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Author: Richard J. Hillman
Publisher: DIANE Publishing
Keywords: sipc, policies, investors, disclose, needed, investor, protection, steps, securities
Number of Pages: 100
Published: 2001-09
ISBN-10: 0756716810
ISBN-13: 9780756716813

Assesses the operations of the Securities Investor Protection Corp. (SIPC), established in 1970. It discusses: (1) the basis for SIPC policies involving unauthorized trading & the extent that these policies are disclosed to investors; (2) the basis for SIPC policies involving the affiliates of SIPC member firms & the extent that these policies are disclosed to investors; (3) the SECs oversight of SIPC; & (4) the disclosure rules for SIPC, the FDIC, & state insurance guarantee associations, as well as the related implications for consumers as the financial services industry consolidates. Includ
5182

Author: Unknown
Publisher: DIANE Publishing
Keywords: sipc, policies, investors, disclose, needed, investor, protection, steps, securities
Number of Pages: 95
Published:
ISBN-10: 1428949429
ISBN-13: 9781428949423
15700
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