Download or read book Understanding Securities Law written by Marc I. Steinberg and published by LexisNexis/Matthew Bender. This book was released on 2007 with total page 554 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Federal Securities Law Manual written by and published by . This book was released on 1900 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Federal Securities Law Manual written by and published by . This book was released on 1961 with total page 940 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Law and Practice Deskbook written by Gary M. Brown and published by . This book was released on 2013-01-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations
Download or read book Sorg Federal Securities Law Manual written by United States. Securities and Exchange Commission and published by . This book was released on 1948 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Examples Explanations for Securities Regulation written by Alan R. Palmiter and published by Aspen Publishing. This book was released on 2021-08-10 with total page 772 pages. Available in PDF, EPUB and Kindle. Book excerpt: Informal and student-friendly, this best-selling study guide—also used by Wall Street lawyers and SEC staffers as a reference book—gives an overview of federal securities regulation and illustrates the topic with practical applications. Examples & Explanations: Securities Regulation, Eighth Edition combines clear introductions with examples and explanations that allow students to test their understanding of concepts and practice applying the law to fact patterns—many drawn from actual events in the securities markets. New to the Eighth Edition: Updates on U.S. capital formation in public and private securities markets, with a focus on trends in IPOs, going-private transactions, and private placements New materials on the treatment of “autonomous business” forms and crypto-currencies (including gaming tokens) under the federal securities law Trends in the use of Reg D, Reg A+, and Reg CF over the past several years, given recent amendments to these registration exemptions under the Securities Act of 1933 The timeliness of Section 11 suits under the Securities Act of 1933, as interpreted by the Supreme Court in CALPERS v. ANZ Securities, Inc. (2017) The preemption of state court class actions under the Securities Act of 1933 and the right of defendants to remove such actions to federal court, as interpreted by the Supreme Court in Cyan, Inc. v. Beaver County Employees Retirement Fund (2018) The securities-fraud liability of a securities rep, who disseminated false information provided to him by a superior, as interpreted by the Supreme Court in Lorenzo v. SEC (2019) Lower court application of the “personal benefit” analysis in Salman v. United States (2016) to quid pro quo tips of inside information to family and friends Updates on judicial and SEC enforcement of the federal securities laws—in particular, the use of disgorgement and civil penalties in the sale of nonexempt, unregistered securities The timeliness of disgorgement sanctions in SEC enforcement actions, as interpreted by the Supreme Court in Kokesh v. SEC (2017) The proper appointment of SEC administrative law judges and their authority to impose sanctions in SEC administrative enforcement actions, as interpreted by the Supreme Court in Lucia v. SEC (2018) The availability of Dodd-Frank whistleblower protection to a company executive who reported a possible securities violation within his company but not to the SEC, as interpreted by the Supreme Court in Digital Realty Trust, Inc. v. Somers (2018) The requirement of individualized showings of “domestic transactions” in a securities fraud class action brought against a foreign company whose securities traded on U.S. and foreign markets Professors and students will benefit from: A study guide that introduces students to the subject’s clubbish vocabulary, identifies its important principles, and reveals its layered structure. Chapters in which, after sketching the key concepts of U.S. securities regulation, give students a chance to compare their responses to concrete examples with the book’s detailed explanations. The text includes new and updated charts on: Shareholdings in the US securities markets Capital formation through public and private offerings Actual use of the various registration exemptions The updated examples and explanations include new questions on: “Autonomous business” forms and crypto-currencies Section 11 class actions brought in state court Fraudulent statements “made” by securities professionals Insider trading tips to friends and family Availability of disgorgement sanctions in SEC enforcement actions
Download or read book The Law of Securities Regulation written by Thomas Lee Hazen and published by West Academic Publishing. This book was released on 2006 with total page 986 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Fifth Edition of Professors Hazen's Hornbook has been revised to reflect the SEC's offering reform introduced in late 2005 and also recent Supreme Court developments. Professor Hazen's Hornbook now is totally up to date. The Revised Fifth Edition is a comprehensive secondary source for any course in Securities Regulation. Coverage includes definition of ?security,? registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, civil liabilities. The book also focuses on broker-dealer regulation, market regulation, and the administrative role of the Securities and Exchange Commission. The book also covers the securities law issues such as the proxy rules and insider trading that are covered in basic courses on corporations and business associations. In addition, the Investment Company Act and Investment Advisers Act are also covered making the book suitable for advanced courses in securities regulation as well. The Hornbook contains footnotes to resources that will aid students in further research and also is organized in the same manner as the six volume Practitioner's edition in order to facilitate easy cross reference.
Download or read book The Federal Securities Act written by Hugh Lawrence Sowards and published by . This book was released on 1992 with total page 1876 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book United States Securities Law written by James M. Bartos and published by Kluwer Law International B.V.. This book was released on 2006-01-01 with total page 326 pages. Available in PDF, EPUB and Kindle. Book excerpt: Capital raising, mergers and acquisitions and securities trading around the world often involve some connection with the United States and implicate the US securities laws. United States Securities Law: A Practical Guide ,offers a concise overview of US securities laws from the perspective of a non-US participant. It is written not only for lawyers but for managers, bankers and others with an interest in the topic. This new edition has been significantly updated and expanded, including for the SEC's recent offering reforms and corporate governance developments. Praise for the Second Edition: This book has been a valuable resource in effectively counselling my company in the intricacies of SEC regulation. Jim, with his many years of counselling foreign issuers out of his firms London office, writes with a perspective that is particularly relevant to the needs of foreign companies listed on US exchanges. George Miller, Executive Vice President and General Counsel, Novartis Corporation. A well written and useful primer for those looking for quick, practical answers to real life questions or who wish to understand better the background and rationale to US securities law and regulation. Leland Goss, Managing Director, Credit Suisse. This book really is a practical guide to the US securities laws. It does a great job of explaining the rules and regulations in a way that can be understood by readers that are not themselves US securities lawyers. Peter Castellon, Director andamp; Counsel, Citigroup Corporate andamp; Investment Banking.
Download or read book Federal Securities Law written by Thomas Lee Hazen and published by Administrative Office of the United States Courts. This book was released on 2003-10 with total page 184 pages. Available in PDF, EPUB and Kindle. Book excerpt: Provides an introduction and an overview of the securities laws, the laws having to do with investing and investments. This book does not include the texts of the laws.
Download or read book Rethinking Securities Law written by Marc I. Steinberg and published by Oxford University Press. This book was released on 2021 with total page 361 pages. Available in PDF, EPUB and Kindle. Book excerpt: "This book focuses on a very timely and important subject that merit s comprehensive analysis: "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--
Download or read book Federal Securities Law written by Thomas Lee Hazen and published by . This book was released on 2003 with total page 188 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Federal Securities Law written by Thomas Lee Hazen and published by . This book was released on 2011 with total page 210 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Corporate Finance and the Securities Laws written by Charles J. Johnson and published by . This book was released on 2004 with total page 1154 pages. Available in PDF, EPUB and Kindle. Book excerpt: The highly anticipated Third Edition of Corporate Finance & the Securities Laws is a fully updated version of this classic work by two premier experts in the world of corporate finance. The book explains the legal environment in which capital markets transactions take place as well as explaining the transactions themselves and how professionals can manage the transaction and get it done. Some highlights in the Third Edition are: Underwriting practices the registration and distribution process Private placements Shelf registrations International finance Commercial paper Innovative financial products and asset-backed securities the Third Edition also includes updates on many important developments in corporate finance, including: New standards for IPO allocations the reduced role of analysts in securities offerings driven by reforms separating the interaction of research analysts And The investment bankers who bring in new business an updated look at MD&A (Management Discussion & Analysis) A new chapter focusing on asset-backed securities Sarbanes-Oxley's effects on disclosure requirements and due diligence the growing trend of On-line offerings Dealing with 'gun-jumping' problems Electronic delivery of offering documents New emphasis on financial statement due diligence New NASD corporate financing rule New NASD rule on retention of new issues (formerly the 'hot issue' rule) Exiting the SEC reporting system Innovative financing techniques And The Commodity Futures Modernization Act of 2000 Short sales and equity derivatives Innovations in convertible, exchangeable and equity-linked securities Amended Rule 10b-18 and more
Download or read book Regulation of Securities SEC Answer Book 5th Edition written by Levy and published by Wolters Kluwer. This book was released on 2016-01-01 with total page 1470 pages. Available in PDF, EPUB and Kindle. Book excerpt: Regulation of Securities: SEC Answer Book, Fifth Edition is your complete guide to understanding and complying with the day-to-day requirements of the federal securities laws that affect all public companies. Using a question-and-answer format similar to that which the SEC has embraced, this valuable desk reference provides concise, understandable answers to the most frequently asked compliance questions, and ready access to key statutes, regulations, and court decisions. Designed for both beginners and seasoned professionals, the volume contains approximately 1,400 pages organized in 23 self-contained chapters. Each chapter covers the basics before moving into the nuanced details, meeting the needs of those who seek a general understanding of a topic as well as those grappling directly with critical issues. Twice-yearly supplements keep the book current in this rapidly evolving field. Whether you are a lawyer, accountant, corporate executive, director or investor, you'll be able to quickly find concise answers to essential questions about the Dodd-Frank Act, Exchange Act registration and reporting, executive compensation disclosure, derivatives disclosure, management's discussion and analysis, audit committee responsibilities, Sarbanes-Oxley, electronic filing, interactive financial data, tender offers, proxy solicitations, insider trading, going private transactions, shareholders' rights, SEC investigations, criminal enforcement, securities class actions, and much more!
Download or read book Securities Regulation Selected Statutes Rules and Forms written by Thomas Lee Hazen and published by West Academic Publishing. This book was released on 2014-11-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Selections in the book include the text of basic federal securities laws, related Securities and Exchange Commission (SEC) rules and forms, and other selected related laws and regulations. It is designed as a supplement to securities regulation texts used in law school courses, but it can also serve as a reference for lawyers, securities professionals, and corporate officers. The booklet contains changes made through October 2014.
Download or read book Federal Securities Laws written by JOHN C. COFFEE. SALE JR (HILLARY A.. WHITEHEAD, CHARLES K.) and published by Foundation Press. This book was released on 2019-12-17 with total page 2391 pages. Available in PDF, EPUB and Kindle. Book excerpt: This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. It contains many changes from the prior year's version, including: Amendments to Regulation A; Amendments to Regulation C; Amendments to Regulation S-K; Amendments to Regulation S-T; Amendments to Regulation 14A; Amendments to Regulation M; Amendments to Regulation NMS; New Securities Act Rule 139b and new Investment Company Act Rule 24b-4 regarding publication or distribution of covered investment fund research reports; New Exchange Act Rule 15l-1 regarding broker-dealer obligations when making recommendations to customers; New Exchange Act Subpart 18a regarding capital, margin and segregation requirements for security-based swap dealers and participants; New Investment Company Act Rule 30e-3 allowing online reports to shareholders by registered investment companies; New Rules of Practice Rule 194 regarding security-based swap dealers/participants; Amendments to various forms. This edition has a cutoff date of September 10, 2019.
