The Securities Regulatory Handbook

This handbook guides financial institutions around the constraints on securities underwriting, brokerage activities, and trading and investments. It provides both the statutory background and recent interpretation of bank securities covering underwriting, trading and dealing.

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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.