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Regulatory & Compliance
After the Trade is Made: Processing Securities Transactions
David Weiss
The best treatment of operations.
Managing Marketeers: Supervisory Responsibilities of Broker-Dealers and Investment Advisors
Ralph Ferrara, Phillip Parker and Colby Smith
A must for every securities lawyer and compliance officer, examining enforcement actions, securities rules and regulations and other pronouncements.
The Transformation of Wall Street
Joel Seligman
A captivating history lesson of the political battles and issues that has shaped the SEC and securities regulation.
The Unseen Wall Street of 1969-1975:
And Its Significance for Today
Alec Benn
Long-time financial ad agency president Alec Benn offers a unique, first hand look at America's investment community, at a time of changes so profound that their impact, implications, and significance are still with us. Based on frank, revealing talks with people who participated in those events, on official oral histories (some now unavailable), and on his own well-informed observations, Benn reveals how The New York Stock Exchange nearly collapsed, and how changes that most affect investors today really came about. He provides rare insights into historical figures, such as Ross Perot and Richard Nixon, and their impact on events, and into others who caused, influenced, and sometimes opposed reforms we are still benefitting from. Informative, entertaining, and impeccably researched, Benn's book provides new information to evaluate the investment world today and to appreciate how dangerous it was at another time, a time that some say appears uncomfortably familiar. (Review by Amazon.com)
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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment advisor when building and protecting your wealth.
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