Registration and Regulation of Brokers and Dealers
Author: Ezra Weiss
Publisher:
Published: 1965
Total Pages: 400
ISBN-13:
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Author: Ezra Weiss
Publisher:
Published: 1965
Total Pages: 400
ISBN-13:
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Publisher: Aspen Law & Business Publishers
Published: 2002
Total Pages: 254
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. Securities and Exchange Commission
Publisher:
Published: 1962
Total Pages: 868
ISBN-13:
DOWNLOAD EBOOKAuthor: Thomas Lee Hazen
Publisher: West Academic
Published: 2011
Total Pages: 271
ISBN-13: 9780314189578
DOWNLOAD EBOOKThis title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
Author: Gary M. Brown
Publisher:
Published: 2013-01-16
Total Pages: 0
ISBN-13: 9781402418969
DOWNLOAD EBOOKIn one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations
Author: Louis Loss
Publisher: Aspen Publishers
Published: 2009
Total Pages: 820
ISBN-13:
DOWNLOAD EBOOK"The universally acknowledged work Securities Regulation is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes plus thousands of cases, SEC administrative decisions and letters definitively clarifies such questions as: When does a note fall within the definition of a "security" How have the courts altered the express civil liability provisions of the federal securities laws? Can the SEC impose additional ten-day suspensions on trading without notice? Does scienter include reckless as well as intentional conduct? And countless others, so that you're almost sure to find coverage of the "small point" on which your case may turn."--Publisher's website.
Author: Edward N. Gadsby
Publisher:
Published: 1967
Total Pages:
ISBN-13:
DOWNLOAD EBOOKAuthor: William Charles Meehan
Publisher:
Published: 2015
Total Pages: 750
ISBN-13: 9780314638236
DOWNLOAD EBOOKAuthor: Thomas P. Lemke
Publisher:
Published: 2015
Total Pages:
ISBN-13: 9780314832627
DOWNLOAD EBOOKAuthor: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
Published: 1952
Total Pages: 128
ISBN-13:
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