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Enhancing Investor Protection and the Regulation of Securities Markets, Part II

Enhancing Investor Protection and the Regulation of Securities Markets, Part II PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Global Financial Crisis, 2008-2009
Languages : en
Pages : 292

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Book Description

Enhancing Investor Protection and the Regulation of Securities Markets, Part II

Enhancing Investor Protection and the Regulation of Securities Markets, Part II PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Global Financial Crisis, 2008-2009
Languages : en
Pages : 292

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Book Description

Enhancing Investor Protection and the Regulation of Securities Markets-Part II, S. Hrg. 111-144, March 26, 2009, 111-1 Hearing, *.

Enhancing Investor Protection and the Regulation of Securities Markets-Part II, S. Hrg. 111-144, March 26, 2009, 111-1 Hearing, *. PDF Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 292

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Book Description

Examining Proposals to Enhance the Regulation of Credit Rating Agencies

Examining Proposals to Enhance the Regulation of Credit Rating Agencies PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 140

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Book Description

Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight

Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight PDF Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 580

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Book Description

Securities Market Issues for the 21st Century

Securities Market Issues for the 21st Century PDF Author: Merritt B. Fox
Publisher:
ISBN: 9781982966850
Category : Securities
Languages : en
Pages : 476

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Book Description

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers PDF Author: Angela A. Hung
Publisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151

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Book Description
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.

Report of Special Study of Securities Markets of the Securities and Exchange Commission

Report of Special Study of Securities Markets of the Securities and Exchange Commission PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Foreign exchange
Languages : en
Pages :

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Book Description

Doing Business 2020

Doing Business 2020 PDF Author: World Bank
Publisher: World Bank Publications
ISBN: 1464814414
Category : Business & Economics
Languages : en
Pages : 254

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Book Description
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.

U.S. Regulation of the International Securities and Derivatives Markets

U.S. Regulation of the International Securities and Derivatives Markets PDF Author:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254

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Book Description

Financial Market Regulation and Reforms in Emerging Markets

Financial Market Regulation and Reforms in Emerging Markets PDF Author: Masahiro Kawai
Publisher: Brookings Institution Press
ISBN: 0815704895
Category : Business & Economics
Languages : en
Pages : 441

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Book Description
"In the wake of the global financial crisis that began in 2008, offers a systematic overview of recent developments in regulatory frameworks in advanced and emerging-market countries, outlining challenges to improving regulation, markets, and access in developing economies"--Provided by publisher.