Securities Activities of Banks, Third Edition / Edition 3

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More About This Textbook

Overview

The third edition of a leading resource in the field, this valuable practice tool brings you completely up-to-date on the evolving laws governing banks' securities activities - from regulatory changes in the financial markets and administrative reform to recent court decisions and legislative reform, including the recently enacted Sarbanes-Oxley Act of 2002 and the Gramm-Leach-Bliley Act. Here is everything you need to help build a bank's securities business while avoiding compliance pitfalls. Securities Activities of Banks, Third Edition provides:

  • In-depth discussions of the securities activities now permissible for banks, bank holding companies, and financial holding companies
  • Clear explanations of how securities laws affect banks' securities activities
  • A complete review of how banks are regulated - including foreign banks and affiliates
  • Up-to-date analysis of the evolution of the banking laws through agency and court decisions.
Detailed descriptions and analyses illuminate the full range of current bank securities activities, including investment and trading activities, brokerage activities, investment advice, underwriting, mutual funds, international securities activities, derivative instruments, deposits and loans, fiduciary activities, and more.
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Editorial Reviews

Booknews
This new edition was necessitated by the enactment of the landmark Gramm-Leach-Bliley Act that transformed the regulatory framework for securities activities of banks and their affiliates. Fein (former regulator, now a private practitioner) offers an in-depth analysis of the state of the law on securities activities, once thought to be off-limits to banking institutions. She also provides guidance on the full range of bank securities activities, with meticulous legal analysis and practical commentary on the entire range of securities and investment services that banks and their affiliates can offer. Topics include an overview; the bank and securities regulatory framework; the Glass-Steagall Act; investment advice; brokerage, investment, trading, merchant banking, private placement, mutual fund, fiduciary, deposit and loan, and international securities activities; underwriting and dealing; securitization of assets; and derivative instruments. Material is presented in a three-ring binder. Annotation c. Book News, Inc., Portland, OR (booknews.com)
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Product Details

  • ISBN-13: 9780735518605
  • Publisher: Wolters Kluwer Law & Business
  • Publication date: 12/19/2000
  • Format: Ringbound
  • Edition description: 3RD RING
  • Edition number: 3
  • Pages: 1302

Table of Contents

Contents: Overview--The Evolution of Bank Securities Activities * The Bank Regulatory Structure * Securities Regulatory Framework * The Glass-Steagall Act * Investment and Trading Activities * Brokerage Activities * Investment Advice * Private Placement Activities * Underwriting and Dealing * Mutual Fund Activities * Fiduciary Activities * International Securities Activities * Securitization of Assets * Derivative Instruments: Options, Futures, and Commodity-Related Activities * Deposit and Loan Activities * Joint Activities with Securities Banks * Interlocking Relationships * Index
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