Research handbook on securities regulation in the United States
- Massachusetts Edward Elgar Publishing 2014
- 551 p.
Contiene: 1. Overview.- 2. The definition of security under the federal securities laws.- 3. The integrated disclosure system.- 4. Exemptions from 1993 act registration.- 5. The underwriting process and secondary distributions.- 6. Secondary markets.- 7. The rise of risk-based regulatory capital.- 8. Investment adviver regulation.- 9. Corporate governance and the regulations of mergers and acquisitions.- 10. The sarbanes Oxley act of 2002.- 11. Regulation of derivate instruments.- 12. An overview of compliace related issues in broker-dealer regulation.- 13. Fraud, manipulation and other prohibited practices.
978-1-782540069
Regulación de valores
Estados unidos Investigación
KF/1439/R47/2014
Contiene: 1. Overview.- 2. The definition of security under the federal securities laws.- 3. The integrated disclosure system.- 4. Exemptions from 1993 act registration.- 5. The underwriting process and secondary distributions.- 6. Secondary markets.- 7. The rise of risk-based regulatory capital.- 8. Investment adviver regulation.- 9. Corporate governance and the regulations of mergers and acquisitions.- 10. The sarbanes Oxley act of 2002.- 11. Regulation of derivate instruments.- 12. An overview of compliace related issues in broker-dealer regulation.- 13. Fraud, manipulation and other prohibited practices.
978-1-782540069
Regulación de valores
Estados unidos Investigación
KF/1439/R47/2014