Enhancing Investor Protection And The Regulation Of Securities Markets Part Ii
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Enhancing Investor Protection and the Regulation of Securities Markets, Part II
| Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
| Publisher | : |
| Total Pages | : 292 |
| Release | : 2009 |
| Genre | : Global Financial Crisis, 2008-2009 |
| ISBN | : |
Examining Proposals to Enhance the Regulation of Credit Rating Agencies
| Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
| Publisher | : |
| Total Pages | : 140 |
| Release | : 2010 |
| Genre | : Business & Economics |
| ISBN | : |
Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight
| Author | : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises |
| Publisher | : |
| Total Pages | : 580 |
| Release | : 2012 |
| Genre | : Business & Economics |
| ISBN | : |
Securities Market Issues for the 21st Century
| Author | : Merritt B. Fox |
| Publisher | : |
| Total Pages | : 476 |
| Release | : 2018 |
| Genre | : Securities |
| ISBN | : 9781982966850 |
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
| Author | : Angela A. Hung |
| Publisher | : Rand Corporation |
| Total Pages | : 151 |
| Release | : 2008-03-12 |
| Genre | : Law |
| ISBN | : 0833045016 |
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.
Doing Business 2020
| Author | : World Bank |
| Publisher | : World Bank Publications |
| Total Pages | : 254 |
| Release | : 2019-11-21 |
| Genre | : Business & Economics |
| ISBN | : 1464814414 |
Seventeen in a series of annual reports comparing business regulation in 190 economies, Doing Business 2020 measures aspects of regulation affecting 10 areas of everyday business activity.
Joint Report on the Government Securities Market
| Author | : United States. Department of the Treasury |
| Publisher | : Treasury |
| Total Pages | : 208 |
| Release | : 1992 |
| Genre | : Business & Economics |
| ISBN | : |
Report of Special Study of Securities Markets of the Securities and Exchange Commission
| Author | : United States. Securities and Exchange Commission |
| Publisher | : |
| Total Pages | : |
| Release | : 1963 |
| Genre | : Foreign exchange |
| ISBN | : |
U.S. Regulation of the International Securities and Derivatives Markets
| Author | : |
| Publisher | : Aspen Law & Business Publishers |
| Total Pages | : 254 |
| Release | : 2002 |
| Genre | : Business & Economics |
| ISBN | : |
