Broker Dealer Operations Under Securities And Commodities Law

Author : Jerry W. Markham
Publisher :
ISBN 13 : 9780420611307
Total Pages : pages
Book Rating : 4.04/5 ( download)

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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.

Author : Jerry W. Markham
Publisher : West Group Publishing
ISBN 13 : 9780876323922
Total Pages : pages
Book Rating : 4.21/5 ( download)

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Download or read book Broker Dealer Operations Under Securities and Commodities Law written by Jerry W. Markham and published by West Group Publishing. This book was released on 1995-01-01 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Jerry W. Markham
Publisher :
ISBN 13 :
Total Pages : pages
Book Rating : 4.10/5 ( download)

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Download or read book Broker-dealer Operations and Regulation Under Securities and Commodities Laws written by Jerry W. Markham and published by . This book was released on 2002 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Poser, Fanto, Gross
Publisher : Wolters Kluwer Law & Business
ISBN 13 : 1543804969
Total Pages : 1920 pages
Book Rating : 4.66/5 ( download)

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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:

Author :
Publisher :
ISBN 13 :
Total Pages : 534 pages
Book Rating : 4.77/5 ( download)

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Download or read book Broker-dealer Regulation written by and published by . This book was released on 2002 with total page 534 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher :
ISBN 13 :
Total Pages : 318 pages
Book Rating : 4.13/5 ( download)

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Download or read book Guide to Broker-dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and published by . This book was released on 1974 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 536 pages
Book Rating : 4.96/5 ( download)

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

Author : Allan H. Pessin
Publisher : Irwin Professional Publishing
ISBN 13 :
Total Pages : 488 pages
Book Rating : 4.43/5 ( download)

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Download or read book Securities Law Compliance written by Allan H. Pessin and published by Irwin Professional Publishing. This book was released on 1990 with total page 488 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 : 9780735511231
Total Pages : 1000 pages
Book Rating : 4.33/5 ( download)

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Download or read book Broker-Dealer Law and Regulation written by Norman S. Poser and published by Aspen Publishers. This book was released on 1999-11-01 with total page 1000 pages. Available in PDF, EPUB and Kindle. Book excerpt: From duties under the common law to obligations imposed by the federal securities statutes, the Third Edition of Broker-Dealer Law and Regulation covers the full range of the law that protects the relationship between broker-dealers and their customers. The Third Edition includes private rights of action, securities arbitration and mediation, and regulation. Whether you represent a brokerage firm or securities dealer, an employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as: The regulatory framework, especially post-Glass-Steagall -- Broker-Dealer fraud -- Online trading -- Unsuitable recommendations -- Market manipulation -- Vicarious liability -- Defenses in actions against broker-dealers -- Compensatory and punitive damages and attorney's fees -- Rules of self-regulatory organizations -- Securities arbitration -- Mediation of securities disputes -- Conflicts of interest -- Appendices containing both the Federal Arbitration Act and the NASD Code of Arbitration Procedure Broker-Dealer Law and Regulation is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.

Author : Guy P. Lander
Publisher :
ISBN 13 :
Total Pages : 1602 pages
Book Rating : 4.34/5 ( download)

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Download or read book U.S. Securities Law for International Financial Transactions and Capital Markets written by Guy P. Lander and published by . This book was released on 2009 with total page 1602 pages. Available in PDF, EPUB and Kindle. Book excerpt: