Download or read book Securities Firms written by and published by DIANE Publishing. This book was released on 1993-05 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt: Examines the issues associated with the regulatory structure for overseeing the domestic and foreign affiliates of U.S. broker-dealers. Recommends that the SEC use its new authority under the Market Reform Act of 1990 to obtain information to evaluate the risks about unregulated financial activities of the affiliated and holding companies of U.S. securities firms and to determine the need for any further regulation of them. Graphs and charts.
Download or read book Securities Firms written by United States. General Accounting Office and published by . This book was released on 1992 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Struggle and Survival on Wall Street written by John O. Matthews and published by Oxford University Press. This book was released on 1994-03-03 with total page 286 pages. Available in PDF, EPUB and Kindle. Book excerpt: U.S. securities firms are the most competitive in the world and are now facing challenges posed by the internationalization of securities markets. Struggle and Survival on Wall Street provides a comprehensive economic analysis of competition among securities firms. John Matthews analyzes the interaction of the industry's structure, conduct and performance. To meet the competition and the needs of their customers, he argues, firms develop new financial products, some of which become new lines of business. The most important decisions firms make concern the methods of entry into these lines of business. Those firms that successfully innovate and adapt their organizations are in the best position to deal with both domestic and international competition. The regulatory framework of the industry is vital to its growth and Matthews makes policy recommendations which urge regulators, particularly the Securities and Exchange Commission, to provide for a framework in which organizational change can take place.
Download or read book Chinese Securities Companies written by Wu Xiaoqiu and published by John Wiley & Sons. This book was released on 2014-10-27 with total page 576 pages. Available in PDF, EPUB and Kindle. Book excerpt: At the turn of this century, China's capital market entered a new era. Since then, the continuously fast growth and rising income levels in China have led to significant change in the market's financial structure. Increasingly active financial investments that are becoming more market-oriented and individual demand for financial services have brought about increasing need for diversity, securitization and portfolio management services. Meanwhile, securities companies in China, as the major providers of financial services in the capital market, are going through a period of significant opportu.
Download or read book Securities Firms written by United States. General Accounting Office and published by . This book was released on 1992 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Guide for Prospective Financial Information written by American Institute of Certified Public Accountants. Financial Forecasts and Projections Task Force and published by . This book was released on 2005 with total page 260 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Practitioner s Guide to Securities Arbitration written by Jason R. Doss and published by . This book was released on 2014 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Public Policy for American Capital Markets written by James Hirsch Lorie and published by . This book was released on 1974 with total page 36 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Stealing The Market written by Martin Mayer and published by Basic Books. This book was released on 1993-08-03 with total page 224 pages. Available in PDF, EPUB and Kindle. Book excerpt: Examines the fundamental forces reshaping our securities markets and how these threaten to undermine the honesty, fairness and integrity of America's market system.
Download or read book Federal Broker Dealer Insurance Corporation written by United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities and published by . This book was released on 1970 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Study of the Securities Industry written by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance and published by . This book was released on 1971 with total page 344 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Firms Assessing the Need to Regulate Additional Financial Activities written by and published by . This book was released on 1992 with total page 94 pages. Available in PDF, EPUB and Kindle. Book excerpt: The 1980s were an unprecedented period of profitability and growth in the securities industry. For example, total capital held by U.S. broker-dealers increased from about $10 billion in 1980 to about $49 billion in 1990. Finns doing securities business diversified domestically, increased activities in foreign markets, and in some cases were acquired by large nonfinancial conglomerates. Many of the financial activities of these firms are now done outside the traditional scope of federal and state regulation. The number of these activities is increasing, but little is known about their total size and scope or about the risks they pose to regulated entities and their customers, the financial system, or ultimately the federal government. GAO is concerned about the proliferation of unregulated financial activities and the potential effects on U.S. investors and the financial system. Thus, GAO examined the organization and regulatory structure for large U.S. firms that do securities business to identify whether regulatory gaps exist that might affect U.S. investors and the financial system. GAO also compared the regulation of these firms to the different regulatory approaches for bank holding companies and foreigu firms doing securities business to determine the applicability of these approaches to U.S. finns doing securities business. (KAR).
Download or read book Debt Capital Markets in China written by Jian Gao and published by John Wiley & Sons. This book was released on 2011-08-31 with total page 542 pages. Available in PDF, EPUB and Kindle. Book excerpt: An in-depth look at China’s burgeoning capital markets Author Jian Gao is the number one authority on fixed income markets in China, and with this book, he brings his considerable experience and knowledge about these markets to investors worldwide. For those interested in becoming active in China’s growing fixed income markets, Debt Capital Markets in China is the book you need to get started. It includes coverage of the primary and secondary markets, government debt instruments, corporate bonds, the collateralized bond market, and asset-backed securitizations. Debt Capital Markets in China also examines the developing market trends, which affect investors and institutions looking to make the most of this incredible financial opportunity. Dr. Jian Gao, PhD (Beijing, China) is the Vice Governor of China Development Bank (CDB).
Download or read book Mexico written by International Monetary Fund and published by International Monetary Fund. This book was released on 2012-03-30 with total page 93 pages. Available in PDF, EPUB and Kindle. Book excerpt: A detailed assessment on the observance of Mexico’s compliance with International Organization of Securities Commissions objectives and principles of securities regulation is presented. The regimes governing the regulation of issuers, collective investment schemes, and secondary markets, and with respect to cooperation and information sharing, are extensive. The most significant issues regarding full implementation of the Principles fall under the Regulator Principles. Much of the activity on the Bolsa Mexicana de Valores comes from computer-driven program trading orders that are placed to take advantage of price asymmetries between markets.
Download or read book Securities Litigation written by Jonathan C. Dickey and published by Practising Law Institute. This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities Litigation: A Practitioner's Guide can help companies cope effectively with this major challenge, by providing you with the guidance you need to help your clients get the competitive edge in securities class actions.
Download or read book Corporate Finance For Dummies written by Michael Taillard and published by John Wiley & Sons. This book was released on 2012-12-26 with total page 371 pages. Available in PDF, EPUB and Kindle. Book excerpt: Score your highest in corporate finance The math, formulas, and problems associated with corporate finance can be daunting to the uninitiated. Corporate Finance For Dummies introduces you to the practices of determining an operating budget, calculating future cash flow, and scenario analysis in a friendly, un-intimidating way that makes comprehension easy. Corporate Finance For Dummies covers everything you'll encounter in a course on corporate finance, including accounting statements, cash flow, raising and managing capital, choosing investments; managing risk; determining dividends; mergers and acquisitions; and valuation. Serves as an excellent resource to supplement coursework related to corporate finance Gives you the tools and advice you need to understand corporate finance principles and strategies Provides information on the risks and rewards associated with corporate finance and lending With easy-to-understand explanations and examples, Corporate Finance For Dummies is a helpful study guide to accompany your coursework, explaining the tough stuff in a way you can understand.
Download or read book Financial Regulation written by Charles Goodhart and published by Routledge. This book was released on 2013-04-15 with total page 271 pages. Available in PDF, EPUB and Kindle. Book excerpt: Financial Regulation presents an important restatement of the purposes and objectives of financial regulation. The authors provide details and data on the scale, nature and costs of regulatory problems around the world, and look at what sort of countries and sectors require special attention and policies. Key topics covered include: * the need to recast the form of regulation * incentive structures for financial regulation * proportionality * new techniques for risk management * regulation in emerging countries * crisis management * prospects for financial regulation in the future.
