Broker Dealer Regulation

Author : Thomas Lee Hazen
Publisher : West Academic Publishing
ISBN 13 : 9780314144621
Total Pages : 0 pages
Book Rating : 4.25/5 ( download)

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Download or read book Broker-dealer Regulation in a Nutshell 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 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 basic regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration.

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 : Cheryl Nichols
Publisher :
ISBN 13 : 9780769891972
Total Pages : 1011 pages
Book Rating : 4.77/5 ( download)

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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:

Author : David A. Lipton
Publisher :
ISBN 13 :
Total Pages : 904 pages
Book Rating : 4.04/5 ( download)

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Download or read book Broker Dealer Regulation written by David A. Lipton and published by . This book was released on 2008 with total page 904 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author :
Publisher :
ISBN 13 :
Total Pages : 468 pages
Book Rating : 4.71/5 ( download)

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Download or read book Broker-dealer Regulation written by and published by . This book was released on 2009 with total page 468 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 : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 100 pages
Book Rating : 4.83/5 ( 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 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Thomas Lee Hazen
Publisher : West Group Publishing
ISBN 13 :
Total Pages : 1194 pages
Book Rating : 4.18/5 ( download)

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Download or read book The Law of Securities Regulation written by Thomas Lee Hazen and published by West Group Publishing. This book was released on 2002 with total page 1194 pages. Available in PDF, EPUB and Kindle. Book excerpt: "This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.

Author : Charles F. Rechlin
Publisher :
ISBN 13 :
Total Pages : pages
Book Rating : 4.68/5 ( download)

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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:

Author : Gary M. Brown
Publisher :
ISBN 13 : 9781402418969
Total Pages : 0 pages
Book Rating : 4.65/5 ( download)

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Download or read book Securities Law and Practice Deskbook written by Gary M. Brown and published by . This book was released on 2013-01-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations