Comparing European And U S Securities Regulations

Author: Tanja Boskovic
Publisher: World Bank Publications
ISBN: 9780821382547
Size: 50.57 MB
Format: PDF, ePub, Docs
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This paper, aimed at professionals, scholars, and government officials in the field of securities regulations, compares the European (specifically the Market in Financial Instruments Directive MiFID) and U.S. securities regulations. The analysis focuses on the regulatory and supervisory framework, trading venues, and the provision of investment services. We show that although there may be regional differences in the structure and rules of current securities regulation, the objectives and some outcomes of regulation are comparable. Similarly, as the current global financial and economic crisis exposed gaps in securities regulations worldwide, regulators in both regions face similar challenges. This study will be particularly useful for World Bank member countries that are looking at either the European or U.S. regulations when conducting market reforms.

Tennessee Corporations Partnerships And Associations Law Annotated 2016 Edition

Author: Publisher's Editorial Staff
Publisher: LexisNexis
ISBN: 1522117946
Size: 68.36 MB
Format: PDF
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Tennessee Corporations, Partnerships and Associations Law Annotated is a single-volume reference of relevant statutes from the Tennessee Code Annotated pertaining to the law of corporations, partnerships, and associations. The book includes comprehensive annotations prepared by LexisNexis' experienced staff of lawyer-editors, to help you interpret the statutes. Also featuring handy cross-references and other research aids, this book lets you find more of what you need for less.

Broker Dealer Law And Regulation

Author: Norman S. Poser
Publisher: Aspen Pub
ISBN: 9780735567856
Size: 20.41 MB
Format: PDF, Kindle
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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, Fourth 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, Norman S. Poser and James A. Fanto, 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 the SROs. Broker-Dealer Law and Regulation has been completely revised to cover all of the important regulatory changes and developments in case law affecting broker-dealers. The new Fourth Edition includes: New chapters covering the structure of the securities markets, the regulation of broker-dealers in public offerings, and SEC and SRO enforcement An increased emphasis on regulation and compliance Expanded analysis of the technological advances in securities trading and information dissemination Coverage of newly created securities Analysis of the relationships between broker-dealer firms and other financial institutions Expanded coverage of broker-dealer registration, recordkeeping, reporting, examination requirements, exemptions, and more Consideration of the roles of securities firms in corporate abuses Analysis of the proliferation of regulatory requirements, including Gramm Leach-Bliley, USA PATRIOT Act, Sarbanes-Oxley, as well as new SEC and SRO rules Updated and expanded chapters on fiduciary duty, 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, as well as SEC and SRO rules bearing on these matters Up-to-date guide to the legal rights, duties, and potential liabilities of broker-dealers and their associated persons

Wiley Series 24 Exam Review 2016 Test Bank

Author: Jeff Van Blarcom
Publisher: John Wiley & Sons
ISBN: 1119112087
Size: 13.99 MB
Format: PDF, Kindle
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The go-to guide to acing the Series 24 Exam! Passing the General Securities Principal Qualification Examination (Series 24) qualifies an individual to act as a principal of a general securities broker-dealer and to supervise the firm and its agents. The exam covers the supervision of such areas as investment banking, underwriting, and research practices; trading and market-making; brokerage office operations; and sales practices and agents, as well as compliance with financial responsibility rules. Candidates must have passed the Series 62 or Series 7 prior to taking the Series 24 Exam. Created by the experts at The Securities Institute of America, Inc., Wiley Series 24 Exam Review 2016 arms you with everything you need to pass this intensive 150-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 24 Exam Review 2016 is your ticket to passing the Series 24 test on the first try—with flying colors!

Regulation Of Securities Sec Answer Book 5th Edition

Author: Levy
Publisher: Wolters Kluwer Law & Business
ISBN: 1454880376
Size: 36.29 MB
Format: PDF, ePub, Mobi
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Regulation of Securities: SEC Answer Book, Fifth Edition is your complete guide to understanding and complying with the day-to-day requirements of the federal securities laws that affect all public companies. Using a question-and-answer format similar to that which the SEC has embraced, this valuable desk reference provides concise, understandable answers to the most frequently asked compliance questions, and ready access to key statutes, regulations, and court decisions. Designed for both beginners and seasoned professionals, the volume contains approximately 1,400 pages organized in 23 self-contained chapters. Each chapter covers the basics before moving into the nuanced details, meeting the needs of those who seek a general understanding of a topic as well as those grappling directly with critical issues. Twice-yearly supplements keep the book current in this rapidly evolving field. Whether you are a lawyer, accountant, corporate executive, director or investor, you'll be able to quickly find concise answers to essential questions about the Dodd-Frank Act, Exchange Act registration and reporting, executive compensation disclosure, derivatives disclosure, management's discussion and analysis, audit committee responsibilities, Sarbanes-Oxley, electronic filing, interactive financial data, tender offers, proxy solicitations, insider trading, going private transactions, shareholders' rights, SEC investigations, criminal enforcement, securities class actions, and much more!

Locavesting

Author: Amy Cortese
Publisher: John Wiley & Sons
ISBN: 0470911387
Size: 19.17 MB
Format: PDF, Mobi
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The Foundations And Future Of Financial Regulation

Author: Mads Andenas
Publisher: Routledge
ISBN: 113504337X
Size: 53.60 MB
Format: PDF, ePub, Docs
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Financial regulation has entered into a new era, as many foundational economic theories and policies supporting the existing infrastructure have been and are being questioned following the financial crisis. Goodhart et al’s seminal monograph "Financial Regulation: Why, How and Where Now?" (Routledge:1998) took stock of the extent of financial innovation and the maturity of the financial services industry at that time, and mapped out a new regulatory roadmap. This book offers a timely exploration of the "Why, How and Where Now" of financial regulation in the aftermath of the crisis in order to map out the future trajectory of financial regulation in an age where financial stability is being emphasised as a key regulatory objective. The book is split into four sections: the objectives and regulatory landscape of financial regulation; the regulatory regime for investor protection; the regulatory regime for financial institutional safety and soundness; and macro-prudential regulation. The discussion ranges from theoretical and policy perspectives to comprehensive and critical consideration of financial regulation in the specifics. The focus of the book is on the substantive regulation of the UK and the EU, as critical examination is made of the unravelling and the future of financial regulation with comparative insights offered where relevant especially from the US. Running throughout the book is consideration of the relationship between financial regulation, financial stability and the responsibility of various actors in governance. This book offers an important contribution to continuing reflections on the role of financial regulation, market discipline and corporate responsibility in the financial sector, and upon the roles of regulatory authorities, markets and firms in ensuring the financial health and security of all in the future.