Download or read book Securities Regulation written by James D. Cox and published by Aspen Publishing. This book was released on 2021-10-31 with total page 1408 pages. Available in PDF, EPUB and Kindle. Book excerpt: Buy a new version of this textbook and receive access to the Connected eBook on CasebookConnect, including: lifetime access to the online ebook with highlight, annotation, and search capabilities, plus an outline tool and other helpful resources. Connected eBooks provide what you need most to be successful in your law school classes. Learn more about Connected eBooks. The Tenth Edition of Securities Regulation: Cases and Materials encompasses the sea changes that have recently occurred in the securities laws and capital markets, brought about by both SEC rulemaking and shifts in underwriting practices. The casebook carries forward its long-held standard of providing students with an in-depth, sophisticated, practical look at contemporary securities law. As it has since its first edition, this volume contains a highly teachable mix of problems, cases, and textual material, encouraging students to build their knowledge base by being active problem-solvers. Always forward-thinking, stressing current developments and controversies, the book is also highly modular, so that professors can easily pick and choose how to structure their courses without being locked into any given progression. New to the Tenth Edition: Developments involving cryptocurrencies and coin offerings Commentary on market developments such as issues arising with the retailization of trading markets The SEC’s procedures for direct listings and the regulatory issues surrounding the explosion of SPACs The sweeping November 2020 reforms to the issuer transaction exemptions from registration, and the new standards for evaluating whether offerings will be integrated The Supreme Court’s most recent Goldman Sachs decision addressing fraud on the market Coverage of several developments affecting the SEC’s enforcement powers The SEC’s new rules for proxy advisory services and shareholder proposals Where the law stands today regarding the obligations of broker-dealers in the wake of Regulation Best Interest Professors and students will benefit from: The book’s highly modular organization, enabling different teaching formats and coverage Extensive use of problems that build student awareness of the fundamentals, with directions in the Teacher’s Manual on how best to teach them Concise notes that introduce the reader to both theory and real-life practice issues A book that is always up-to-date and on the cutting edge
Download or read book Securities Regulation written by Louis Loss and published by Aspen Publishers. This book was released on 2009 with total page 820 pages. Available in PDF, EPUB and Kindle. Book excerpt: "The universally acknowledged work Securities Regulation is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes plus thousands of cases, SEC administrative decisions and letters definitively clarifies such questions as: When does a note fall within the definition of a "security" How have the courts altered the express civil liability provisions of the federal securities laws? Can the SEC impose additional ten-day suspensions on trading without notice? Does scienter include reckless as well as intentional conduct? And countless others, so that you're almost sure to find coverage of the "small point" on which your case may turn."--Publisher's website.
Download or read book Securities Regulation written by and published by . This book was released on 1995 with total page 518 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 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 Securities Regulation written by Marc I. Steinberg and published by Law Journal Press. This book was released on 1984 with total page 1220 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
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 Securities Regulation written by James D. Cox and published by . This book was released on 2006 with total page 194 pages. Available in PDF, EPUB and Kindle. Book excerpt: Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more.
Download or read book Securities Regulation written by Marc I. Steinberg and published by . This book was released on 2009 with total page 1088 pages. Available in PDF, EPUB and Kindle. Book excerpt: The coverage of this text is designed for both the basic securities regulation course and for advanced seminars. In addition to case law, the text includes other relevant material such as SEC releases and scholarly commentary. The problem method is used extensively. Securities Regulation covers the traditional issues as well as the developing areas. Subjects that receive extensive treatment include: o Definition of a security, o Exemptions from registration, o The registration process, o Sarbanes-Oxley, o The policy debate underlying disclosure, o Resales (including SEC Rule 144), o Due diligence (including the integrated disclosure framework), o Disclosure obligations in a myriad of contexts, o Regulation of the securities markets, o International securities developments including global offerings, o Remedies and liabilities under both federal and state securities law, o Broker-dealer regulation, o Corporate control transactions and contests, o Attorney professional responsibility, o SEC enforcement, and o "Blue Sky" regulation A Teacher's Manual is available to professors.
Download or read book Securities Regulation Issues written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance and published by . This book was released on 1988 with total page 472 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Regulation written by James D. Cox and published by Wolters Kluwer Law & Business. This book was released on 2013 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The national reputation of the authors, their balance of practice and doctrine, and a highly teachable structure have all made Securities Regulation: Cases and Materials the best-selling text in the field. Applauded for excellent coverage of the 1934 and 1935 Acts, the text remains sophisticated yet not intimidating. Modular chapters adapt to a variety of teaching styles, giving the instructor flexibility in course design. Well-written, interesting problems expose students to theory as well as the practical issues that impact investors. Problems are short for ease of use in the classroom and allow instructors to pick and choose to suit their own classes. The authors publish both an annual statutory and a case supplement. The Seventh Edition pays close attention to the recently-enacted JOBS Act including the SEC's implementation rules. The new edition explores multiple impacts of the Dodd-Frank Act on the scope and content of securities regulations. An expanded description of various financial products pays particular heed to asset-backed securities and derivatives. The new meaning of "primary liability" under Rule 10b-5 after Janus Capital is introduced as are the ongoing developments in the nature and structure of securities markets (dark pools and the aftermath of the "flash crash.") Proxy regulation changes are discussed, asking the question, "Where does shareholder ballot access stand?" New note material appears on the D.C. Circuit's approach to interpreting "efficiency, competition and aggregation of capital" when considering challenges to SEC rule making. Post-Morrison developments in the extraterritorial application of law are included as well as the new strategies pursued in SEC enforcement. Features: national reputation of the authors balance of practice and doctrine experience lends highly teachable structure applauded for excellent coverage of the 1934 and 1935 Acts flexible organization for various teaching styles problem-oriented interesting problems reveal theory as well as practical issues impacting investors short problems for ease of use in the classroom allows instructors to pick-and-choose to suit their own classes readable, straightforward writing--sophisticated but not intimidating annual statutory and case supplement Thoroughly updated, the revised Seventh Edition presents: careful consideration of the recently-enacted JOBS Act, including SEC's implementing rules multiple impacts of the Dodd-Frank Act on the scope and content of securities regulations expanded description of financial products, particularly asset-backed securities and derivatives coverage of the new meaning of "primary liability" under Rule 10b-5 after Janus Capital developments in the nature and structure of securities markets, including dark pools and the aftermath of the "flash crash" proxy regulation changes new note material on D.C. Circuit's interpretation of "efficiency, competition and aggregation of capital" when considering challenges to SEC rule-making Post-Morrison developments in the extraterritorial application of law new strategies pursued in SEC enforcement
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 Research Handbook on Securities Regulation in the United States written by Jerry W. Markham and published by Edward Elgar Publishing. This book was released on 2014-07-31 with total page 563 pages. Available in PDF, EPUB and Kindle. Book excerpt: This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute
Download or read book Modernizing U S Securities Regulation written by Kenneth Lehn and published by Irwin Professional Publishing. This book was released on 1992 with total page 558 pages. Available in PDF, EPUB and Kindle. Book excerpt: New developments in securities markets, particularly in the areas of technology, financial products, and foreign securities markets, are challenging the Securities and Exchange Commission to reconsider its regulatory policies. This book offers detailed prescriptions for effective regulation from experienced regulators and noted scholars in the field. A definitive collection that illustrates how research and expert opinion can help the SEC frame issues and establish objective criteria for evaluating the effectiveness of its policies.
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 International Securities Regulation written by Robert C. Rosen and published by . This book was released on 1986 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Definitive and comprehensive, International Securities Regulation is the first treatise on international securities with translations of laws and regulations of 30 jurisdictions entirely in English. This seven-volume set encompasses the complete range of securities topics, including legal systems, securities regulatory schemes, descriptions of public securities markets, and discussions of those regulations regarding substantive securities matters. Lawyers, regulators, and professionals with first-hand, day-to-day experience have written commentary for each jurisdiction. Commentary focuses on each country's legal system, public securities markets, security regulations and implementations, and recent trends and developments.
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 written by Larry D. Soderquist and published by Foundation Press. This book was released on 2006 with total page 904 pages. Available in PDF, EPUB and Kindle. Book excerpt: The philosophy of this leading casebook is that securities law is tricky, and most students need a straightforward guide through at least some of its aspects. Coverage of the Securities Act of 1933 and the Securities Exchange Act of 1934 is kept separate, and care is taken to distinguish the different perspectives of the planner and the litigator. The authors try to approach the law from the perspective of the student. While professors of securities law may think of recent developments, such as the Sarbanes-Oxley Act of 2002, as add-ons, the text simply presents the law as it is today. Where it is important for students to realize that there has been a change or where there is a new and unresolved issue, however, the Sixth Edition makes that clear.
