Download or read book Regulation of Brokers Dealers and Securities Markets written by Nicholas Wolfson and published by . This book was released on 1977 with total page 538 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 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 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 Recommendations on Access and Membership by Foreign controlled Broker dealers to the U S Securities Markets written by New York Stock Exchange. Advisory Committee on International Capital Markets and published by . This book was released on 1974 with total page 108 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Broker dealer Law and Regulation written by Norman S. Poser and published by Aspen Publishers. This book was released on 1995 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulation of Brokers Dealers and Securities Markets written by Nicholas Wolfson and published by . This book was released on 1979 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulation of Securities Markets and Transactions written by Patrick S. Collins and published by John Wiley & Sons. This book was released on 2011-01-14 with total page 384 pages. Available in PDF, EPUB and Kindle. Book excerpt: The ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage of domestic securities regulation, this book fills the need for coverage of securities regulations, defining, describing, and explaining everything professionals need to know about domestic securities regulation. Examines the current securities rules Provides an overview of the latest regulations for this industry Includes a description of the various government regulations of securities markets, and securities transactions Since the corporate scandals of 2002, this industry has seen intense scrutiny of how it is regulated. Regulation of Securities, Markets, and Transactions demystifies the new laws and regulations with straightforward, to-the-point coverage professionals need.
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:
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 Broker Dealer Regulation written by Cheryl Nichols and published by . This book was released on 2017-06-23 with total page 1011 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Research Handbook on Securities Regulation in the United States written by Jerry W. Markham and published by Edward Elgar Publishing. This book was released on 2014-07-31 with total page 563 pages. Available in PDF, EPUB and Kindle. Book excerpt: This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute
Download or read book Hazen Ratner Broker Dealer Regulation written by Thomas Lee Hazen and published by West Academic Publishing. This book was released on 2003 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This law school casebook is devoted to broker-dealer regulation in the securities markets. The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment advisers. The casebook focuses on regulatory issues as well as civil liabilities of broker-dealers. Designed for use in an advanced course, it includes excerpts from cases and administrative decisions and also from self-regulatory organizations such as the National Association of Securities Dealers (NASD), and also includes materials relating to market regulation generally.
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 The New Stock Market written by Merritt B. Fox and published by Columbia University Press. This book was released on 2019-01-08 with total page 612 pages. Available in PDF, EPUB and Kindle. Book excerpt: The U.S. stock market has been transformed over the last twenty-five years. Once a market in which human beings traded at human speeds, it is now an electronic market pervaded by algorithmic trading, conducted at speeds nearing that of light. High-frequency traders participate in a large portion of all transactions, and a significant minority of all trade occurs on alternative trading systems known as “dark pools.” These developments have been widely criticized, but there is no consensus on the best regulatory response to these dramatic changes. The New Stock Market offers a comprehensive new look at how these markets work, how they fail, and how they should be regulated. Merritt B. Fox, Lawrence R. Glosten, and Gabriel V. Rauterberg describe stock markets’ institutions and regulatory architecture. They draw on the informational paradigm of microstructure economics to highlight the crucial role of information asymmetries and adverse selection in explaining market behavior, while examining a wide variety of developments in market practices and participants. The result is a compelling account of the stock market’s regulatory framework, fundamental institutions, and economic dynamics, combined with an assessment of its various controversies. The New Stock Market covers a wide range of issues including the practices of high-frequency traders, insider trading, manipulation, short selling, broker-dealer practices, and trading venue fees and rebates. The book illuminates both the existing regulatory structure of our equity trading markets and how we can improve it.
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 Regulation of Brokers Dealers and Securities Markets written by W. Wolfson and published by . This book was released on 2000 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
