordered to be kept secret, and respecting which the injunction of secrecy was afterwards taken off by the order of the House".
Book Synopsis Coping with Broker-dealer Regulation & Increasing Enforcement by :
Download or read book Coping with Broker-dealer Regulation & Increasing Enforcement written by and published by . This book was released on 2010 with total page 922 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Federal Register written by and published by . This book was released on 2016 with total page 382 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis United States Code by : United States
Download or read book United States Code written by United States and published by . This book was released on 2008 with total page 1392 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Dodd-Frank Financial Reform and Its Impact on the Banking Industry by :
Download or read book Dodd-Frank Financial Reform and Its Impact on the Banking Industry written by and published by . This book was released on 2010 with total page 468 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Dodd-Frank Wall Street Reform and Consumer Protection Act by :
Download or read book Dodd-Frank Wall Street Reform and Consumer Protection Act written by and published by Government Printing Office. This book was released on with total page 888 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Dodd-Frank Wall Street Reform and Consumer Protection Act by : United States. Congress
Download or read book Dodd-Frank Wall Street Reform and Consumer Protection Act written by United States. Congress and published by . This book was released on 2010 with total page 904 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Study on Investment Advisers and BrokerDealers by :
Download or read book Study on Investment Advisers and BrokerDealers written by and published by DIANE Publishing. This book was released on with total page 208 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Essentials of the Dodd-Frank Act by : Sanjay Anand
Download or read book Essentials of the Dodd-Frank Act written by Sanjay Anand and published by John Wiley & Sons. This book was released on 2011-02-01 with total page 115 pages. Available in PDF, EPUB and Kindle. Book excerpt: An executive overview of the new Financial Regulations Act This book provides an executive summary of the newly passed Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act. One of the first books to provide an executive summary from a compliance perspective Presents responsibilities of senior level executives regarding this new Act Reveals what has changed within the regulatory environment Provides tips and techniques throughout Describing the government regulation of securities, securities markets, and securities transactions in the United States, this timely book succinctly defines, describes, and explains domestic securities regulation for compliance officers, accountants, and broker-dealers.
Download or read book Hedge Funds written by and published by . This book was released on 2010 with total page 376 pages. Available in PDF, EPUB and Kindle. Book excerpt:
