The securities regulatory handbook
Author(s)
Bibliographic Information
The securities regulatory handbook
（The PriceWaterhouseCoopers regulatory handbook series）
M.E. Sharpe, 1999-
- 1998-1999 ed
- 2001-2002 ed
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Description and Table of Contents
- Volume
-
1998-1999 ed ISBN 9780765602695
Description
Rapid changes are occurring in the rules governing banking securities activities. This volume guides financial institutions around the constraints on securities underwriting, brokerage activities, and trading and investments. It provides both the statutory background and the current interpretation of bank securities laws coveting underwriting, trading and dealing; mutual funds; derivative products, and overseas securities activities.
- Volume
-
2001-2002 ed ISBN 9780765606549
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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