Securities Activities of Banks
Securities Activities of Banks

Author: Melanie L. Fein

Publisher: Wolters Kluwer

Published: 2011-12-20

Total Pages: 1668

ISBN-13: 1454801247

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"The Fourth Edition of a leading resource in the field, this valuable practice tool brings you completely up-to-date on the evolving laws governing banks' securities activities - from regulatory changes in the financial markets and administrative reform to recent court decisions and legislative reform, including the recently enacted Sarbanes-Oxley Act of 2002 and the Gramm-Leach-Bliley Act. Here is everything you need to help build a bank's securities business while avoiding compliance pitfalls. Securities Activities of Banks, Fourth Edition provides: In-depth discussions of the securities activities now permissible for banks, bank holding companies, and financial holding companies, Clear explanations of how securities laws affect banks' securities activities, A complete review of how banks are regulated - including foreign banks and affiliates, Up-to-date analysis of the evolution of the banking laws through agency and court decisions. Detailed descriptions and analyses illuminate the full range of current bank securities activities, including investment and trading activities, brokerage activities, investment advice, underwriting, mutual funds, international securities activities, derivative instruments, deposits and loans, fiduciary activities, and more."--Publisher's website.

Regulation of Money Managers
Regulation of Money Managers

Author: Tamar Frankel

Publisher: Wolters Kluwer

Published: 2015-09-16

Total Pages: 4826

ISBN-13: 145487063X

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The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.

Independent Agencies in the United States
Independent Agencies in the United States

Author: Professor Marshall J. Breger

Publisher: Oxford University Press

Published: 2015-04-01

Total Pages: 576

ISBN-13: 0190266821

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It is essential for anyone involved in law, politics, and government to comprehend the workings of the federal independent regulatory agencies of the United States. Occasionally referred to as the "headless fourth branch of government," these agencies do not fit neatly within any of the three constitutional branches. Their members are appointed for terms that typically exceed those of the President, and cannot be removed from office in the absence of some sort of malfeasance or misconduct. They wield enormous power over the private sector. Independent Agencies in the United States provides a full-length study of the structure and workings of federal independent regulatory agencies in the US, focusing on traditional multi-member agencies, such as the Securities and Exchange Commission, the Federal Communications Commission, the National Labor Relations Board, and the Federal Trade Commission. It recognizes that the changing kaleidoscope of modern life has led Congress to create innovative and idiosyncratic administrative structures including government corporations, government sponsored enterprises governance, public-private partnerships, systems for "contracting out," self-regulation and incorporation by reference of private standards. In the process, Breger and Edles analyze the general conflict between political accountability and agency independence. They provide a unique comparative review of the internal operations of US agencies and offer contrasts between US, EU, and certain UK independent agencies. Included is a first-of-its-kind appendix describing the powers and procedures of the more than 35 independent US federal agencies, with each supplemented by a selective bibliography.