Guide to Clearance & Settlement
Guide to Clearance & Settlement

Author: Virginia B. Morris

Publisher: Lightbulb Press, Inc.

Published: 2009

Total Pages: 35

ISBN-13: 1933569980

DOWNLOAD EBOOK

"An overview of The Depository Trust & Clearing Corporation (DTCC), whose sophisticated infrastructure and risk management systems provide essential services to US and global capital markets. The guide explains clearing, netting, and settling - the essential elements of post-trade processing - and the role of a central counterparty in ensuring completion of equity and fixed-income transactions. It looks, as well, at the increasing number of solutions DTCC provides for financial firms at home and around the world"--P. [4] of cover.

Guide to Clearance & Settlement
Guide to Clearance & Settlement

Author: Lightbulb Press

Publisher:

Published: 2021-10-20

Total Pages:

ISBN-13: 9781933569215

DOWNLOAD EBOOK

An in-depth look at DTCC, including its role in the capital markets, its structure, and it's offerings and services.

The Depository Trust Company
The Depository Trust Company

Author: William T Dentzer, Jr

Publisher: YBK Publishers, Inc.

Published: 2008-10

Total Pages: 98

ISBN-13: 0980050855

DOWNLOAD EBOOK

The Depository Trust Company reports the early 1970s origin and evolution of The Depository Trust Company (DTC), the world's largest securities depository, and how it became the basis of The Depository Trust & Clearing Corporation (DTCC) in 1999. It describes the basic policies and company culture of DTC and DTCC and shows how these organizations made the clearance and settlement of virtually all trades in U.S. equity, corporate debt, and municipal securities more accurate and less costly, obliterating through automation the conditions that created the Wall Street "paperwork crisis" of the late 1960s.

Accounting Guide
Accounting Guide

Author: AICPA

Publisher: John Wiley & Sons

Published: 2019-11-19

Total Pages: 464

ISBN-13: 1948306662

DOWNLOAD EBOOK

It is critical to understand the complexities of the specialized accounting and regulatory requirements needed for the broker-dealer industry. This comprehensive guide has been designed to be beneficial for a wide range of professionals within the broker-dealer industry. Updates to this edition are to conform the content to current accounting standards and regulatory requirements. The updates include: SEC Release No. 34-86073, Amendment to Single Issuer Exemption for Broker-Dealers; ASU No. 2018-09, Codification Improvements; and, SEC Release Nos. 33-10532; 34-83875; IC-33203, Disclosure Update and Simplification. In addition, this edition features a new example disclosure note for revenue from contracts with customers, which has been added to the guide's illustrative financial statements and footnote disclosures.

Model Rules of Professional Conduct
Model Rules of Professional Conduct

Author: American Bar Association. House of Delegates

Publisher: American Bar Association

Published: 2007

Total Pages: 216

ISBN-13: 9781590318737

DOWNLOAD EBOOK

The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.