Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored EnterprisesPublisher:
ISBN:
Category : Reparation
Languages : en
Pages : 100
Book Description
H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act of 2003
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored EnterprisesPublisher:
ISBN:
Category : Reparation
Languages : en
Pages : 100
Book Description
108-1 Hearing: H.R. 2179--The Securities Fraud Deterrence and Investor Restitution Act of 2003, Serial No. 108-34, June 5, 2003, *
Author: Securities Fraud Deterrence and Investor Restitution Act of 2004
Author: United States. Congress. House. Committee on Financial ServicesPublisher:
ISBN:
Category : Restitution
Languages : en
Pages : 76
Book Description
H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act of 2003
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored EnterprisesPublisher:
ISBN:
Category : Reparation
Languages : en
Pages : 110
Book Description
Report on the Activity of the Committee on Financial Services for the 108th Congress
Author: United States. Congress. House. Committee on Financial ServicesPublisher:
ISBN:
Category :
Languages : en
Pages : 196
Book Description
Report on the Activity of the Committee on Financial Services for the ... Congress
Author: United States. Congress. House. Committee on Financial ServicesPublisher:
ISBN:
Category :
Languages : en
Pages : 196
Book Description
The Securities Enforcement Manual
Author: Nicole A. BakerPublisher: American Bar Association
ISBN: 9781590317297
Category : Business & Economics
Languages : en
Pages : 774
Book Description
This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
United States Congressional Serial Set, Serial No. 14929, House Reports Nos. 793-803
Author: Publisher: Government Printing Office
ISBN:
Category :
Languages : en
Pages : 1378
Book Description
Journal and history of legislation
Author: United States. Congress. House. Committee on Financial ServicesPublisher:
ISBN:
Category :
Languages : en
Pages : 268
Book Description
Securities Activities of Banks
Author: Melanie L. FeinPublisher: Wolters Kluwer
ISBN: 1454801247
Category : Law
Languages : en
Pages : 1668
Book Description
"The Fourth Edition of a leading resource in the field, this valuable practice tool brings you completely up-to-date on the evolving laws governing banks' securities activities - from regulatory changes in the financial markets and administrative reform to recent court decisions and legislative reform, including the recently enacted Sarbanes-Oxley Act of 2002 and the Gramm-Leach-Bliley Act. Here is everything you need to help build a bank's securities business while avoiding compliance pitfalls. Securities Activities of Banks, Fourth Edition provides: In-depth discussions of the securities activities now permissible for banks, bank holding companies, and financial holding companies, Clear explanations of how securities laws affect banks' securities activities, A complete review of how banks are regulated - including foreign banks and affiliates, Up-to-date analysis of the evolution of the banking laws through agency and court decisions. Detailed descriptions and analyses illuminate the full range of current bank securities activities, including investment and trading activities, brokerage activities, investment advice, underwriting, mutual funds, international securities activities, derivative instruments, deposits and loans, fiduciary activities, and more."--Publisher's website.