Guide To Broker Dealer Compliance
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| Author | : Clifford E. Kirsch |
| Publisher | : |
| Total Pages | : 0 |
| Release | : 2006 |
| Genre | : Business & Economics |
| ISBN | : 9781402407710 |
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
| Author | : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee |
| Publisher | : |
| Total Pages | : 318 |
| Release | : 1974 |
| Genre | : Securities |
| ISBN | : |
| Author | : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee |
| Publisher | : |
| Total Pages | : 275 |
| Release | : 1974* |
| Genre | : Brokers |
| ISBN | : |
| Author | : |
| Publisher | : |
| Total Pages | : 380 |
| Release | : 2000 |
| Genre | : Liability insurance |
| ISBN | : |
| Author | : |
| Publisher | : Aspen Law & Business Publishers |
| Total Pages | : 254 |
| Release | : 2002 |
| Genre | : Business & Economics |
| ISBN | : |
| Author | : Steven Mark Levy |
| Publisher | : Wolters Kluwer |
| Total Pages | : 1683 |
| Release | : 2003-01-01 |
| Genre | : Law |
| ISBN | : 073554350X |
Federal Money Laundering Regulation: Banking, Corporate and Securities Compliance is a comprehensive guide to understanding and complying with all U.S. legislation and regulatory requirements governing money laundering. Carefully written and well-organized, this book is the most authoritative but practical publication available in this subject area. Users of the book include banks, credit unions, securities broker-dealers, casinos, money services businesses, futures commission merchants, mutual funds, insurance companies and other financial institutions and their legal counsel, As well as regulatory and law enforcement agencies, The criminal bar, public accountants, and federal and state courts. The easy-to-use looseleaf format allows the reader to keep the volume up to date as annual supplements are issued. The current volume has approximately 1100 pages, organized in 27 chapters. Read the highlights in the latest supplement for Federal Money Laundering Regulation: Banking, Corporate and Securities Compliance .
| Author | : United States |
| Publisher | : |
| Total Pages | : 16 |
| Release | : 1987 |
| Genre | : Government securities |
| ISBN | : |
| Author | : Charles J. Johnson |
| Publisher | : |
| Total Pages | : 1154 |
| Release | : 2004 |
| Genre | : Business & Economics |
| ISBN | : |
The highly anticipated Third Edition of Corporate Finance & the Securities Laws is a fully updated version of this classic work by two premier experts in the world of corporate finance. The book explains the legal environment in which capital markets transactions take place as well as explaining the transactions themselves and how professionals can manage the transaction and get it done. Some highlights in the Third Edition are: Underwriting practices the registration and distribution process Private placements Shelf registrations International finance Commercial paper Innovative financial products and asset-backed securities the Third Edition also includes updates on many important developments in corporate finance, including: New standards for IPO allocations the reduced role of analysts in securities offerings driven by reforms separating the interaction of research analysts And The investment bankers who bring in new business an updated look at MD&A (Management Discussion & Analysis) A new chapter focusing on asset-backed securities Sarbanes-Oxley's effects on disclosure requirements and due diligence the growing trend of On-line offerings Dealing with 'gun-jumping' problems Electronic delivery of offering documents New emphasis on financial statement due diligence New NASD corporate financing rule New NASD rule on retention of new issues (formerly the 'hot issue' rule) Exiting the SEC reporting system Innovative financing techniques And The Commodity Futures Modernization Act of 2000 Short sales and equity derivatives Innovations in convertible, exchangeable and equity-linked securities Amended Rule 10b-18 and more
| Author | : Gary M. Brown |
| Publisher | : |
| Total Pages | : 0 |
| Release | : 2013-01-16 |
| Genre | : Going public (Securities) |
| ISBN | : 9781402418969 |
In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations
| Author | : AICPA. |
| Publisher | : John Wiley & Sons |
| Total Pages | : 400 |
| Release | : 2017-12-11 |
| Genre | : Business & Economics |
| ISBN | : 1945498323 |
The 2017 edition gives up-to-date industry-specific guidance needed to be able to tailor operations with the most current standards and regulations. Included are new best practices and interpretive guidance to industry-specific considerations, this guide has you covered. This edition offers “best practice” discussion of industry-specific issues such as fair value accounting and related disclosures, as well as compliance with regulatory requirements. Further, new guidance on initial margin has been approved in accordance with applicable AICPA requirements.
