Author :
Publisher : DIANE Publishing
Page : 52 pages
File Size : 42,77 MB
Release :
Category :
ISBN : 1428931686
Author : Richard J. Hillman
Publisher : DIANE Publishing
Page : 54 pages
File Size : 28,72 MB
Release : 2005-07
Category : Business & Economics
ISBN : 9780756748265
Author : United States. Congress. House. Committee on the Judiciary. Subcommittee on Commercial and Administrative Law
Publisher :
Page : 108 pages
File Size : 32,80 MB
Release : 2005
Category : Business & Economics
ISBN :
Author : United States. Congress. House. Committee on the Judiciary
Publisher :
Page : 224 pages
File Size : 36,35 MB
Release : 2007
Category :
ISBN :
Author :
Publisher :
Page : 224 pages
File Size : 31,5 MB
Release : 2007
Category :
ISBN :
Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Publisher :
Page : 120 pages
File Size : 34,81 MB
Release : 2005
Category : Business & Economics
ISBN :
Author :
Publisher :
Page : 1112 pages
File Size : 50,12 MB
Release : 2006
Category : Actions and defenses
ISBN :
Author : Angela A. Hung
Publisher : Rand Corporation
Page : 151 pages
File Size : 27,27 MB
Release : 2008-03-12
Category : Law
ISBN : 0833045016
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 :
Page : 64 pages
File Size : 23,1 MB
Release : 1955-04
Category :
ISBN :
The Bulletin of the Atomic Scientists is the premier public resource on scientific and technological developments that impact global security. Founded by Manhattan Project Scientists, the Bulletin's iconic "Doomsday Clock" stimulates solutions for a safer world.
Author : H. David Kotz
Publisher : DIANE Publishing
Page : 477 pages
File Size : 28,98 MB
Release : 2010-03
Category : Biography & Autobiography
ISBN : 1437921868
Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.
