The Role of State Securities Regulators in Protecting Investors
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publisher | : |
Total Pages | : 64 |
Release | : 2005 |
Genre | : Consumer protection |
ISBN | : |
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Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publisher | : |
Total Pages | : 64 |
Release | : 2005 |
Genre | : Consumer protection |
ISBN | : |
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 | : Kenneth M. Morris |
Publisher | : Lightbulb Press, Inc. |
Total Pages | : 19 |
Release | : 2014-03 |
Genre | : Business & Economics |
ISBN | : 1933569093 |
A comprehensive, 138 page guide on all aspects of personal finance, including financial planning, taxes, credit, insurance, and home finance.
Author | : Yasuyuki Fuchita |
Publisher | : Brookings Institution Press |
Total Pages | : 216 |
Release | : 2007-02-01 |
Genre | : Business & Economics |
ISBN | : 0815729820 |
A Brookings Institution Press and Nomura Institute of Capital Markets Research publication Developed country capital markets have devised a set of institutions and actors to help provide investors with timely and accurate information they need to make informed investment decisions. These actors have become known as "financial gatekeepers" and include auditors, financial analysts, and credit rating agencies. Corporate financial reporting scandals in the United States and elsewhere in recent years, however, have called into question the sufficiency of the legal framework governing these gatekeepers. Policymakers have since responded by imposing a series of new obligations, restrictions, and punishments—all with the purpose of strengthening investor confidence in these important actors. Financial Gatekeepers provides an in-depth look at these new frameworks, especially in the United States and Japan. How have they worked? Are further refinements appropriate? These are among the questions addressed in this timely and important volume. Contributors include Leslie Boni (University of New Mexico), Barry Bosworth (Brookings Institution), Tomoo Inoue (Seikei University), Zoe-Vonna Palmrose (University of Southern California), Frank Partnoy (University of San Diego School of Law), George Perry (Brookings Institution), Justin Pettit (UBS), Paul Stevens (Investment Company Institute), Peter Wallison (American Enterprise Institute).
Author | : MIRANDE. DE ASSIS VALBRUNE (RENEE. CARDELL, SUZANNE.) |
Publisher | : |
Total Pages | : 180 |
Release | : 2019-09-27 |
Genre | : |
ISBN | : 9781680923025 |
A less-expensive grayscale paperback version is available. Search for ISBN 9781680923018. Business Law I Essentials is a brief introductory textbook designed to meet the scope and sequence requirements of courses on Business Law or the Legal Environment of Business. The concepts are presented in a streamlined manner, and cover the key concepts necessary to establish a strong foundation in the subject. The textbook follows a traditional approach to the study of business law. Each chapter contains learning objectives, explanatory narrative and concepts, references for further reading, and end-of-chapter questions. Business Law I Essentials may need to be supplemented with additional content, cases, or related materials, and is offered as a foundational resource that focuses on the baseline concepts, issues, and approaches.
Author | : United States. Securities and Exchange Commission |
Publisher | : |
Total Pages | : 12 |
Release | : 1975 |
Genre | : |
ISBN | : |
Author | : |
Publisher | : Academic Press |
Total Pages | : 625 |
Release | : 2011-08-31 |
Genre | : Business & Economics |
ISBN | : 0123877253 |
This comprehensive examination of short selling, which is a bet on stocks declining in value, explores the ways that this strategy drives financial markets. Its focus on short selling by region, its consideration of the history and regulations of short selling, and its mixture of industry and academic perspectives clarify the uses of short selling and dispel notions of its destructive implications. With contributions from around the world, this volume sheds new light on the ways short selling uncovers market forces and can yield profitable trades. - Combines academic and professional research on short selling in all major financial markets - Emphasizes details about strategies, implementations, regulation, and tax advantages - Chapters provide summaries for readers who want up-to-date maps of subject landscapes
Author | : Jeffrey Price |
Publisher | : Butterworth-Heinemann |
Total Pages | : 600 |
Release | : 2016-07-20 |
Genre | : Political Science |
ISBN | : 0128043598 |
Practical Aviation Security: Predicting and Preventing Future Threats, Third Edition is a complete guide to the aviation security system, from crucial historical events to the policies, policymakers, and major terrorist and criminal acts that have shaped the procedures in use today, as well as the cutting edge technologies that are shaping the future. This text equips readers working in airport security or other aviation management roles with the knowledge to implement effective security programs, meet international guidelines, and responsibly protect facilities or organizations of any size. Using case studies and practical security measures now in use at airports worldwide, readers learn the effective methods and the fundamental principles involved in designing and implementing a security system. The aviation security system is comprehensive and requires continual focus and attention to stay a step ahead of the next attack. Practical Aviation Security, Third Edition, helps prepare practitioners to enter the industry and helps seasoned professionals prepare for new threats and prevent new tragedies. - Covers commercial airport security, general aviation and cargo operations, threats, threat detection and response systems, as well as international security issues - Lays out the security fundamentals that can ensure the future of global travel and commerce - Applies real-world aviation experience to the task of anticipating and deflecting threats - Includes updated coverage of security related to spaceport and unmanned aerial systems, focusing on IACO (International Civil Aviation Organization) security regulations and guidance - Features additional and updated case studies and much more
Author | : |
Publisher | : Aspen Law & Business Publishers |
Total Pages | : 254 |
Release | : 2002 |
Genre | : Business & Economics |
ISBN | : |
Author | : Merritt B. Fox |
Publisher | : |
Total Pages | : 476 |
Release | : 2018 |
Genre | : Securities |
ISBN | : 9781982966850 |