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Author: DIANE Publishing Company
Publisher: DIANE Publishing
Keywords: investors, unscrupulous, brokers, protect, needed, markets, actions, securities
Number of Pages: 56
Published: 1995-07-01
ISBN-10: 0788118587
ISBN-13: 9780788118586

Reviews the oversight & disciplinary actions of the Securities & Exchange Commission (SEC) & several of the securities industry's self regulatory organizations (SRO) against unscrupulous brokers - individuals licensed to sell securities who have committed a significant breach of sales practice rules or have a history of repeated sales practice violations.

Author: OECD
Publisher: OECD Publishing
Keywords: eurasia, markets, securities
Number of Pages: 138
Published: 2005-11-21
ISBN-10: 9264012230
ISBN-13: 9789264012233

Part I. Analytical ReportChapter 1. Summary of the OECD Conference on Financial Sector Development in the Central Asian CountriesChapter 2. Potential for Securities Markets in the Central Asian Countries, Azerbaijan and Mongolia by Shigehiro ShinozakiChapter 3. Financial Markets and Institutional Investors in Central Asia by Toshiharu Kitamura Part II. Country StudiesChapter 4. Securities Marktes in the Republic of Azerbaijan by gunduz MammadovChapter 5. Supervision of the Securities Market in the Republic of Kazakhstan by Gulmira KapenovaChapter 6. The Further Development and Reliable Operat

Author: Thomas J. McCool
Publisher: DIANE Publishing
Keywords: problem, unpaid, awards, address, needed, arbitration, actions, securities
Number of Pages: 86
Published: 2000-09
ISBN-10: 0756703808
ISBN-13: 9780756703806

Evaluates issues relating to the arbitration process in the securities industry. It discusses: (1) whether arbitration forums had implemented recommendations made in the 1992 GAO report, Securities Arbitration: How Investors Fare, & assessed the effectiveness of the changes; (2) how investors fared in securities arbitration award decisions; & (3) the extent to which investors were paid the amounts awarded by arbitration panels. The report includes recommendations to the Chairman, U.S. Securities & Exchange Commission, regarding regulatory actions to address the problem of unpaid arbitration aw

Author: George Canellos
Publisher: DIANE Publishing
Keywords: securities, litigation, complaint, commission, exchange, corp, cohmad
Number of Pages: 58
ISBN-10: 1457811804
ISBN-13: 9781457811807

Author: James K. Jackson
Publisher: DIANE Publishing
Keywords: securities, investment, foreign
Number of Pages: 27
Published: 2010-10
ISBN-10: 1437927432
ISBN-13: 9781437927436

Foreign capital inflows are playing an important role in the U.S. economy by bridging the gap between domestic supplies of and demand for capital. Foreign investors now hold more than 50% of the publicly held and traded U.S. Treasury securities. The large foreign accumulation of U.S. Securities (USS) increases the risk of a financial crisis, whether as a result of the uncoordinated actions of market participants or by a coordinated withdrawal from U.S. financial markets by foreign investors. Contents of this report: Capital Flows in the Economy, and the Dollar; Purchases and Sales of USS by Fo

Author: James Clarkson
Publisher: DIANE Publishing
Keywords: securities, inc, exchange, litigation, complaint, commission, scott, becker, gregory, schaefer, dillon, gary
Number of Pages: 22
ISBN-10: 1457809109
ISBN-13: 9781457809101

Author: William Hicks
Publisher: DIANE Publishing
Keywords: securities, exchange, commission, complaint, atkins, litigation, michael, llc, patrick, martin, landoak
Number of Pages: 17
ISBN-10: 1457806622
ISBN-13: 9781457806629
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