'National securities exchange' presentation slideshows

Chapter 2

Chapter 2. Security Markets: Present and Future. The Market Environment. Dramatic Changes: Deregulation and other legal changes Global consolidation and competition Internet online brokerage and Electronic communication networks (ECNs) Real-time quotes. The Market Environment.

566 views • 44 slides

Preventing Whistleblower Claims: Lessons Learned From Another Year of Sarbanes-Oxley

Preventing Whistleblower Claims: Lessons Learned From Another Year of Sarbanes-Oxley. AGG Employment Law Seminar June 10, 2004 Robert F. Dow Arnall Golden Gregory LLP 1201 West Peachtree St., Ste. 2800 Atlanta, Georgia 30309 (404) 873-8706 robert.dow@agg.com.

565 views • 28 slides

Compliant Tokenized Investment instruments

Compliant Tokenized Investment instruments. Tokenized Securities. Private placement exemptions Trading restrictions NO Action letters- TurnKey Jet, Pocketful of Quarters Problems with tokenizing securities Limited trading venues Broker dealers are restricted Buyer confusion

271 views • 27 slides

General Practice, Solo and Small Firms Conference Securities Law In Brief October 21, 2011

367 views • 25 slides

XII. TRADING GONE AWRY

XII. TRADING GONE AWRY. A. Illegal Insider Trading . Unfair capital markets fail to draw capital. Illegal insider trading is traditionally defined as the execution of transactions on the basis of material non-public information.

444 views • 24 slides

10b5-1 Plans

10b5-1 Plans. Marvin S. Swift, Jr. (602) 382-6211 mswift@swlaw.com Jeffrey Beck (602) 382-6316 jbeck@swlaw.com Melissa Sallee (602) 382-6302 msallee@swlaw.com. Rule 10b-5 Insider Trading Liability Employment of Manipulative and Deceptive Devices.

449 views • 17 slides

Basic v. Levinson 1934 Securities

Basic v. Levinson 1934 Securities.

298 views • 12 slides

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?

428 views • 11 slides