The Securities Regulatory Handbook : 2000-2001 book cover
2nd Edition

The Securities Regulatory Handbook

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ISBN 9780765606549
Published September 30, 2000 by Routledge
160 Pages

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Book Description

A guide, for financial institutions, to constraints on securities underwriting, brokerage activities, and trading and investments. It provides background and interprets bank securities laws covering underwriting, trading; mutual funds; and derivative products and overseas securities activities.

Table of Contents

1. Overview of Bank Securities Laws  2. Investment and Treasury Activities  3. Overview of Bank Derivatives Activities  4. Brokerage Activities  5. Underwriting and Dealing  6. Merchant Banking  7. Mutual Funds Activities  8. Overseas Securities Activities

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