Download or read book Broker dealer Litigation Annual Survey written by and published by . This book was released on 2000 with total page 426 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Annual Report of the Securities and Exchange Commission written by United States. Securities and Exchange Commission and published by . This book was released on 1959 with total page 342 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Monthly Catalog of United States Government Publications written by and published by . This book was released on with total page 1308 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Monthly Catalogue United States Public Documents written by and published by . This book was released on 1993 with total page 1790 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book In Good Faith written by Kathleen Sharp and published by Macmillan. This book was released on 1995-07-15 with total page 284 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 1997 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Annual Report written by Resolution Trust Corporation (U.S.) and published by . This book was released on with total page 568 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Martindale Hubbell Dispute Resolution Directory written by and published by . This book was released on 1996 with total page 2990 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book World Economic and Financial Surveys written by International Monetary Fund and published by International Monetary Fund. This book was released on 1994-01-01 with total page 152 pages. Available in PDF, EPUB and Kindle. Book excerpt: This paper analyzes the origins of the recent turbulence in government bond markets in the major industrial countries, and considers whether the role of hedge funds in that episode argues for altering present regulatory arrangements. In financial markets, it is possible for such a revision of expectations—if it is shared by all market participants—to alter asset prices almost immediately; indeed, the change in asset prices can occur without any transactions even taking place. In this case, however, trading volumes soared along with the rise in bond yields, as a broad spectrum of market participants sought to undo large positions that had been built up under the projections of a continued rise of European and US bond prices and a strengthening of the dollar against the yen and some European currencies. Although the increase in bond yields was undeniably large for such a short time period, the markets did receive new information in February and March on economic performance—especially on growth rates—and on the likely future course of macroeconomic policies.

Download or read book Wall Street Polices Itself written by David P. McCaffrey and published by Oxford University Press. This book was released on 1998-07-30 with total page 220 pages. Available in PDF, EPUB and Kindle. Book excerpt: Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. The system relies heavily on the firms' internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liar's Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation.

Download or read book Securities Litigation Reform Proposals S 240 S 667 and H R 1058 written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1995 with total page 600 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Statistical Reference Index written by and published by . This book was released on 1994 with total page 986 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book The Chinese Legal System written by Pitman B. Potter and published by Routledge. This book was released on 2005-07-08 with total page 571 pages. Available in PDF, EPUB and Kindle. Book excerpt: The legal system of the People's Republic of China has seen significant changes since legal reforms began in 1978. At the end of the second decade of legal reform, law-making and institution-building have reached impressive levels. Understanding the operation and possible futures of law in the People's Republic of China requires an appreciation of the normative influences on the system, as well as an examination of how these norms have worked in practice.

Download or read book The Martindale Hubbell Law Directory written by and published by . This book was released on 2002 with total page 2694 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Private Litigation Under the Federal Securities Laws written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1994 with total page 900 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book The Budget of the United States Government written by United States and published by . This book was released on 1994 with total page 1080 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Abandonment of the Private Right of Action for Aiding and Abetting Securities Fraud staff Report on Private Securities Litigation written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1994 with total page 344 pages. Available in PDF, EPUB and Kindle. Book excerpt: Distributed to some depository libraries in microfiche.