Mutual Fund Trading Abuses Lessons Can Be Learned From Sec Not Having Detected Violations At An Earlier Stage Report To The Committee On The Judiciary House Of Representatives
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Mutual Fund Trading Abuses
| Author | : Richard J. Hillman |
| Publisher | : DIANE Publishing |
| Total Pages | : 54 |
| Release | : 2005-07 |
| Genre | : Business & Economics |
| ISBN | : 9780756748265 |
Mutual Fund Trading Abuses
| Author | : United States. Congress. House. Committee on the Judiciary. Subcommittee on Commercial and Administrative Law |
| Publisher | : |
| Total Pages | : 108 |
| Release | : 2005 |
| Genre | : Business & Economics |
| ISBN | : |
Report on the Activities of the Committee on the Judiciary of the House of Representatives During the One Hundred Ninth Congress
| Author | : United States. Congress. House. Committee on the Judiciary |
| Publisher | : |
| Total Pages | : 224 |
| Release | : 2007 |
| Genre | : |
| ISBN | : |
Mutual Funds
| Author | : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises |
| Publisher | : |
| Total Pages | : 120 |
| Release | : 2005 |
| Genre | : Business & Economics |
| ISBN | : |
Model Rules of Professional Conduct
| Author | : American Bar Association. House of Delegates |
| Publisher | : American Bar Association |
| Total Pages | : 216 |
| Release | : 2007 |
| Genre | : Law |
| ISBN | : 9781590318737 |
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
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.
Bulletin of the Atomic Scientists
| Author | : |
| Publisher | : |
| Total Pages | : 64 |
| Release | : 1955-04 |
| Genre | : |
| ISBN | : |
The Bulletin of the Atomic Scientists is the premier public resource on scientific and technological developments that impact global security. Founded by Manhattan Project Scientists, the Bulletin's iconic "Doomsday Clock" stimulates solutions for a safer world.
