Author: Jerry W. MarkhamPublisher: West Group Publishing
ISBN: 9780876323922
Category : Law
Languages : en
Pages :
Book Description
Broker Dealer Operations Under Securities and Commodities Law
Author: Jerry W. MarkhamPublisher: West Group Publishing
ISBN: 9780876323922
Category : Law
Languages : en
Pages :
Book Description
Broker Dealer Operations Under Securities and Commodities Law
Author: Jerry W. MarkhamPublisher:
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.
Broker Dealer Operations Under Securities and Commodities Law
Author: Jerry W. MarkhamPublisher:
ISBN: 9780876323922
Category : Stockbrokers
Languages : en
Pages :
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
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.
Futures Trading Act of 1982
Author: Risk-Based Capital
Author: Lawrence D. CluffPublisher: DIANE Publishing
ISBN: 0788186701
Category :
Languages : en
Pages : 187
Book Description
Research Handbook on Securities Regulation in the United States
Author: Jerry W. MarkhamPublisher: Edward Elgar Publishing
ISBN: 1782540075
Category : Business & Economics
Languages : en
Pages : 563
Book Description
This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute
Intermediated Securities
Author: Pierre-Henri ConacPublisher: Cambridge University Press
ISBN: 1107244803
Category : Law
Languages : en
Pages : 443
Book Description
In today's financial markets, investors no longer hold securities physically. Instead, securities such as shares or bonds are mostly held through intermediaries and transferred by way of book-entries on securities accounts. However, there are remarkable conceptual differences between the various jurisdictions with regard to the legal treatment of intermediated securities. It is widely agreed that this patchwork creates considerable legal risks, especially in cross-border situations. Two initiatives are in place to reduce these risks. In 2009, the UNIDROIT Convention on Substantive Rules for Intermediated Securities (the 'Geneva Securities Convention') was adopted, aimed at harmonisation on the international level. The EU Commission is also running a legislative project, to achieve harmonisation at the regional level. This book compares both initiatives and analyses their impact on the securities laws of selected European jurisdictions.
Federal Securities Law
Author: Thomas Lee HazenPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 210
Book Description