Download or read book Principles of Securities Regulation written by Thomas Lee Hazen and published by West Academic Publishing. This book was released on 2009 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Hazen's Principles of Securities Regulation provides authoritative coverage of the most recent developments in securities regulation in an accessible format. Topics include: The registration process Exemptions Corporate recapitalizations, reorganizations, and mergers Market manipulation Liabilities Securities Exchange Act of 1934 Jurisdictional aspects Broker-dealer regulation and the new Financial Industry Regulatory Authority Regulation of investment companies

Download or read book Principles and Practice of Securities Regulations in Singapore written by Hans Tjio and published by . This book was released on 2017 with total page 703 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book The Law of Securities Regulation written by Thomas Lee Hazen and published by West Group Publishing. This book was released on 2002 with total page 1194 pages. Available in PDF, EPUB and Kindle. Book excerpt: "This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.

Download or read book Securities Regulation written by Thomas Lee Hazen and published by American Bar Association. This book was released on 2011 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The book is designed to provide an understanding of the federal securities laws; emphasizing those areas of the law that are likely to be confronted in a general or corporate practice, while giving some coverage to market regulation, broker-dealers, and the regulation of investment companies and investment advisers.

Download or read book Objectives and Principles of Securities Regulation written by International Organization of Securities Commissions and published by . This book was released on 1998 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Spain written by International Monetary Fund and published by International Monetary Fund. This book was released on 2012-06-11 with total page 134 pages. Available in PDF, EPUB and Kindle. Book excerpt: This paper assesses implementation of the International Organization of Securities Commissions' (IOSCO) objectives and principles of securities regulation in Spain. Spain exhibits a high level of implementation of principles. The legal framework is robust and provides the Comisión Nacional de Valores (CNMV) with broad supervisory, investigative, and enforcement powers. Arrangements for off-site monitoring of regulated entities are robust. However, some areas of supervision and enforcement require strengthening. In particular, the CNMV should make more use of on-site inspections for all types of investment service providers.

Download or read book Japan written by International Monetary Fund and published by International Monetary Fund. This book was released on 2012-08-10 with total page 107 pages. Available in PDF, EPUB and Kindle. Book excerpt: This report analyzes the functioning of the legal and regulatory framework for the securities market in Japan. The Financial Services Agency (FSA) enjoyed specific powers with respect to the various security laws and regulations laid down by the International Organization of Securities Commission (IOSCO). The FSA has been authorized to bring about certain changes, to implement new principles, and to develop new frameworks to ensure and strengthen the smooth functioning of supervision and investigation. It is also necessary to identify and assess risks to determine FSA intervention.

Download or read book Securities Regulation written by Alan R. Palmiter and published by . This book was released on 2005 with total page 564 pages. Available in PDF, EPUB and Kindle. Book excerpt: Students depend on Securities Regulation: Examples & Explanations because it gives them what they need: - coverage of key concepts, such as public offerings, exemptions from registration, liability in securities offerings, materiality, definition of security, securities fraud, insider trading, SEC enforcement, and cross-border regulation - Examples and Explanations approach that reinforces learning by combining textual material with well-written examples, questions, and explanations - assistance in navigating a complex subject, beginning with clear delineations of the basic concepts of securities regulation and then applying the concepts in specific areas - numerous examples drawn from newsworthy events - content corresponds to the topics in the leading casebooks - sound and logical organization moves from major themes to specifics - clear and straightforward writing style The Third Edition keeps pace with developments in the law: - Sarbanes-Oxley Act with comprehensive overview and developments, including new problems - new SEC rules on expanded risk disclosure, company certifications, and lawyer up the ladder reporting - new material on IPO abuses: spinning, flipping, gun-jumping - new NYSE and NASDAQ rules on corporate governance listing standards and stock analysts - new and updated cases - new and revised examples

Download or read book Objectives and Principles of Securities Regulation written by International Organisation of Securities Commissions and published by . This book was released on 2002 with total page 116 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Securities Regulation written by Stephen Jung Choi and published by . This book was released on 2008 with total page 856 pages. Available in PDF, EPUB and Kindle. Book excerpt: This casebook seeks to make both securities markets and securities regulation accessible and manageable, helping students to master the basic principles and structure of securities regulation and enabling them to begin their careers as corporate lawyers with confidence.

Download or read book Securities Regulation 2008 written by Larry D. Soderquist and published by Foundation Press. This book was released on 2008-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This is the 2008 Supplement updating the 6th Edition of Soderquist and Gabaldon's Securities Regulation casebook.

Download or read book Russian Federation written by International Monetary Fund. Monetary and Capital Markets Department and published by International Monetary Fund. This book was released on 2016-07-13 with total page 60 pages. Available in PDF, EPUB and Kindle. Book excerpt: This paper presents an assessment of the level of implementation of the IOSCO (International Organization of Securities Commissions) objectives and principles in the Russian Federation. Some of the most recent regulatory changes in the Russian Federation are clearly based on international standards. In other areas, further initiatives will be required. These include conflicts of interest identification and improving standards of management in professional market participants. It will also require the creation of legal gateways which will enable supervisors with the necessary skills sets to provide guidance as to what the Central Bank of the Russian Federation’s (CBR) reasonable expectations are on a range of issues. CBR also faces a major challenge in enforcing the regulatory regime and will need additional resources.

Download or read book Australia written by International Monetary Fund and published by International Monetary Fund. This book was released on 2012-11-21 with total page 153 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Australian legal and regulatory framework for securities markets exhibits a high level of compliance with the International Organization of Securities Commissions (IOSCO) Principles. A few remaining concerns need to be resolved, including some identified in the 2006 assessment. Australian Securities and Investments Commission’s (ASIC) operational independence and sufficiency of resources are overarching concerns which impair its ability to discharge its supervisory functions adequately and effectively across the entire regulated population.

Download or read book Principles of Financial Regulation written by John Armour and published by Oxford University Press. This book was released on 2016 with total page 698 pages. Available in PDF, EPUB and Kindle. Book excerpt: Examining the subject from a holistic and multidisciplinary perspective, Principles of Financial Regulation considers the underlying policies and the objectives of financial regulation.

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 Indonesia written by International Monetary Fund and published by International Monetary Fund. This book was released on 2012-07-18 with total page 69 pages. Available in PDF, EPUB and Kindle. Book excerpt: This paper discusses implementation of the International Organization of Securities Commissions (IOSCO) objectives and principles of securities regulation in Indonesia. The Capital Markets and Financial Institutions Supervisory Agency (BAPEPAM-LK) has taken impressive steps to increase the transparency of regulation and to institute a comprehensive operational program that meets international norms and Indonesia’s understanding of best practices. This paper reveals that the regulatory framework, regulatory powers, and requirements pertaining to the securities regulator are highly transparent. The roles of the regulators and supervisors are also clearly defined.

Download or read book Investment Management Regulation written by Joseph A. Franco and published by . This book was released on 2019-03-13 with total page 684 pages. Available in PDF, EPUB and Kindle. Book excerpt: