'Sec regulation' diaporamas de présentation

Chapter 24 Investor Protection

Chapter 24 Investor Protection. Chapter Objectives. 1. Define what is meant by the term securities . 2. Describe the purpose and provisions of the Securities Act of 1933. 3. Explain the purpose and provisions of the Securities Exchange Act of 1934.

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The Geithner Proposal David H. Lui Chief Compliance Officer

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Mutual Funds and Other Investment Companies

Mutual Funds and Other Investment Companies. P.V. Viswanath For a First Course in INvestments. Learning Goals. What are investment companies? What are the different kinds of investment companies? What are the different kinds of mutual funds? How are they sold?

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and the financial crisis

Manuela Eburi Marissa Saleman. and the financial crisis. Fannie Mae. The Federal National Mortgage Association FNMA Established in 1938 Was converted into a private shareholder-owned corporation in 1968 Held mortgages it bought from mortgage banks. Freddie Mac.

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Coleman (Parent) Holdings, Inc. v. Morgan Stanley & Co., Inc.

Coleman (Parent) Holdings, Inc. v. Morgan Stanley & Co., Inc. Not Reported in So.2d, 2005 WL 679071 (Fla.Cir.Ct.) Ediscovery, Fall 2010 Francis Eiden. Plaintiff : Coleman (Parent) Holdings, Inc. Defendant : Morgan Stanley & Co., Inc. Financial Advisor to Sunbeam Corporation. Parties.

185 views • 8 slides