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Author :
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (741 download)
Download or read book The SEC Speaks in 1974 written by and published by . This book was released on 1974 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 1130 pages
Book Rating : 4.F/5 ( download)
Download or read book The SEC Speaks in ... written by and published by . This book was released on 2009 with total page 1130 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : H. David Kotz
Publisher : DIANE Publishing
ISBN 13 : 1437921752
Total Pages : 124 pages
Book Rating : 4.4/5 (379 download)
Download or read book SEC's Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs) written by H. David Kotz and published by DIANE Publishing. This book was released on 2010 with total page 124 pages. Available in PDF, EPUB and Kindle. Book excerpt: The SEC first incorporated reliance on credit ratings into its rules and regulations in 1975 in connection with how broker-dealers must compute their net capital. In that rule, the SEC specified that a broker-dealer, in computing its net capital, could take a lesser deduction from its net worth as to securities that were rated as having a comparatively low chance of default according to a credit rating of a ¿nationally recognized statistical rating org.¿ (¿NRSRO¿). This report focuses on the implementation of and compliance with the Rating Agency Act and SEC rules. It also assessed the SEC¿s efforts to oversee the NRSROs and to implement the Rating Agency Act¿s accountability, competition, and transparency objectives.
Author : Mark L. Zyla
Publisher : John Wiley & Sons
ISBN 13 : 1118282795
Total Pages : 427 pages
Book Rating : 4.1/5 (182 download)
Download or read book Fair Value Measurement written by Mark L. Zyla and published by John Wiley & Sons. This book was released on 2012-10-23 with total page 427 pages. Available in PDF, EPUB and Kindle. Book excerpt: FAIR VALUE MEASUREMENT Practical Guidance and Implementation "Writing Fair Value Measurement was a monumental task fraught with controversy not only in the U.S., but also abroad. Having coauthored a book with Mark as well as written one myself, I was even more impressed that Mark was able to navigate these fair value minefields and produce a work that will be a tremendous help to accountants and non-accountants alike. If you are looking for a 'one-stop' book on fair value measurement, this is it!" Neil J. Beaton, CPA/ABV, CFA, ASA, Managing Director, Valuation Services, Alvarez & Marsal "In recent years, the FASB and the IASB have added many requirements for various assets and liabilities to be measured at fair value. In this book, Zyla clearly describes how to implement fair value measurement and how investors and creditors should interpret it. The crisp writing and illuminating analysis will help readers to grasp the essence of fair value accounting and to apply it wisely." J. Edward Ketz, Associate Professor of Accounting, Pennsylvania State University "The focus of the book is on fair value measurement based on level 3 inputs. This is a critical area of valuations for financial reporting due to a false comfort given by routine application of evaluating models and assumptions without real possibilities of calibration. Mark Zyla offers an extraordinary help in understanding the reliability of the inputs and the outputs of the different methodologies and the inherent biases in each of them. The book is a precious support for better valuation both in U.S. GAAP and in IFRS fair value reporting." Mauro Bini, Full Professor of Corporate Finance, Bocconi University; Chairman, Management Board OIV (Organismo Italiano di Valutazione) Essential guidance on the fair value measurement process Now in a second edition, Fair Value Measurement: Practical Guidance and Implementation helps you succeed in understanding the fair value accounting rules that entities must follow. The result is a resource that you can rely on to understand the importance of valuation and the concepts that define it. In basic, nontechnical language, author Mark Zyla presents practical direction for best practices of financial valuation as well as for understanding the many FASB pronouncements involving fair value. An essential guide for auditors and valuation specialists, Fair Value Measurement: Practical Guidance and Implementation, Second Edition brings you up to speed on what fair value really means.
Author : Poser, Fanto, Gross
Publisher : Wolters Kluwer Law & Business
ISBN 13 : 1543804969
Total Pages : 1920 pages
Book Rating : 4.5/5 (438 download)
Download or read book Broker-Dealer Law and Regulation, 5th Edition written by Poser, Fanto, Gross and published by Wolters Kluwer Law & Business. This book was released on with total page 1920 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : H. David Kotz
Publisher : DIANE Publishing
ISBN 13 : 1437921868
Total Pages : 477 pages
Book Rating : 4.4/5 (379 download)
Download or read book Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme written by H. David Kotz and published by DIANE Publishing. This book was released on 2010-03 with total page 477 pages. Available in PDF, EPUB and Kindle. Book excerpt: Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.
Author : United States. Securities and Exchange Commission. Office of Investigations
Publisher :
ISBN 13 :
Total Pages : 480 pages
Book Rating : 4.:/5 (327 download)
Download or read book Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme written by United States. Securities and Exchange Commission. Office of Investigations and published by . This book was released on 2009 with total page 480 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations
Publisher :
ISBN 13 :
Total Pages : 332 pages
Book Rating : 4.:/5 (319 download)
Download or read book Oversight of the Credit Rating Agencies Post-Dodd-Frank written by United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations and published by . This book was released on 2012 with total page 332 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 : 9781402419478
Total Pages : 709 pages
Book Rating : 4.4/5 (194 download)
Download or read book The SEC Speaks in 2013 written by and published by . This book was released on 2013 with total page 709 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 : 168 pages
Book Rating : 4.:/5 (327 download)
Download or read book Perspectives on Hedge Fund Registration 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 2009 with total page 168 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Rosen, Velazquez
Publisher : Wolters Kluwer
ISBN 13 : 1543813240
Total Pages : 2320 pages
Book Rating : 4.5/5 (438 download)
Download or read book Settlement Agreements in Commercial Disputes: Negotiating, Drafting & Enforcement, 2nd Edition written by Rosen, Velazquez and published by Wolters Kluwer. This book was released on 2019-06-16 with total page 2320 pages. Available in PDF, EPUB and Kindle. Book excerpt: With nearly all corporate disputes being resolved in settlements, drafting strong, enforceable settlement agreements is one of the most critical and challenging areas of corporate and commercial law practice today. Yet there has never been a single, comprehensive guide to the complex legal issues involved in negotiating, drafting and enforcing settlement agreements until Settlement Agreements in Commercial Disputes. Here, in two comprehensive volumes, including CD-Rom and forms, top experts offer insights gained from many years of litigation and dispute resolution experience to give you critical tools needed to prepare successful settlements: Sophisticated analysis of the law and its application Detailed planning of effective drafting techniques In-depth coverage of "hot issues," such as multi-party settlements and tax considerations Strategies for handling "special topics," such as tax and environmental concerns A time-saving library of model agreements on disk for a variety of disputes and jurisdictions Extensive case citations And much more Whether you are looking for the best way to handle a particularly troubling issue, or simply want to be sure you have anticipated every legal eventuality, Settlement Agreements in Commercial Disputes will give you the insights, information and guidance needed to prepare settlement agreements that meet your client's or company's objectives. Note: Online subscriptions are for three-month periods. Previous Edition: Settlement Agreements in Commercial Disputes: Negotiating, Drafting and Enforcement ISBN: 9780735514782
Author : David E. Y. Sarna
Publisher : John Wiley & Sons
ISBN 13 : 0470601809
Total Pages : 418 pages
Book Rating : 4.4/5 (76 download)
Download or read book History of Greed written by David E. Y. Sarna and published by John Wiley & Sons. This book was released on 2010-09-07 with total page 418 pages. Available in PDF, EPUB and Kindle. Book excerpt: The “greater fool” theory of economics states that it’s possible to make money by buying paper (securities), whether overvalued or not, and later, selling it at a profit because there will always be an even greater fool willing to pay the higher price. Many described in this book profited by peddling such worthless junk to foolish investors. But for some people—Bernie Madoff, Norman Hsu, Sholam Weiss, and “Crazie Eddie” Antar, aka the “Darth Vader of Capitalism”—overvalued securities were not enough. Outright fraud was their way of life. History of Greed is the compelling inside story of the names you know—Charles Ponzi, Baron Rothschild, Lou Pearlman—and the names you don’t—Isaac Le Maire, the world’s first “naked” short-seller. It’s also our story—why we ignore the lessons of the past and fall prey, most every time, to the promise of easy money. For thousands of years, alchemists unsuccessfully tried to turn worthless base metals into gold. Where science failed at turning nothing into something, business succeeded. Sometimes we praise the creators of derivatives, collateral debt obligations, subprime mortgages, credit default swaps, or auction rate securities as Wall Street’s new financial wizards, the creators of “magic paper.” Other times, we vilify and prosecute them as scam artists. Sometimes, it’s hard to tell who is who. History of Greed reveals the inside secrets of how the markets really work, and how scam artists abuse them to gain an unfair edge or to outright steal. It describes how luftgescheft (“air business”), wizardry, dishonesty, and fraud are used to swindle people. Along with a comprehensive bibliography, History of Greed also details: 400 years of financial fraud—from everyday fraud to the odd and unusual Accounting fraud (phantom sales), stock option fraud (backdating), auction rate securities, hedge fund fraud, Ponzi schemes, promotion fraud (pump-and-dump scams), and money laundering How to detect fraudulent schemes How government regulation only fixes yesterday’s problems If it’s too good to be true, it probably is. If they say you can’t lose, you probably will. History of Greed shows that there really is no such thing as a free lunch, while also detailing how not to become the “greater fool.”
Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Publisher :
ISBN 13 :
Total Pages : 144 pages
Book Rating : 4.3/5 (91 download)
Download or read book Approaches to Improving Credit Rating Agency Regulation 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 2009 with total page 144 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Ronald G. Pippin
Publisher : CCH
ISBN 13 : 9780808019947
Total Pages : 1620 pages
Book Rating : 4.0/5 (199 download)
Download or read book Sec Disclosures Checklist 2009 Edition written by Ronald G. Pippin and published by CCH. This book was released on 2009-02 with total page 1620 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Michael I. C. Nwogugu
Publisher : Springer Nature
ISBN 13 : 3030714195
Total Pages : 594 pages
Book Rating : 4.0/5 (37 download)
Download or read book Geopolitical Risk, Sustainability and “Cross-Border Spillovers” in Emerging Markets, Volume II written by Michael I. C. Nwogugu and published by Springer Nature. This book was released on 2022-01-01 with total page 594 pages. Available in PDF, EPUB and Kindle. Book excerpt: Many emerging market countries are bank-based economies and are increasingly affected by geopolitical risks, U.S. dollar dynamics, regulations, preferential trade agreements (PTAs), MNCs (that often function like international organizations), social networks, labor dynamics, cross-border spillovers and the inefficient expansion of formal/informal microfinance. Country risks, informal economies (that account for 20-50 percent of the national economy of many emerging market countries), investor protection, enforcement commitment, compliance costs, sustainability (environmental, social, economic and political sustainability), economic growth, political stability, financial stability, geopolitical risk, social networks, household economics, inequality and international trade outcomes can vary dramatically across many DECs and LDECs due to these phenomena. The COVID-19 pandemic has illustrated the many problems inherent in political systems, economic policy and governments’ emergency powers during pandemics/epidemics and economic/financial crisis. This second volume focuses on geopolitical risks that are intertwined with constitutional political economy and labor issues, alongside addressing some of the financial and constitutional crises that occurred in Europe, Asia and the U.S. during 2007-2020. This book provides analysis of complex systems and the preferences and reasoning of state/government and corporate actors in order to develop better artificial intelligence and decision-system models of geopolitical risk, public policy and international capital flows, all of which are increasingly important decision factors for investment managers, boards-of-directors and government officials.
Author : Nwogugu, Michael I. C.
Publisher : IGI Global
ISBN 13 : 1799874206
Total Pages : 320 pages
Book Rating : 4.7/5 (998 download)
Download or read book Complex Systems and Sustainability in the Global Auditing, Consulting, and Credit Rating Agency Industries written by Nwogugu, Michael I. C. and published by IGI Global. This book was released on 2021-05-07 with total page 320 pages. Available in PDF, EPUB and Kindle. Book excerpt: Current and future issues in the global accounting/consulting, business opportunity, and credit rating agency (CRA) industries can have significant multiplier-effects on international trade, sustainable growth, and compliance (as physical phenomena). These three industries are among the most international and human-capital-intensive of all service industries. In these industries, analysis of business models and industry dynamics can provide insights about how human-computer interaction (HCI) and contract theory affect the evolution of financial market ecosystems and cross-border information flows, and how business models, work-allocation mechanisms, and liability allocation can evolve to manage change. An often-overlooked issue is that non-performing loans (NPLs), sustainability, and CRA efficiency can be significantly affected by business processes, corporate strategy, and HCI in industry ecosystems, multinational corporations (MNCs), and economic systems. Complex Systems and Sustainability in the Global Auditing, Consulting, and Credit Rating Agency Industries compares these three industries and introduces theories of public policy and “inter-business” processes. The book links industry structure, complex systems (including networks), behavioral game theory, structural changes, and antitrust problems to sustainability and the efficiency of pollution-remediation systems. The book introduces new “informal algorithms” and business/resource-allocation models that solve social-choice problems, and also contravene “impossibility theorems” that are at the core of modern computer science and mechanism design. This book is essential for professors and masters/PhD-level students and employees (in industry, financial services, research institutes, consulting firms, and government agencies) who are interested in industrial mathematics and theoretical computer science.
Author : H. Kent Baker
Publisher : John Wiley & Sons
ISBN 13 : 0470877952
Total Pages : 690 pages
Book Rating : 4.4/5 (78 download)
Download or read book Corporate Governance written by H. Kent Baker and published by John Wiley & Sons. This book was released on 2010-08-20 with total page 690 pages. Available in PDF, EPUB and Kindle. Book excerpt: A detailed look at the importance of corporate governance in today's business world The importance of corporate governance became dramatically clear at the beginning of the twenty-first century as a series of corporate meltdowns from managerial fraud, misconduct, and negligence caused a massive loss of shareholder wealth. As part of the Robert W. Kolb Series in Finance, this book provides a comprehensive view of the shareholder-manager relationship and examines the current state of governance mechanisms in mitigating the principal-agent conflict. This book also offers informed suggestions and predictions about the future direction of corporate governance. Relies on recent research findings to provide guidance through the maze of theories and concepts Uses a structured approach to put corporate governance in perspective Addresses essential issues related to corporate governance including the idea of principal-agent conflict, role of the board of directors, executive compensation, corporate monitoring, proxy contests and corporate takeovers, and regulatory intervention Corporate governance is an essential part of mainstream finance. If you need to gain a better understanding of this topic, look no further than this book.
