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 1220 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Government Securities Act and Auction Process Reform written by United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Domestic Monetary Policy and published by . This book was released on 1992 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book The SEC Speaks in written by and published by . This book was released on 2009 with total page 1130 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Bankruptcy Law Fundamentals written by Richard Irving Aaron and published by . This book was released on 2010 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book PLI s Annual Institute on Securities Regulation in Europe written by and published by . This book was released on 2009 with total page 1152 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Panama Canal Treaty Ramifications Appendices A through J International banking interests relating to Panama and other treaty related matters written by United States. Congress. House. Committee on Merchant Marine and Fisheries. Subcommittee on Panama Canal and published by . This book was released on 1978 with total page 310 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Investor and Industry Perspectives on Investment Advisers and Broker Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.

Download or read book Investment Company Regulation and Compliance written by and published by . This book was released on 2010 with total page 860 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Panama Canal Treaty Ramifications written by United States. Congress. House. Committee on Merchant Marine and Fisheries. Subcommittee on Panama Canal and published by . This book was released on 1978 with total page 326 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Floor Rules written by Mark W. Geiger and published by Yale University Press. This book was released on 2024-10-29 with total page 297 pages. Available in PDF, EPUB and Kindle. Book excerpt: A compelling account of how markets really govern themselves, and why they often baffle and outrage outsiders One of the reasons many people believe financial markets are lawless and irrational—and rigged—is that they follow two sets of rules. The official rules, set by law or by the heads of the exchanges, exist alongside the unofficial rules, or floor rules—which are the ones that actually govern. Break the official rules and you may be fined or jailed; break the floor rules and you’ll suffer worse: you will be ostracized. Regulations vary across markets, but the floor rules are remarkably consistent. This book, offering compelling stories of market disturbances in which insider rules played a key role, shows readers, without excessive moralizing, how markets really govern themselves. It is a study of the norms, customs, values, and operating modes of the insiders at the center of the financial markets that trade money, stocks, bonds, futures, and other financial derivatives. The core insiders who rule trading markets are a relatively small group who exert disproportionate influence on financial systems. Mark W. Geiger examines the historical roots of the culture of financial markets, describes the role insiders play in today’s high finance, and suggests where this peculiar, ingrown culture is heading in an era of constant technological change.

Download or read book Representing Estate and Trust Beneficiaries and Fiduciaries written by and published by . This book was released on 2008 with total page 658 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Reports of Cases Determined in the Supreme Court of the State of Nevada written by Nevada. Supreme Court and published by . This book was released on 2009 with total page 752 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book The Global Findex Database 2017 written by Asli Demirguc-Kunt and published by World Bank Publications. This book was released on 2018-04-19 with total page 228 pages. Available in PDF, EPUB and Kindle. Book excerpt: In 2011 the World Bank—with funding from the Bill and Melinda Gates Foundation—launched the Global Findex database, the world's most comprehensive data set on how adults save, borrow, make payments, and manage risk. Drawing on survey data collected in collaboration with Gallup, Inc., the Global Findex database covers more than 140 economies around the world. The initial survey round was followed by a second one in 2014 and by a third in 2017. Compiled using nationally representative surveys of more than 150,000 adults age 15 and above in over 140 economies, The Global Findex Database 2017: Measuring Financial Inclusion and the Fintech Revolution includes updated indicators on access to and use of formal and informal financial services. It has additional data on the use of financial technology (or fintech), including the use of mobile phones and the Internet to conduct financial transactions. The data reveal opportunities to expand access to financial services among people who do not have an account—the unbanked—as well as to promote greater use of digital financial services among those who do have an account. The Global Findex database has become a mainstay of global efforts to promote financial inclusion. In addition to being widely cited by scholars and development practitioners, Global Findex data are used to track progress toward the World Bank goal of Universal Financial Access by 2020 and the United Nations Sustainable Development Goals. The database, the full text of the report, and the underlying country-level data for all figures—along with the questionnaire, the survey methodology, and other relevant materials—are available at www.worldbank.org/globalfindex.

Download or read book BNA s Banking Report written by and published by . This book was released on 1992 with total page 1216 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Decisions and Reports written by United States. Securities and Exchange Commission and published by . This book was released on 1994 with total page 1356 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Understanding Hedge Funds the Pending Regulation written by and published by . This book was released on 2004 with total page 820 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.