10 ENGLISH BOOKS RELATING TO «SECURITIES ANALYST»
Discover the use of
securities analyst in the following bibliographical selection. Books relating to
securities analyst and brief extracts from same to provide context of its use in English literature.
1
Career Opportunities in Real Estate
A Mortgage-backed Securities Analyst works with sophisticated financial analysis
models to analyze a portfolio of securities and identify the ones offering the best
investment value. The methodology is similar to the financial modeling used in ...
2
United States Code, 1982
may not limit the authority of a broker or dealer to discipline a securities analyst
for causes other than such research report in ac' cordance with the policies and
procedures of the firm: (2) to define periods during which brokers or dealers who
...
United States, United States. Superintendent of Documents, United States. Congress. House. Committee on the Judiciary, 1988
3
Securities Regulation: Examples and Explanations
Finally, the SEC approved changes to the NYSE and NASD rules on securities
analyst conflicts. Exchange Act Rel. No. 48252 (2003). The new SRO rules, like
the global settlement, are designed to make research analysts independent ...
4
Securities Fraud Liability of Secondary Actors
The F Circuit has found that even though a securities analyst may have a conflict
of interest, the plaintiff in a securities fraud case must show that particular
statements in the recommendation were false and misleading when made in
order to ...
Susan D. Sawtelle (au), 2012
5
Fundamentals of
Securities Regulation
... rules reasonably designed to require each securities analyst to disclose in
public appearances, and each registered broker or dealer to disclose in each
research report, as applicable, conflicts of interest that are known or should have
been ...
Louis Loss, Joel Seligman, 2004
6
Valuation of Equity
Securities: History, Theory and Application
This book provides a comprehensive and rigorous treatment of academic and practitioner approaches to equity security valuation.
7
Writing
Securities Research: A Best Practice Guide
The following is an extract from IOSCO's Statement of Principles for Addressing
Sell-Side Securities Analyst Conflicts of Interest. These principles identify the key
areas that an overall oversight system should address, regardless of the specific
...
8
Corporate Finance and the
Securities Laws
... securities analyst and a potential investor,'' or — a securities analyst from
participating in any communications with the management of an EGC that is also
attended by any other employees of the analyst's broker-dealer whose function is
...
9
Comparing European and U.S.
Securities Regulations: MiFID ...
... 2002, rules reasonably designed to require each securities analyst to disclose
in public appearances, and each registered broker or dealer to disclose in each
research report, as applicable, conflicts of interest that are known or should have
...
Tanja Bo_kovi?, Caroline Cerruti, Michel Noël, 2010
10
The Handbook of Municipal Bonds
The SEC may impose civil penalties for violations pursuant to Section 21B(a) of
the 34 Act. Note that the definition of “securities analyst” includes any associated
person of a broker-dealer that is principally responsible for, and any associated ...
Sylvan G. Feldstein, Frank J. Fabozzi, 2011
10 NEWS ITEMS WHICH INCLUDE THE TERM «SECURITIES ANALYST»
Find out what the national and international press are talking about and how the term
securities analyst is used in the context of the following news items.
JMP Securities Revises Estimates on GoPro Inc (GPRO)
On June 23, JMP Securities analyst Alex Gauna weighed in on GoPro Inc (NASDAQ:GPRO) with revised estimates for the company following high demand of ... «Smarter Analyst, Jun 15»
Northland Securities Gives Mid-Quarter Update on Glu Mobile Inc.
Northland Securities analyst Darren Aftahi weighed in with some insights on Glu Mobile Inc. (NASDAQ :GLUU) with a mid-quarter update on the stock. «Smarter Analyst, Jun 15»
Monday's analyst upgrades and downgrades
Inside the Market's roundup of some of today's key analyst actions. ... With a more favourable view of the wireless industry, TD Securities analyst Vince Valentini ... «The Globe and Mail, May 15»
iPhone 6S to be substantial upgrade, analyst predicts
The next iPhone will pack in new features such as Force Touch, but also beef up the memory, processor and camera, says KGI Securities analyst Ming-Chi Kuo. «CNET, May 15»
GoPro Inc (GPRO) Is A 'Category Killer': FBN Securities Analyst
She pointed at the FBN Securities comments on GoPro Inc (NASDAQ:GPRO) ... GoPro spiked after getting analysts' backing, making it The Street's 'Move of the ... «Insider Monkey, Mar 15»
Mizuho Securities Analyst: Apple Watch Is Going To Have Hard …
However, according to Mizuho Securities analyst Abhey Lamba, a lot of good news regarding sales of the iPhone and the Apple Watch are already “baked” into ... «Benzinga, Feb 15»
Apple analysts predict another record quarter for iPhone sales, but …
According to Apple Insider, KGI Securities analyst Ming Chi Kuo -- widely considered to be the most accurate Apple analyst at the moment -- said in an investors ... «Washington Post, Jan 15»
12.9-inch iPad Pro may come with optional stylus – KGI Securities …
More specifically, AppleInsider has obtained a report from KGI Securities analyst Ming-Chi Kuo, indicating that Apple may launch a stylus in the second quarter ... «iTech Post, Jan 15»
Here's Why Mizuho Securities Downgraded Apple Inc. (AAPL) Stock …
In a research note released today, Mizuho Securities analyst Abhey Lamba and his team downgraded Apple Inc. (NASDAQ:AAPL) stock from Buy to Neutral, ... «Bidness ETC, Jan 15»
JMP Securities Analyst On IBM, Oracle Rumored Interest In FireEye …
Speaking to Benzinga, JMP Securities Analyst Erik Suppiger said that while he was not aware of the rumor coming from Dealreporter suggesting that both ... «Benzinga, Dec 14»
