Download or read book Securities Credit Regulation written by Charles F. Rechlin and published by . This book was released on 2001 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Regulation in a Nutshell written by Thomas Lee Hazen and published by . This book was released on 2016 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.
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 Securities Regulation written by James D. Cox and published by . This book was released on 2006 with total page 194 pages. Available in PDF, EPUB and Kindle. Book excerpt: Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more.
Download or read book Securities Credit by Persons Other Than Banks Brokers Or Dealers written by Federal Reserve System and published by . This book was released on 1969 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Credit Rating Agencies written by Mohammed Hemraj and published by Springer. This book was released on 2015-06-22 with total page 291 pages. Available in PDF, EPUB and Kindle. Book excerpt: The book examines the role of credit rating agencies (CRAs) in the subprime mortgage crisis. The CRAs are blamed for awarding risky securities ‘3-A’ investment grade status and then failing to downgrade them quickly enough when circumstances changed, which led to investors suffering substantial losses. The causes identified by the regulators for the gatekeeper failure were conflicts of interest (as the issuers of these securities pay for the ratings); lack of competition (as the Big Three CRAs have dominated the market share); and lack of regulation for CRAs. The book examines how the regulators, both in the US and EU, have sought to address these problems by introducing soft law self-regulation in accordance with the International Organisation of Securities Commissions Code and hard law statutory regulation, such as that found in the “Reform Act” and “Dodd-Frank Act” in the US and similar provisions in the EU. The highly topical book examines these provisions in detail by using a doctrinal black-letter law method to assess the success of the regulators in redressing the problems identified. It also examines the US case law regulation relating to the legal liability of CRAs. The book examines whether the regulations introduced have had a deterrent effect on the actions of CRAs, whether investors are compensated for their losses, and how the regulators have dealt with the issues of conflicts of interest and an anti-competitive environment. Should liability be introduced for CRAs through changes in the law so as to compel them to issue reliable ratings and solve the current problems? The book seeks to simplify the complex issues involved and is backed by concrete evidence; as such, it will appeal to both the well-informed and the lay general public who are interested in learning more about the role of CRAs in the sub-prime mortgage crisis and regulators’ attempts to remedy the situation. Novice readers can familiarise themselves with the legal and financial terminology used by referring to the glossary at the end of the book.
Download or read book Turmoil in the U S Credit Markets written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment and published by . This book was released on 2010 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Regulation in a Nutshell written by Thomas Lee Hazen and published by West Academic Publishing. This book was released on 2009 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This title will help you acquire an understanding of the basic content and organization of federal and state securities law. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, securities businesses, and investment companies. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Securities and Exchange Commission's 1933 Act offering reform, the new Financial Industry Regulatory Authority, credit rating agencies, and changes to the New York Stock Exchange specialist system.
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 Security Credit written by Jules Irwin Bogen and published by . This book was released on 1960 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulation of Fixed Income Securities Markets in the United States written by Felice B. Friedman and published by World Bank Publications. This book was released on 2004 with total page 55 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Questions and Answers Illustrating Applications of Regulation U written by Board of Governors of the Federal Reserve System (U.S.) and published by . This book was released on 1976 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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 Fundamentals of Securities Regulation written by Louis Loss and published by Wolters Kluwer Law & Business. This book was released on 2018 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Previous editions : 2011 (6th), 1983 (1st).
Download or read book Securities regulation written by James D. Cox and published by Aspen Publishers. This book was released on 2002-05-31 with total page 132 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Regulation written by Louis Loss and published by . This book was released on 2006 with total page 1452 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Dodd Frank Manual Series written by James Hamilton and published by Aspen Publishers. This book was released on 2012 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: With regulatory implementation of the Dodd-Frank Wall Street Reform and Consumer Financial Protection Act of 2010 well underway, it has never been more critical for counsel and their corporate clients to have a deep understanding of the implications of these regulatory changes on the banking, securities, and financial services sectors. At Wolters Kluwer Law & Business, we've created the Dodd-Frank Manual Series to identify the issues, explore the topics, and dissect the "need-to-know" regulations. Each volume in this new series, written by Wolters Kluwer Law & Business attorney-editors, explains issues by Title of the Act providing a focused discussion and analysis of specific topics that will expedite your research, giving you the knowledge to confidently advise clients and ensure corporate compliance. Securities Regulation and Corporate Governance (Title IX) offers full explanation of Title IX along with the implementing regulations, forms, guidance, studies and reports. Title IX imposes regulatory reforms in the areas of: investor protection, enforcement and remedies, asset-backed securities, credit rating agencies, corporate governance, SEC funding and organization, the Public Company Accounting Oversight Board, and municipal securities.
