Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry
Title | Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry PDF eBook |
Author | United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publisher | |
Pages | 1132 |
Release | 2004 |
Genre | Business & Economics |
ISBN |
Securities Activities of Banks
Title | Securities Activities of Banks PDF eBook |
Author | Melanie L. Fein |
Publisher | Wolters Kluwer |
Pages | 1668 |
Release | 2011-12-20 |
Genre | Law |
ISBN | 1454801247 |
"The Fourth Edition of a leading resource in the field, this valuable practice tool brings you completely up-to-date on the evolving laws governing banks' securities activities - from regulatory changes in the financial markets and administrative reform to recent court decisions and legislative reform, including the recently enacted Sarbanes-Oxley Act of 2002 and the Gramm-Leach-Bliley Act. Here is everything you need to help build a bank's securities business while avoiding compliance pitfalls. Securities Activities of Banks, Fourth Edition provides: In-depth discussions of the securities activities now permissible for banks, bank holding companies, and financial holding companies, Clear explanations of how securities laws affect banks' securities activities, A complete review of how banks are regulated - including foreign banks and affiliates, Up-to-date analysis of the evolution of the banking laws through agency and court decisions. Detailed descriptions and analyses illuminate the full range of current bank securities activities, including investment and trading activities, brokerage activities, investment advice, underwriting, mutual funds, international securities activities, derivative instruments, deposits and loans, fiduciary activities, and more."--Publisher's website.
Legislative Calendar
Title | Legislative Calendar PDF eBook |
Author | United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publisher | |
Pages | 96 |
Release | |
Genre | Banking law |
ISBN |
Legislative Calendar, One Hundred Eighth Congress, 2003-2004
Title | Legislative Calendar, One Hundred Eighth Congress, 2003-2004 PDF eBook |
Author | United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publisher | |
Pages | 96 |
Release | 2005 |
Genre | Legislative calendars |
ISBN |
Banking and Financial Services
Title | Banking and Financial Services PDF eBook |
Author | Melanie L. Fein |
Publisher | Aspen Publishers |
Pages | 1224 |
Release | 2006-04-24 |
Genre | Business & Economics |
ISBN | 0735561486 |
For banks, insurance companies and securities firms preparing to capitalize on the rapidly accelerating trend towards financial services convergence, the possibilities are virtually endless. This book provides coverage of essential financial services regulation. It offers red flags pinpointing regulatory obstacles and pitfalls.
Mississippi Law Journal
Title | Mississippi Law Journal PDF eBook |
Author | |
Publisher | |
Pages | 744 |
Release | 2004 |
Genre | Electronic journals |
ISBN |
Vols. 9- include the Proceedings of the 1st- annual meeting of the Junior Bar Section of the Mississippi State Bar.
Fund Governance: Legal Duties of Investment Company Directors
Title | Fund Governance: Legal Duties of Investment Company Directors PDF eBook |
Author | Robert A. Robertson |
Publisher | Law Journal Press |
Pages | 906 |
Release | 2001 |
Genre | Investment advisors |
ISBN | 9781588521026 |