Download or read book Guide to Bank Underwriting Dealing and Brokerage Activities written by Robert L. Tortoriello and published by . This book was released on 2018 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: "Guide to Bank Underwriting, Dealing and Brokerage Activities discusses the capital markets activities of U.S. and foreign banks and bank holding companies in the U.S. It describes the U.S. regulatory regime applicable to these activities and highlights recent developments regarding the conduct of securities-related and other business under applicable banking and securities laws..." --Publisher.
Download or read book Guide to Bank Underwriting Dealing and Brokerage Activities written by Robert L. Tortoriello and published by . This book was released on 2008 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Guide to Bank Underwriting Dealing and Brokerage Activities written by Robert L. Tortoriello and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Guide to Bank Underwriting Dealing and Brokerage Activities written by Robert L. Tortoriello and published by West Legalworks. This book was released on 1997 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Banking written by Giuliano Iannotta and published by Springer Science & Business Media. This book was released on 2010-01-12 with total page 199 pages. Available in PDF, EPUB and Kindle. Book excerpt: From a historical point of view, the main activity of investment banks is what today we call security underwriting. Investment banks buy securities, such as bonds and stocks, from an issuer and then sell them to the ?nal investors. In the eighteenth century, the main securities were bonds issued by governments. The way these bonds were priced and placed is extraordinarily similar to the system that inve- ment banks still use nowadays. When a government wanted to issue new bonds, it negotiated with a few prominent “middlemen” (today we would call them investment bankers). The middlemen agreed to take a fraction of the bonds: they accepted to do so only after having canvassed a list of people they could rely upon. The people on the list were the ?nal investors. The middlemen negotiated with the government even after the issuance. Indeed, in those days governments often changed unilaterally the bond conditions and being on the list of an important middleman could make the difference. On the other hand, middlemen with larger lists were considered to be in a better bargaining position. This game was repeated over time, and hence, reputation mattered. For the middlemen, being trusted by both the investors on the list and by the issuing governments was crucial.
Download or read book A Guide to the Capital Markets Activities of Banks and Bank Holding Companies written by Michael G. Capatides and published by . This book was released on 1990 with total page 460 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Guide to Bank Underwriting Dealing and Brokerage Activities written by Robert L. Tortoriello and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Banking and Financial Services written by Melanie L. Fein and published by Aspen Publishers. This book was released on 2006-04-24 with total page 1224 pages. Available in PDF, EPUB and Kindle. Book excerpt: For banks, insurance companies and securities firms preparing to capitalize on the rapidly accelerating trend towards financial services convergence, the possibilities are virtually endless. This book provides coverage of essential financial services regulation. It offers red flags pinpointing regulatory obstacles and pitfalls.
Download or read book The Securities Regulatory Handbook written by PricewaterhouseCoopers and published by M.E. Sharpe. This book was released on 2001 with total page 164 pages. Available in PDF, EPUB and Kindle. Book excerpt: A guide, for financial institutions, to constraints on securities underwriting, brokerage activities, and trading and investments. It provides background and interprets bank securities laws covering underwriting, trading; mutual funds; and derivative products and overseas securities activities.
Download or read book Securities Underwriting written by and published by . This book was released on 1985 with total page 710 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Bankers as Brokers written by Merlin Gackle and published by Irwin Professional Publishing. This book was released on 1994 with total page 252 pages. Available in PDF, EPUB and Kindle. Book excerpt: "Until recently, bankers could do little to stop the flow of customer deposits into non-bank investment products. Not only were they facing disintermediation of dollars but, perhaps more importantly, disintermediation of customers as well." "Now banks can fight back - by offering their customers the full range of financial products that they have been looking for. Bankers as Brokers is the banker's definitive guide to starting, running and succeeding with an investment products line." "This comprehensive overview takes bankers through the critical elements of the investment products business, helping financial institutions develop a program that fits their needs and their customers." "Bankers as Brokers offers strategies on increasing income, customer retention and new business with a wholly integrated program. It also identifies and addresses the potential problems in the area, including deposit cannibalization and regulatory concerns." "Bankers as Brokers tackles the following issues and more: building a better bank through brokerage; reviewing, adopting, promoting and selling investment products; leveraging customer trust with financial planning services; specific needs and concerns of community banks; creating a full-service financial center by offering investment products; dramatic changes in customer needs and how to meet them; high-tech marketing methods that target new customers; integrating investment products with the "rest" of the bank; and the growing regulatory and compliance concerns for banks." "Both an assessment of today's market and a road map for the future, Bankers as Brokers can help bankers chart the course to record-setting profitability."--BOOK JACKET.Title Summary field provided by Blackwell North America, Inc. All Rights Reserved
Download or read book Investment Banking Brokerage written by John Francis Marshall and published by McGraw-Hill Companies. This book was released on 1994 with total page 384 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Bank Broker s Handbook written by Andy Lapointe and published by Independently Published. This book was released on 2021-05-23 with total page 70 pages. Available in PDF, EPUB and Kindle. Book excerpt: If you are looking for a current bank broker training guide and resource, you can't afford to miss this... The Bank Brokerage Handbook is a step-by-step guide to provide you the training you need to success in today's bank envirnoment and Covid-19 world. This book is specifically designed for newer bank brokers. The training material has been battle-tested in the real world and has been proven to work. This guide will help you to close more sales, gather more asset and increase your time. It gives you timely insight into what it takes to succeed as a bank broker. Why listen to what I have to say? That's a fair question. You see, I spent 15 years in the corporate world as a Series 7 stockbroker, mutual fund/separate account wholesaler and RIA (registered investment advisor) and was a CIMA (Certified Investment Management Analyst) candidate. I started my wholesaling career with the Bank of Oklahoma. I worked directly with the bank to develop and market training programs and sales ideas to guide their bank brokers to maximum sales. I used much of the material in this handbook to train the Bank of Oklahoma brokerage division. In addition a number of other bank brokage departments have used this manual to train their brokers including Regions Bank. So this information has be used to train the best. The information is practical, easy to understand and most important it contact action guides and checklists to get you started fast.
Download or read book Banking Law in the United States Fourth Edition written by Alfred M. Pollard and published by Juris Publishing, Inc.. This book was released on 2014-11-01 with total page 1404 pages. Available in PDF, EPUB and Kindle. Book excerpt: The all-new revised fourth edition of Banking Law in the United States positions the text to address three challenges — the need to maintain an historic record and statement of existing law, the need to document changes made to existing law and to report the deployment, implementation and interpretation of new laws. Just as new laws in 1989, 1990 and 1991 had significant impact on banking, so new laws, adopted in rapid succession in 2008, 2009 and 2010, have altered the legal landscape in which banks and other financial institutions operate. The Dodd Frank Wall Street Reform and Consumer Protection Act, adopted in 2010, set the stage not only for new agencies, new regulatory authorities and new market restrictions, but also for extensive interpretive regulation and judicial interpretations implementing such changes. As a result, the all new 4th edition positions Banking Law in the United States to accommodate legal and market changes and whatever secondary, reactive responses occur in the law and the environment in which it operates. This new edition continues to meet the needs of practitioners, courts, legislators and regulators and those interested in better understanding the breadth and diversity and dynamic nature of banking law in the United States. Value Package
Download or read book Guide to Financial Markets written by Marc Levinson and published by The Economist. This book was released on 2018-07-24 with total page 250 pages. Available in PDF, EPUB and Kindle. Book excerpt: The revised and updated 7th edition of this highly regarded book brings the reader right up to speed with the latest financial market developments, and provides a clear and incisive guide to a complex world that even those who work in it often find hard to understand. In chapters on the markets that deal with money, foreign exchange, equities, bonds, commodities, financial futures, options and other derivatives, the book examines why these markets exist, how they work, and who trades in them, and gives a run-down of the factors that affect prices and rates. Business history is littered with disasters that occurred because people involved their firms with financial instruments they didn't properly understand. If they had had this book they might have avoided their mistakes. For anyone wishing to understand financial markets, there is no better guide.
Download or read book Securities Activities of Banks written by Melanie L. Fein and published by Wolters Kluwer. This book was released on 2011-12-20 with total page 1668 pages. Available in PDF, EPUB and Kindle. Book excerpt: "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.
Download or read book U S Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
