Broker Dealer Law And Regulation
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Broker Dealer Law And Regulation
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Author : Norman S. Poser
language : en
Publisher: Aspen Publishers
Release Date : 1999-11-01
Broker Dealer Law And Regulation written by Norman S. Poser and has been published by Aspen Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 1999-11-01 with Law categories.
From duties under the common law to obligations imposed by the federal securities statutes, the Third Edition of Broker-Dealer Law and Regulation covers the full range of the law that protects the relationship between broker-dealers and their customers. The Third Edition includes private rights of action, securities arbitration and mediation, and regulation. Whether you represent a brokerage firm or securities dealer, an employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as: The regulatory framework, especially post-Glass-Steagall -- Broker-Dealer fraud -- Online trading -- Unsuitable recommendations -- Market manipulation -- Vicarious liability -- Defenses in actions against broker-dealers -- Compensatory and punitive damages and attorney's fees -- Rules of self-regulatory organizations -- Securities arbitration -- Mediation of securities disputes -- Conflicts of interest -- Appendices containing both the Federal Arbitration Act and the NASD Code of Arbitration Procedure Broker-Dealer Law and Regulation is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.
Broker Dealer Law And Regulation
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Author : Norman S. Poser
language : en
Publisher:
Release Date : 2007
Broker Dealer Law And Regulation written by Norman S. Poser and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2007 with Securities categories.
Broker Dealer Law And Regulation
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Author : Norman S. Poser
language : en
Publisher: Aspen Publishers
Release Date : 1995
Broker Dealer Law And Regulation written by Norman S. Poser and has been published by Aspen Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 1995 with Brokers categories.
Broker Dealer Law And Regulation 5th Edition
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Author : Poser, Fanto, Gross
language : en
Publisher: Wolters Kluwer Law & Business
Release Date :
Broker Dealer Law And Regulation 5th Edition written by Poser, Fanto, Gross and has been published by Wolters Kluwer Law & Business this book supported file pdf, txt, epub, kindle and other format this book has been release on with Stockbrokers categories.
Broker Dealer Regulation In A Nutshell
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Author : Thomas Lee Hazen
language : en
Publisher: West Academic
Release Date : 2011
Broker Dealer Regulation In A Nutshell written by Thomas Lee Hazen and has been published by West Academic this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Law categories.
This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
U S Securities Law For International Financial Transactions And Capital Markets
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Author : Guy P. Lander
language : en
Publisher:
Release Date : 2009
U S Securities Law For International Financial Transactions And Capital Markets written by Guy P. Lander and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Investments, Foreign categories.
Broker Dealer Regulation
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Author : David A. Lipton
language : en
Publisher:
Release Date : 2008
Broker Dealer Regulation written by David A. Lipton and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Securities categories.
Securities Law Compliance
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Author : Allan H. Pessin
language : en
Publisher: Irwin Professional Publishing
Release Date : 1990
Securities Law Compliance written by Allan H. Pessin and has been published by Irwin Professional Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 1990 with Business & Economics categories.
United States Securities Law
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Author : James M. Bartos
language : en
Publisher: Kluwer Law International B.V.
Release Date : 2006-01-01
United States Securities Law written by James M. Bartos and has been published by Kluwer Law International B.V. this book supported file pdf, txt, epub, kindle and other format this book has been release on 2006-01-01 with Law categories.
Capital raising, mergers and acquisitions and securities trading around the world often involve some connection with the United States and implicate the US securities laws. United States Securities Law: A Practical Guide ,offers a concise overview of US securities laws from the perspective of a non-US participant. It is written not only for lawyers but for managers, bankers and others with an interest in the topic. This new edition has been significantly updated and expanded, including for the SEC's recent offering reforms and corporate governance developments. Praise for the Second Edition: This book has been a valuable resource in effectively counselling my company in the intricacies of SEC regulation. Jim, with his many years of counselling foreign issuers out of his firms London office, writes with a perspective that is particularly relevant to the needs of foreign companies listed on US exchanges. George Miller, Executive Vice President and General Counsel, Novartis Corporation. A well written and useful primer for those looking for quick, practical answers to real life questions or who wish to understand better the background and rationale to US securities law and regulation. Leland Goss, Managing Director, Credit Suisse. This book really is a practical guide to the US securities laws. It does a great job of explaining the rules and regulations in a way that can be understood by readers that are not themselves US securities lawyers. Peter Castellon, Director andamp; Counsel, Citigroup Corporate andamp; Investment Banking.
Corporate Finance And The Securities Laws 6th Edition
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Author : Johnson, McLaughlin, and Haueter
language : en
Publisher: Wolters Kluwer
Release Date : 2019-12-10
Corporate Finance And The Securities Laws 6th Edition written by Johnson, McLaughlin, and Haueter and has been published by Wolters Kluwer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2019-12-10 with Corporations categories.
Corporate Finance and the Securities Laws has been winning over practitioners with its clear "how to do it" approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Sixth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace. Written in plain English by two top experts in the field - each with literally hundreds of successful deals under his belt, Corporate Finance and the Securities Laws is the "go to" resource which explains the mechanics of corporate finance together with the statutes that govern each type of deal. You'll receive expert corporate finance analysis, procedural guidance, and practical securities law pointers every step of the way to help you Structure all types of corporate finance deals - from public, private, and offshore offerings to corporate debt restructurings, commercial paper programs, raising capital, and asset-based securities transactions Root out problems before corporate finance deals are put in motion, with heads-up input on securities law prohibited practices, potential liabilities, conflicts of interest, due diligence concerns, and other red-flag issues Shepherd transactions through the corporate finance regulatory process with a clear understanding of applicable statutes and their implications in real-life situations Know what to do when securities law problems crop up - and find clear answers to the countless questions that develop in the course of a corporate finance deal Close deals, raising capital in a timely manner and work shoulder to shoulder with clients to accomplish your corporate finance objectives