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Want To Learn How Other Investors Are Taking Advantage Of The Ever Increasing Foreclosures Happening Across The Country? Most experienced investors have been waiting patiently for this time to arrive.
Charles J. Johnson (Jr.),Joseph McLaughlin,Anna T. Pinedo
Author : Charles J. Johnson (Jr.),Joseph McLaughlin,Anna T. Pinedo Publisher : Wolters Kluwer Law & Business Page : 1728 pages File Size : 50,9 Mb Release : 2024-06-15 Category : Corporations ISBN : 9781543881806
Abuse of Structured Financial Products by United States. Congress. Senate. Committee on Homeland Security and Governmental Affairs. Permanent Subcommittee on Investigations Pdf
Broker-dealer Law and Regulation by Norman S. Poser Pdf
From duties under the common law to obligations imposed by the federal securities statutes, The new Second Edition of BROKER-DEALER LAW AND REGULATION covers the full range of the law that protects the relationship between broker-dealers and their customers. This recent update includes not only private rights of action, but also securities arbitration and mediation. Whether you represent a brokerage firm or securities dealer, An employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as 'Churning' customers' accounts Unsuitable recommendations Unauthorized trading Market manipulation Vicarious liability Defenses that may be asserted against broker-dealers Compensatory and punitive damages Liability of controlling persons Rules of self-regulatory organizations Securities arbitration Mediation of securities disputes Conflicts of interest Appendices containing both the Federal Arbitration Act And The NASD Code of Arbitration Procedure BROKER-DEALER LAW AND REGULATION is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.
A one-of-a-kind book that shows you how to cash in on the latestinvesting trend--short selling "The Art of Short Selling is the best description of this difficulttechnique."--John Train, Train, Thomas, Smith Investment Counsel,and author of The New Money Masters "Kathryn Staley has done a masterful job explaining the highlyspecialized art of short selling. Her approach to telling the truestories of famous investment 'scams' will keep the readerspellbound, while teaching the investor many cruciallessons."--David W. Tice, Portfolio Manager, Prudent BearFund "Selling short is still a misunderstood discipline, but even themost raging bull needs to know this valuable technique to masterthe ever-changing markets."--Jim Rogers, author, InvestmentBiker On the investment playing field, there is perhaps no game moreexciting than short selling. With the right moves, it can yieldhigh returns; one misstep, however, can have disastrousconsequences. Despite the risk, a growing number of players areanteing up, sparked in part by success stories such as that ofGeorge Soros and the billions he netted by short selling theBritish pound. In The Art of Short Selling, Kathryn Staley, anexpert in the field, examines the essentials of this importantinvestment vehicle, providing a comprehensive game plan with whichyou can effectively play--and win--the short selling game. Whether used as a means of hedging bets, decreasing the volatilityof total returns, or improving returns, short selling must behandled with care--and with the right know-how. As Staley pointsout, "Short selling is not for the faint of heart. If a stock movesagainst the position holder, the effect on a portfolio and networth can be devastating. Investors need to understand the impacton their accounts as well as the consequences of getting bought inbefore they indulge in short selling." The Art of Short Sellingguides you--clearly and concisely--through the ins and outs of thishigh-risk, high-stakes game. The first--and most important--move in selling short is to identifyflaws in a business before its share prices drop. To help youtackle this key step, Staley shows you how to evaluate companyfinancial statements and balance sheets, make sense of returnratios, detect inconsistencies in inventory, and analyze thestatement of cash flows. Through real-world examples thatillustrate the shorting of bubble, high multiple growth, and themestocks, you'll proceed step by step through the complete processand learn to carry out all the essentials for a successful shortsell, including quantifying the risk factor and orchestratingcorrect timing, as well as implementing advanced valuationtechniques to execute the sell/buy. Packed with landmark, cutting-edge examples, up-to-the-minuteguidelines, and pertinent regulations, The Art of Short Selling isa timely and comprehensive reference that arms you with thenecessary tools to make a prepared and confident entrance onto theshort selling playing field.
Corporate Finance and the Securities Laws, 6th Edition by Johnson, McLaughlin, and Haueter Pdf
Corporate Finance and the Securities Laws has been winning over practitioners with its clear "how to do it" approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Sixth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace. Written in plain English by two top experts in the field - each with literally hundreds of successful deals under his belt, Corporate Finance and the Securities Laws is the "go to" resource which explains the mechanics of corporate finance together with the statutes that govern each type of deal. You'll receive expert corporate finance analysis, procedural guidance, and practical securities law pointers every step of the way to help you Structure all types of corporate finance deals - from public, private, and offshore offerings to corporate debt restructurings, commercial paper programs, raising capital, and asset-based securities transactions Root out problems before corporate finance deals are put in motion, with heads-up input on securities law prohibited practices, potential liabilities, conflicts of interest, due diligence concerns, and other red-flag issues Shepherd transactions through the corporate finance regulatory process with a clear understanding of applicable statutes and their implications in real-life situations Know what to do when securities law problems crop up - and find clear answers to the countless questions that develop in the course of a corporate finance deal Close deals, raising capital in a timely manner and work shoulder to shoulder with clients to accomplish your corporate finance objectives