Author: MalaysiaPublisher:
ISBN:
Category : Brokers
Languages : en
Pages :
Book Description
Securities Industry Act and Securities Industry Regulations Act 208
Author: MalaysiaThe New Uniform Securities Act
Author: Joel SeligmanPublisher: Wolters Kluwer
ISBN: 0735544247
Category : Law
Languages : en
Pages : 198
Book Description
This book is the only published version of the new Uniform Securities Act that includes reporteriquest;s notes. Joel Seligman, The reporter for this revision To The act, Is a noted expert in securities regulation and provides authoritative insight throughout the book. it will benefit Securities Attorneys in government and private practice who practice state securities laws, state legislators and regulators, corporate counsel as well as private law firm and governmental Libraries, Law school faculty and libraries, and self-regulatory organizations. Includes discussions of the seven articles covered in the New Act: General Provisions Exemptions from Registration of Securities and Notice Filing of Federal Covered Securities Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers Fraud and Liabilities Administration and Judicial Review Transition Also, The Securities Industry Association has endorsed the New Uniform Securities Act by Joel Seligman.
Akta Perindustrian Sekuriti (Depositori Pusat)
Author: MalaysiaPublisher:
ISBN: 9789677002043
Category : Securities industry
Languages : ms
Pages : 104
Book Description
Securities Industry Act and Regulations, Act 280
Author: MalaysiaPublisher:
ISBN: 9789677007994
Category : Brokers
Languages : en
Pages : 847
Book Description
Regulation of Securities, Markets, and Transactions
Author: Patrick S. CollinsPublisher: John Wiley & Sons
ISBN: 1118008561
Category : Business & Economics
Languages : en
Pages : 384
Book Description
The ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage of domestic securities regulation, this book fills the need for coverage of securities regulations, defining, describing, and explaining everything professionals need to know about domestic securities regulation. Examines the current securities rules Provides an overview of the latest regulations for this industry Includes a description of the various government regulations of securities markets, and securities transactions Since the corporate scandals of 2002, this industry has seen intense scrutiny of how it is regulated. Regulation of Securities, Markets, and Transactions demystifies the new laws and regulations with straightforward, to-the-point coverage professionals need.
A Review of the Licensing Provisions of the Securities Industry Act and Codes
Author: Publisher:
ISBN: 9780644007344
Category : Securities
Languages : en
Pages : 198
Book Description
Summary : A discussion document with proposals for reform of Part IV and other provisions and Regulations of the Securities Industry Act and Codes relating to licensing of Securities Industry participants.
The Law of Securities Regulation
Author: Thomas Lee HazenPublisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 794
Book Description
Securities Regulation: Selected Statutes, Rules, and Forms 2024 Supplement
Author: James D. CoxPublisher: Aspen Publishing
ISBN:
Category : Law
Languages : en
Pages : 1814
Book Description
Amendments to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incidents by public companies that are subject to the reporting requirements of the Securities Exchange Act of 1934. Amendments to enhance investor protections in initial public offerings by Special Purpose Acquisition Companies (SPACs). Amendments to modernize and improve disclosure about repurchases of an issuer’s equity securities that are registered under the Exchange Act (Repurchase Rule). Amendments to update Regulation 13D-G to require market participants to provide more timely information on their positions to meet the needs of investors in today’s financial markets. Amendments to the rule under the Investment Company Act of 1940 that addresses certain broad categories of investment company names that are likely to mislead investors about an investment company's investments and risks. Latest updates to statutes, rules, regulations, and forms.
Securities Industry Act
Author: MalaysiaPublisher:
ISBN: 9789677000131
Category : Securities industry
Languages : en
Pages : 138
Book Description
Securities Industry Act and Regulations, Securities Industry (Central Depositories) Act, Securities Commission Act and Regulations, Futures Industry Act and Regulations
Author: MalaysiaPublisher:
ISBN: 9789677005907
Category : Brokers
Languages : en
Pages : 574
Book Description