Download or read book A Guide to Broker Dealer Regulation written by Steven Lofchie and published by . This book was released on 2000-10-01 with total page 808 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Broker dealer Regulation in a Nutshell written by Thomas Lee Hazen and published by West Academic. This book was released on 2011 with total page 271 pages. Available in PDF, EPUB and Kindle. Book excerpt: This 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).
Download or read book Guide to Broker dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and published by . This book was released on 1974 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Practical Guide to Broker Dealer Regulation written by Margaret A. Sheehan and published by CCH Incorporated. This book was released on 2009-07 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book U S Securities Law for International Financial Transactions and Capital Markets written by Guy P. Lander and published by . This book was released on 2009 with total page 1602 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Guide to Broker dealer Registration written by and published by . This book was released on 2008 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Download or read book Broker dealers and Securities Markets written by Sheldon M. Jaffe and published by . This book was released on 1977 with total page 472 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Corporate Finance and the Securities Laws written by Charles J. Johnson and published by . This book was released on 2004 with total page 1154 pages. Available in PDF, EPUB and Kindle. Book excerpt: The highly anticipated Third Edition of Corporate Finance & the Securities Laws is a fully updated version of this classic work by two premier experts in the world of corporate finance. The book explains the legal environment in which capital markets transactions take place as well as explaining the transactions themselves and how professionals can manage the transaction and get it done. Some highlights in the Third Edition are: Underwriting practices the registration and distribution process Private placements Shelf registrations International finance Commercial paper Innovative financial products and asset-backed securities the Third Edition also includes updates on many important developments in corporate finance, including: New standards for IPO allocations the reduced role of analysts in securities offerings driven by reforms separating the interaction of research analysts And The investment bankers who bring in new business an updated look at MD&A (Management Discussion & Analysis) A new chapter focusing on asset-backed securities Sarbanes-Oxley's effects on disclosure requirements and due diligence the growing trend of On-line offerings Dealing with 'gun-jumping' problems Electronic delivery of offering documents New emphasis on financial statement due diligence New NASD corporate financing rule New NASD rule on retention of new issues (formerly the 'hot issue' rule) Exiting the SEC reporting system Innovative financing techniques And The Commodity Futures Modernization Act of 2000 Short sales and equity derivatives Innovations in convertible, exchangeable and equity-linked securities Amended Rule 10b-18 and more
Download or read book Broker Dealer Operations Under Securities and Commodities Law written by Jerry W. Markham and published by . This book was released on 1998-01-12 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
Download or read book Accounting Guide written by AICPA and published by John Wiley & Sons. This book was released on 2019-11-19 with total page 464 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Download or read book Securities Law Compliance written by Allan H. Pessin and published by Irwin Professional Publishing. This book was released on 1990 with total page 488 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Broker Dealer Compliance written by James A. Fanto and published by Edward Elgar Publishing. This book was released on 2023-01-20 with total page 223 pages. Available in PDF, EPUB and Kindle. Book excerpt: Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
Download or read book Broker dealer Law and Regulation written by Norman S. Poser and published by . This book was released on 2007 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Lofchie s Guide to Broker Dealer Regulation written by CCH Incorporated and published by CCH Incorporated. This book was released on 2005-02-01 with total page 892 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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:
Download or read book Audits of Property and Liability Insurance Companies written by and published by . This book was released on 2000 with total page 380 pages. Available in PDF, EPUB and Kindle. Book excerpt:
