Fundamentals of Securities Regulation

By: Loss, LouisMaterial type: TextTextOriginal language: Spanish Publisher: New York ; Aspen Publishers ; 2008Edition: 5a edDescription: 388 pISBN: 978-0-7355-6677-4Subject(s): Securities regulation | SECLOC classification: KF/1439/L67S/2008
Contents:
Contiene: 1. Of Bubbles and Giants.- 2. State Regulation of Securities.- 3. A Telescopic Preview of the SEC statutes.- 4. The Securities and Exchange Commission.- 5. Distribution Tchniques.- 6. The Basic Prohibitions.- 7. The Registration Procedure| and Study in Administrative Technique.- 8. Contents of the Registration Statement and Proectus.- 9. INternational Offerings.- 10. Coverage of the Securities act of 1933.- 11. Exempted Securities.- 12. Resales of Control and Restricted Securities.- 13. The SECs Functions in Bankrupty.- 14. Registration.- 15. Reporting Requirements.- 16. Proxies.- 17. Tender Offers.- 18. Insider Trading.- 19.Sarbanes-Oxley Act Amendments.- 20. Structure of the Securities Markets.- 21. Securities Associations.- 22. brokerage Commission Rate Regulation.- 23. Broker-Dealer Registration.- 24. Broker-Dealer Substantive Regulation.- 25. Investment Advisers.- 24. Common Law and SEC Fraud.- 25. Issuers and Insiders.- 26. Brokers and Dealers.- 27. Fraud by investment advisers.- 28. Manipulation of the Over-the Counter Market under the SEC Statutes.- 29. Stabilization.- 30. Blue Sky Laws and the Securities Litigation Uniform Standards.- 31. SEC STatutes.- 32. Investment Company Act of 1940.- 33. General Provisions.- 34. Criminal Prosecution.- 35. Judicial Review of SEC Orders.- 36. Securities Lawyers.- 37. Investigation.- 38. Quasijudicial proceedings.- 39.Statutory Remedies.
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KF/1439/L67S/2008 (Browse shelf) Available 00002827

Contiene: 1. Of Bubbles and Giants.- 2. State Regulation of Securities.- 3. A Telescopic Preview of the SEC statutes.- 4. The Securities and Exchange Commission.- 5. Distribution Tchniques.- 6. The Basic Prohibitions.- 7. The Registration Procedure| and Study in Administrative Technique.- 8. Contents of the Registration Statement and Proectus.- 9. INternational Offerings.- 10. Coverage of the Securities act of 1933.- 11. Exempted Securities.- 12. Resales of Control and Restricted Securities.- 13. The SECs Functions in Bankrupty.- 14. Registration.- 15. Reporting Requirements.- 16. Proxies.- 17. Tender Offers.- 18. Insider Trading.- 19.Sarbanes-Oxley Act Amendments.- 20. Structure of the Securities Markets.- 21. Securities Associations.- 22. brokerage Commission Rate Regulation.- 23. Broker-Dealer Registration.- 24. Broker-Dealer Substantive Regulation.- 25. Investment Advisers.- 24. Common Law and SEC Fraud.- 25. Issuers and Insiders.- 26. Brokers and Dealers.- 27. Fraud by investment advisers.- 28. Manipulation of the Over-the Counter Market under the SEC Statutes.- 29. Stabilization.- 30. Blue Sky Laws and the Securities Litigation Uniform Standards.- 31. SEC STatutes.- 32. Investment Company Act of 1940.- 33. General Provisions.- 34. Criminal Prosecution.- 35. Judicial Review of SEC Orders.- 36. Securities Lawyers.- 37. Investigation.- 38. Quasijudicial proceedings.- 39.Statutory Remedies.

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