Regulation of Investment Advisers PDF Download
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Author: Thomas P. Lemke
Publisher:
ISBN: 9780314832627
Category : Investment advisors
Languages : en
Pages :
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Book Description
Author: Thomas P. Lemke
Publisher:
ISBN: 9780314832627
Category : Investment advisors
Languages : en
Pages :
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Book Description
Author: Susan M. Phillips
Publisher: MIT Press (MA)
ISBN: 9780262661768
Category : Business & Economics
Languages : en
Pages : 190
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Book Description
An insightful look at the changing role and reputation of the Securities Exchange Commission since its foundation in 1934.
Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
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Book Description
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.
Author: United States
Publisher:
ISBN:
Category : Law
Languages : en
Pages : 1184
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Book Description
"The United States Code is the official codification of the general and permanent laws of the United States of America. The Code was first published in 1926, and a new edition of the code has been published every six years since 1934. The 2012 edition of the Code incorporates laws enacted through the One Hundred Twelfth Congress, Second Session, the last of which was signed by the President on January 15, 2013. It does not include laws of the One Hundred Thirteenth Congress, First Session, enacted between January 2, 2013, the date it convened, and January 15, 2013. By statutory authority this edition may be cited "U.S.C. 2012 ed." As adopted in 1926, the Code established prima facie the general and permanent laws of the United States. The underlying statutes reprinted in the Code remained in effect and controlled over the Code in case of any discrepancy. In 1947, Congress began enacting individual titles of the Code into positive law. When a title is enacted into positive law, the underlying statutes are repealed and the title then becomes legal evidence of the law. Currently, 26 of the 51 titles in the Code have been so enacted. These are identified in the table of titles near the beginning of each volume. The Law Revision Counsel of the House of Representatives continues to prepare legislation pursuant to 2 U.S.C. 285b to enact the remainder of the Code, on a title-by-title basis, into positive law. The 2012 edition of the Code was prepared and published under the supervision of Ralph V. Seep, Law Revision Counsel. Grateful acknowledgment is made of the contributions by all who helped in this work, particularly the staffs of the Office of the Law Revision Counsel and the Government Printing Office"--Preface.
Author: Beth Haddock
Publisher:
ISBN: 9781599329451
Category : Business & Economics
Languages : en
Pages : 0
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Book Description
Classic Compliance Meets Conscious Compliance "A must-read for compliance professionals. Eight strategies for success at every level with the added benefit of strengthening the culture and value of the compliance profession." LISA CROSSLEY, EXECUTIVE DIRECTOR, THE NATIONAL SOCIETY OF COMPLIANCE PROFESSIONALS Collectively, Compliance officers protect our economy by increasing market transparency and guarding customer interests. Individually, they can stabilize, propel, or even enable the downfall of the organization that employs them. What power Yet Compliance officers face a host of issues limiting their influence. There is a narrow perception of the value of Compliance to an organization, and a misunderstanding of the inherent conflicts of interest Compliance officers wrestle with daily. Triple Bottom-Line Compliance shows you--the Compliance officer--how to deliver protection, productivity, and impact in your organization. It shares strategies for delivering a new type of Compliance system that not only defends and protects an organization, but also proactively helps it perform better. A Compliance officer is not just protecting the organization and mitigating regulatory risk as a gatekeeper, but is also helping the organization realize its full value--whether it's measured in profitability, growth, stability, credibility, or fulfillment of its mission. In this book, author Beth Haddock will teach you how to focus on business interests, behavioral incentives, and the importance of relationships in order to both sustain and grow and your organization.
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 974
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Book Description
Author:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
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Book Description
Author: MIRANDE. DE ASSIS VALBRUNE (RENEE. CARDELL, SUZANNE.)
Publisher:
ISBN: 9781680923025
Category :
Languages : en
Pages : 180
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Book Description
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: Marc I. Steinberg
Publisher:
ISBN: 9781946074249
Category : Insider trading in securities
Languages : en
Pages : 0
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Book Description
This experiential book focuses on the Securities and Exchange Commission's (SEC) enforcement action charging Mr. Mark Cuban with illegal insider trading. Mr. Cuban is a well-respected entrepreneur, businessman and investor whose ownership interests include the National Basketball Association s (NBA) Dallas Mavericks. Mr. Cuban also is one of the principal investors on the reality television program Shark Tank. His net worth is valued in the billions of dollars. The author (Marc I. Steinberg) was retained as an expert witness in this case on Mr. Cuban's behalf. Professor Steinberg therefore had the opportunity to experience this litigation from the playing field rather than as a spectator. These insights enhance the book's substance and vitality. In captivating fashion, the book presents key documents, testimony, and insights from the start of the SEC's investigation of Mr. Cuban's trading of Mamma.com stock through the end of trial with the jury exonerating him. This saga lasting five years was at a high cost for the government and Mr. Cuban. In his successful defense, Mr. Cuban reportedly spent $12 million in legal fees in defeating the government's charge that he was a fraudster. For the SEC, after years of vigorous pursuit with less than a formidable case, it incurred a significant defeat. In the end, when Mr. Cuban emerged victorious and the government packed its bags, questions are raised as to strategic decisions made, the high costs of defending one's good name, the limits of government prosecutorial discretion, and the breadth of our insider trading laws. This book focuses on this intriguing litigation, drawing the reader's attention as the story unfolds.
Author: James D. Cox
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 194
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Book Description
Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more.
