Green V. Merrill Lynch, Pierce, Fenner & Smith, Inc PDF Download
Are you looking for read ebook online? Search for your book and save it on your Kindle device, PC, phones or tablets. Download Green V. Merrill Lynch, Pierce, Fenner & Smith, Inc PDF full book. Access full book title Green V. Merrill Lynch, Pierce, Fenner & Smith, Inc by . Download full books in PDF and EPUB format.
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 74
Get Book Here
Book Description
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 74
Get Book Here
Book Description
Author: United States. Supreme Court
Publisher:
ISBN:
Category : Constitutional law
Languages : en
Pages : 748
Get Book Here
Book Description
Author: California (State).
Publisher:
ISBN:
Category : Law
Languages : en
Pages : 94
Get Book Here
Book Description
Author: Philip McBride Johnson
Publisher: Wolters Kluwer
ISBN: 0735533369
Category : Business & Economics
Languages : en
Pages : 663
Get Book Here
Book Description
For over a quarter century, Commodities Regulation has been recognized as the resource covering the derivatives marketplace. Today, Derivatives Regulation builds on that expertise, delivering the coverage professionals and practitioners need in order to stay current with this changing topic. Derivatives Regulation comprehensively covers the Commodity Exchange Act along with all other relevant aspects of the regulation of securities that have an impact on the derivatives markets. Derivatives Regulation is completely updated to cover the full range of emerging regulatory, reporting, and legal issues surrounding derivatives and related instruments, including: Distinguishing between regulated and unregulated derivatives�and knowing which rules to apply The significant roles of the SEC and the federal laws in regulating derivatives Meeting standards for exemption or other relief The workings of the derivatives markets and the rules applicable to trading Registration, reporting, and disclosure requirements applicable to commodities professionals Criteria for publicly traded futures and commodity options Rules governing unprofessional conduct, including the antifraud and anti-manipulation prohibitions Customer protections, the CFTC�s reparations program, arbitration programs, and private rights of action in the courts
Author:
Publisher:
ISBN:
Category : Law reports, digests, etc
Languages : en
Pages : 1092
Get Book Here
Book Description
Author: California (State).
Publisher:
ISBN:
Category : Law
Languages : en
Pages : 106
Get Book Here
Book Description
Author: California (State).
Publisher:
ISBN:
Category : Law
Languages : en
Pages : 102
Get Book Here
Book Description
Author: Marc I. Steinberg
Publisher: Oxford University Press
ISBN: 0197583148
Category : Law
Languages : en
Pages : 361
Get Book Here
Book Description
"This book focuses on a very timely and important subject that merit s comprehensive analysis: "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--
Author: United States. Supreme Court
Publisher:
ISBN:
Category : Law reports, digests, etc
Languages : en
Pages : 1184
Get Book Here
Book Description
Author: Tamar Frankel
Publisher: Wolters Kluwer
ISBN: 145487063X
Category : Law
Languages : en
Pages : 4826
Get Book Here
Book Description
The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.
