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Author: Michael Green Publisher: CreateSpace ISBN: 9781500939137 Category : Languages : en Pages : 158
Book Description
Have you ever wanted to know what an investment bank is? Have you ever wondered how the broker dealer fits into an investment bank and what it does? Have you ever wanted to know more about stocks and the products related to stocks that broker dealers offer to clients and why clients buy these products? If so this book is what you need. Written for the investing public, people new to the investment banking industry, as well as for those working in the industry; this book covers the following:* It opens with a general explanation of what investment banks are and what they do.* Then it covers the main business lines and how they are structured and how they relate to one another.* Using this background, we look at the work flow involved in making a typical equity trade.* Finally, we cover the main equity products offered by the broker dealer division of an investment bank in detail. This is the main focus of this book.
Author: Michael Green Publisher: CreateSpace ISBN: 9781500939137 Category : Languages : en Pages : 158
Book Description
Have you ever wanted to know what an investment bank is? Have you ever wondered how the broker dealer fits into an investment bank and what it does? Have you ever wanted to know more about stocks and the products related to stocks that broker dealers offer to clients and why clients buy these products? If so this book is what you need. Written for the investing public, people new to the investment banking industry, as well as for those working in the industry; this book covers the following:* It opens with a general explanation of what investment banks are and what they do.* Then it covers the main business lines and how they are structured and how they relate to one another.* Using this background, we look at the work flow involved in making a typical equity trade.* Finally, we cover the main equity products offered by the broker dealer division of an investment bank in detail. This is the main focus of this book.
Author: Thomas Lee Hazen Publisher: West Academic ISBN: 9780314189578 Category : Law Languages : en Pages : 271
Book Description
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 underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
Author: Jerry W. Markham Publisher: ISBN: 9780420611307 Category : Languages : en Pages :
Book Description
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: AICPA Publisher: John Wiley & Sons ISBN: 1948306662 Category : Business & Economics Languages : en Pages : 464
Book Description
It is critical to understand the complexities of the specialized accounting and regulatory requirements needed for the broker-dealer industry. This comprehensive guide has been designed to be beneficial for a wide range of professionals within the broker-dealer industry. Updates to this edition are to conform the content to current accounting standards and regulatory requirements. The updates include: SEC Release No. 34-86073, Amendment to Single Issuer Exemption for Broker-Dealers; ASU No. 2018-09, Codification Improvements; and, SEC Release Nos. 33-10532; 34-83875; IC-33203, Disclosure Update and Simplification. In addition, this edition features a new example disclosure note for revenue from contracts with customers, which has been added to the guide's illustrative financial statements and footnote disclosures.
Author: Barry Leonard Publisher: DIANE Publishing ISBN: 1437980600 Category : Business & Economics Languages : en Pages : 208
Book Description
Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial goals. BD&IA are regulated extensively, but the regulatory regimes differ, and BD&IA are subject to different standards under fed. law when providing invest. advice (IA) about securities. This report evaluated: (1) The effectiveness of existing legal standards of care for providing personalized IA and recommend. about securities to retail customers; and (2) Whether there are legal gaps in regulatory standards in the protection of retail customers relating to providing personalized IA about securities to retail customers that should be addressed by statute. This is print on demand report.
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee Publisher: ISBN: Category : Securities Languages : en Pages : 318
Author: James A. Fanto Publisher: Wolters Kluwer Law & Business ISBN: 9781543804966 Category : Stockbrokers Languages : en Pages : 1812
Book Description
Whether you represent brokerage firms and their employees or shareholders and investors, your clients depend on your informed counsel to help them thrive in today's securities markets. With Broker-Dealer Law and Regulation, Fifth Edition, the authoritative analysis and practical guidance you need to advise clients on their rights, duties, and liabilities under today's complex securities regulations is at your fingertips. Written by two of America's leading securities authorities, James A. Fanto and Jill I. Gross, Broker-Dealer Law and Regulation gives you reliable guidance on the latest federal and state law governing private litigation and arbitration between broker-dealers and their customers, as well as regulation by the SEC and Financial Industry Regulatory Authority (FINRA). Broker-Dealer Law and Regulation has been completely revised, reorganized and expanded to provide a comprehensive guide to the regulation and compliance obligations and the legal rights, duties, and potential liabilities of broker-dealers and their associated persons. The new Fifth Edition includes: Revised chapters covering the securities industry, the structure of the securities markets, and SEC and FINRA regulation and enforcement A continued emphasis on regulation affecting broker-dealers and their compliance obligations, with particular attention to their supervisory responsibilities Enhanced attention to a broker-dealers' compensation practices and mitigation of conflicts of interest Straightforward discussion of a broker-dealer's financial obligations, including the net capital rule and reserve requirements Analysis of the relationships between broker-dealers and other financial institutions Expanded coverage of broker-dealer registration and exemptions, recordkeeping and reporting requirements, anti-money laundering obligations and requirements to protect customer information, and more A new chapter on advertising regulation Expanded coverage of broker-dealers in capital raising, both public and private Updated and streamlined chapters on securities fraud, preemption of state law, damages, vicarious liability, and other related topics New insight into important securities law decisions of the Supreme Court and other courts relevant to both securities litigation and arbitration, as well as SEC and FINRA rules bearing on these matters Up-to-date guidance on the legal rights, duties, and potential liabilities of broker-dealers and their associated persons to their customers A completely reorganized Part addressing arbitration in the securities industry, the law governing arbitration agreements, and the FINRA arbitration and mediation process, with a separate chapter on judicial review of arbitral awards. Previous Edition: Broker-Dealer Law and Regulation, Fourth Edition, ISBN 9780735567856
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises Publisher: ISBN: Category : Business & Economics Languages : en Pages : 580
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Special Subcommittee on Investigations Publisher: ISBN: Category : Brokers Languages : en Pages : 172
Author: Michael Green
Author: Michael Green
Author: Thomas Lee Hazen
Author: Jerry W. Markham
Author: AICPA
Author: Barry Leonard
Author: Poser, Fanto, Gross
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Author: James A. Fanto
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Special Subcommittee on Investigations