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Search: subject:"registration statements"
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Misleading statements
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Registration statements
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Securities and Exchange Commission (SEC)
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Financial Sector Assessment Program
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bank account records
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United States; Publication of Financial Sector Assessment Program Documentation: Detailed Assessment of Implementation of the IOSCO Objectives and Principles of Securities Regulation
International Monetary Fund (IMF)
;
International …
-
2010
This paper presents Detailed Assessment of the United States’s implementation of the International Organization of Securities Commissions’ Objectives and Principles of Securities Regulation. The general preconditions for effective securities regulation in the United States are...
Persistent link: https://www.econbiz.de/10011243733
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2
No more bullsh*t : securities opinions after Omnicare
Frumento, Aegis
;
Korenman, Stephanie
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 6-13
Persistent link: https://www.econbiz.de/10011438468
Saved in:
3
No more bullsh*t: securities opinions after Omnicare
Frumento, Aegis
;
Korenman, Stephanie
- In:
Journal of Investment Compliance
16
(
2015
)
4
,
pp. 6-13
decisions and discusses how the case changes the risks of liability for rendering opinions in
registration
statements
, and by …
Persistent link: https://www.econbiz.de/10014893850
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