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Resales of Restricted Securities
  • Language: en

Resales of Restricted Securities

  • Type: Book
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  • Published: 2001
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  • Publisher: Unknown

None

Securities Finance
  • Language: en
  • Pages: 351

Securities Finance

In Securities Finance, editors Frank Fabozzi and Steven Mann assemble a group of prominent practitioners in the securities finance industry to provide readers with an enhanced understanding of the various arrangements in the securities finance market. Divided into three comprehensive parts—Securities Lending, Bond Financing via the Repo Market, and Equity Financing Alternatives to Securities Lending—this book covers a wide range of securities finance issues, including alternative routes to the securities lending market, evaluating risks in securities lending transactions, U.S. and European repo markets, dollar rolls and their impact on MBS valuation and strategies, derivatives for financing equity positions and equity repos, and more. Filled with in-depth insight and expert advice, Securities Finance contains the information readers need to succeed in this rapidly expanding market.

The Securities Regulatory Handbook
  • Language: en
  • Pages: 144

The Securities Regulatory Handbook

  • Type: Book
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  • Published: 2001
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  • Publisher: M.E. Sharpe

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.

Securities Firms
  • Language: en
  • Pages: 93

Securities Firms

Examines the issues associated with the regulatory structure for overseeing the domestic and foreign affiliates of U.S. broker-dealers. Recommends that the SEC use its new authority under the Market Reform Act of 1990 to obtain information to evaluate the risks about unregulated financial activities of the affiliated and holding companies of U.S. securities firms and to determine the need for any further regulation of them. Graphs and charts.

Fixed Income Securities
  • Language: en
  • Pages: 480

Fixed Income Securities

A Comprehensive Guide to All Aspects of Fixed IncomeSecurities Fixed Income Securities, Second Edition sets thestandard for a concise, complete explanation of the dynamics andopportunities inherent in today's fixed income marketplace. FrankFabozzi combines all the various aspects of the fixed incomemarket, including valuation, the interest rates of riskmeasurement, portfolio factors, and qualities of individualsectors, into an all-inclusive text with one cohesive voice. This comprehensive guide provides complete coverage of the widerange of fixed income securities, including: U.S. Treasury securities Agencies Municipal securities Asset-backed securities Corporate and international bonds Mort...

Securities Regulation
  • Language: en
  • Pages: 584

Securities Regulation

  • Categories: Law

Bringing transparency to a sometimes opaque subject, Alan R. Palmiter uses straightforward introductions and the proven-effective Examples & Explanations pedagogy to provide a clear and complete overview of federal securities regulation topics. Now in its Fourth Edition, this trusted Examples & Explanations title supplies: coverage of the key concepts of securities regulation, including: public offerings exemptions from registration liability in securities offerings materiality securities fraud, insider trading, SEC enforcement, and cross-border regulation the proven-effective Examples & Explanations pedagogy that combines straightforward introductions with well-written examples and explanat...

The Securities Enforcement Manual
  • Language: en
  • Pages: 746

The Securities Enforcement Manual

  • Categories: Law

Previous edition, 1997, was edited by Richard M. Phillips, and referred to "Kirkpatrick & Lockhart LLP" on title page.

Sale of Foreign Bonds Or Securities in the United States
  • Language: en
Floating-Rate Securities
  • Language: en
  • Pages: 233

Floating-Rate Securities

Floating-Rate Securities is the only complete resource on "floaters" that fills the information void surrounding these complex securities. It explains the basics of floating rate securities, how to value them, techniques to compute spread measures for relative value analysis, and much more.

Integration of the Securities Market Infrastructure in the European Union: Policy and Regulatory Issues
  • Language: en
  • Pages: 27

Integration of the Securities Market Infrastructure in the European Union: Policy and Regulatory Issues

This paper examines the impact of ongoing cross-border integration of securities market infrastructure in the European Union. In particular, it analyzes the regulatory framework that has evolved to deal with the risks associated with cross-border clearing and settlement and concludes that, due to institutionalized deficiencies, the current cross-border regulatory framework may not be adequate or effective in addressing and preventing a real cross-border crisis. The paper proposes a two-tier regulatory framework for securities infrastructure in Europe entailing the creation of a centralized "federal" European regulatory framework for regional systems, in addition to the current national regulatory framework for domestic systems.