Institutional Disclosure and Sales of Investment Company Advisers, Hearing Before the Subcommittee on Commerce and Finance of ..., 93-2, Sept. 13, 1974 PDF Download
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Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
ISBN:
Category :
Languages : en
Pages : 130
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Book Description
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
ISBN:
Category :
Languages : en
Pages : 130
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Book Description
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 140
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Book Description
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.
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 530
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Book Description
Author:
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 1388
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Author: United States. Superintendent of Documents
Publisher:
ISBN:
Category : United States
Languages : en
Pages : 1408
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Book Description
Author: Richard Scott Carnell
Publisher: Aspen Publishing
ISBN: 1543831087
Category : Law
Languages : en
Pages : 1101
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Book Description
The Law of Financial Institutions provides the foundation for a successful course on the law of traditional commercial banks. The book’s clear writing, careful editing, timely content, and concise explanations to provocative questions make a difficult field of law lively and interesting. New to the Seventh Edition: Unified analysis of different types of financial institution under a common framework, using simple mock balance sheets as a way of vividly illustrating the similarities and differences and bringing out the features that lend stability or instability to the financial system. A new chapter dealing with the important topic of financial technology. Extensive treatment of liquidity regulation, one of the most fundamental strategies for ensuring bank safety and soundness. A clear and coherent discussion of capital regulation and provides up-to-date explanations and simple examples of the complex issues surrounding capital adequacy applicable to banks today. A clear, coherent, and interesting account of the essential nature of the banking firm as a financial intermediary that acts as a payment service provider. Text that addresses issues of compliance and risk management that have become central to the management of banking institutions in the years since the financial crisis. Professors and student will benefit from: Important new contributions from Professor Peter Conti-Brown, a nationally renowned expert in banking policy and history Completely revised and updated to reflect important regulatory initiatives and trends Answers to all problem sets available to adopting professors Focuses on topics from economic, political, and doctrinal point of view Interesting and provocative questions with explanations Extensive use of nontraditional materials and professor-written discussions and explanations Excellent organization and careful editing
Author: United States
Publisher:
ISBN:
Category : Education, Higher
Languages : en
Pages : 432
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Book Description
Author: United States. Superintendent of Documents
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 1402
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Book Description
February issue includes Appendix entitled Directory of United States Government periodicals and subscription publications; September issue includes List of depository libraries; June and December issues include semiannual index
Author:
Publisher:
ISBN:
Category : Money market funds
Languages : en
Pages : 508
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Book Description
