Official List of Section 13(f) Securities
Author :
Publisher :
Page : 150 pages
File Size : 31,40 MB
Release :
Category : Securities
ISBN :
Official List of Section 13(f) Securities
Author :
Publisher :
Page : 148 pages
File Size : 43,88 MB
Release : 1979
Category : Securities
ISBN :
Book Description
EDGAR
Author : United States. Securities and Exchange Commission
Publisher :
Page : 54 pages
File Size : 34,44 MB
Release : 1987
Category : EDGAR (Information retrieval system)
ISBN :
Book Description
Form 13F (Mis)Filings
Author : Anne M. Anderson
Publisher :
Page : 43 pages
File Size : 37,31 MB
Release : 2016
Category :
ISBN :
Book Description
We examine the reliability of Form 13F filings and find significant reporting errors. Using a hand-collected sample of 13F filings by bank holding companies, we show that (1) reported holdings do not always appear on the SEC's Official List, (2) market prices of Official List securities are often inaccurate, and (3) amended 13F reports are sometimes less accurate than the original filings. Overall, our evidence shows that reliance on 13F filings is unwarranted for both private investors and capital markets researchers. One important implication of our findings is that investors using 13F-based (i.e., copycat) trading strategies should exercise extreme caution.
SEC Docket
Author : United States. Securities and Exchange Commission
Publisher :
Page : pages
File Size : 22,76 MB
Release : 1997
Category : Securities
ISBN :
Book Description
Investment Adviser's Legal and Compliance Guide
Author : Terrance J. O'Malley
Publisher : Wolters Kluwer
Page : 714 pages
File Size : 12,93 MB
Release : 2004-01-01
Category : Law
ISBN : 9780735550926
Book Description
Investment Adviser's Legal and Compliance Guide is an invaluable guide written to assist attorneys and advisers in both drafting their policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for
Federal Register
Author :
Publisher :
Page : 836 pages
File Size : 27,37 MB
Release : 1997-07-07
Category : Administrative law
ISBN :
Book Description
Model Rules of Professional Conduct
Author : American Bar Association. House of Delegates
Publisher : American Bar Association
Page : 216 pages
File Size : 50,39 MB
Release : 2007
Category : Law
ISBN : 9781590318737
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.
Review of the SEC's Section 13(f) reporting requirements
Author : United States. Securities and Exchange Commission. Office of Audits
Publisher :
Page : 45 pages
File Size : 19,18 MB
Release : 2010
Category :
ISBN :
Book Description
Guidelines Manual
Author : United States Sentencing Commission
Publisher :
Page : 556 pages
File Size : 26,98 MB
Release : 1988
Category : Criminal justice, Administration of
ISBN :
