Author: Publisher:
ISBN: 9781402406461
Category : Disclosure of information
Languages : en
Pages : 308
Book Description
Coping with Broker/dealer Regulation & Enforcement, 2005
Author: Publisher:
ISBN: 9781402406461
Category : Disclosure of information
Languages : en
Pages : 308
Book Description
Coping with Broker-dealer Regulation & Increasing Enforcement
Author: Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Author: Angela A. HungPublisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151
Book Description
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.
Coping with Broker-dealer Regulation & Increasing Enforcement
Author: Publisher:
ISBN: 9780872243149
Category : Securities
Languages : en
Pages : 224
Book Description
Coping with Broker-dealer Regulation & Enforcement
Author: The Budget of the United States Government
Author: United StatesPublisher:
ISBN:
Category : Budget
Languages : en
Pages : 1278
Book Description
U.S. Regulation of the International Securities and Derivatives Markets
Author: Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
Book Description
Index to Course Handbooks
Author: Model Rules of Professional Conduct
Author: American Bar Association. House of DelegatesPublisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Book Description
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.
Research Handbook on Representative Shareholder Litigation
Author: Sean GriffithPublisher: Edward Elgar Publishing
ISBN: 1786435349
Category : Business & Economics
Languages : en
Pages : 552
Book Description
Written by leading scholars and judges in the field, the Research Handbook on Representative Shareholder Litigation is a modern-day survey of the state of shareholder litigation. Its chapters cover securities class actions, merger litigation, derivative suits, and appraisal litigation, as well as other forms of shareholder litigation. Through in-depth analysis of these different forms of litigation, the book explores the agency costs inherent in representative litigation, the challenges of multijurisdictional litigation and disclosure-only settlements, and the rise of institutional investors. It explores how related issues are addressed across the globe, with examinations of shareholder litigation in the United States, Canada, the United Kingdom, the European Union, Israel, and China. This Research Handbook will be an invaluable resource on this important topic for scholars, practitioners, judges and legislators.