A Fiduciary's guide to federal securities laws

Front Cover
The Association, 1994 - Business & Economics - 264 pages
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Essential reading for those who manage trusts or funds that contain securities. Virtually everything one needs to know about registration requirements and compliance guidelines--including how to avoid civil and criminal liabilities--is spelled out in this information-packed resource. Also covered are how to buy, sell and own securities in trust, as well as the problems fiduciaries typically encounter in offering investment or related services.

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Contents

PART
1
Determination by a Fiduciary of Statutory Underwriter
11
Exemptions From Registration
22
Copyright

18 other sections not shown

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