Download or read book Securities Regulation written by James D. Cox and published by Aspen Publishers. This book was released on 2008-07-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: To ensure that you have the most up-to-date and complete materials for yourSecurities Regulation class, be sure to use this 2008 Case Supplement.Table of Cases:Italics indicate principal cases.American Federation of State, County & Municipal Employees v. AmericanInternational Group, Inc. Berckeley Investment Group, Ltd. v.ColkittChamber of Commerce v. SECCredit Suisse Sec. (USA) LLC v. Glen BillingsDolphin and Bradbury v. SEC Feder v. FrostFinancial Planning Association v. SECGFL Advantage Fund, Ltd. v. ColkittGoldstein v. SECMakor Issues & Rights Ltd. v. Tellabs, Inc. (7th Cir.) Merrill Lynch, Pierce, Fenner & Smith, Inc. v.Dabit Oscar Private Equity Investments v.Allegiance Telecom, Inc. Overton v. Todman & Co.Securities and Exchange Commission v. Kern Securities and Exchange Commission v.RocklageSecurities and Exchange Commission v. DorozhkoStoneridge Inv. Partners, LLC, Petitioner v. Scientific-Atlanta, Inc. Tellabs, Inc. v. Makor Issues & Rights, Ltd. United States v. BrownUnited States v. EbbersUnited States v. SimonYung v. Lee

Download or read book Securities Credit Regulation written by Charles F. Rechlin and published by . This book was released on 2001 with total page 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 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 Securities Regulation in a Nutshell written by Thomas Lee Hazen and published by . This book was released on 2016 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.

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 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 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 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 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 Regulations for the District of Columbia written by United States. Congress. House. Committee on Interstate and Foreign Commerce and published by . This book was released on 1962 with total page 68 pages. Available in PDF, EPUB and Kindle. Book excerpt:

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 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 Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce written by United States and published by . This book was released on 1985 with total page 484 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce written by United States and published by . This book was released on 1995 with total page 802 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Wasting a Crisis written by Paul G. Mahoney and published by University of Chicago Press. This book was released on 2016-11-11 with total page 215 pages. Available in PDF, EPUB and Kindle. Book excerpt: In Securities Regulation Reassessed, Paul Mahoney shows that policy responses to financial crises are broadly similar across place and time: political actors, hoping to avoid blame for a financial crisis, create a narrative of market failure, arguing that misbehavior by securities market participants, rather than prior policy errors, is the primary cause of the crisis. Politically obliged regulators craft reforms that purport to solve problems which are either non-existent or only tangentially related to the crisis; yet they increase the complexity and expense of compliance, resulting in consolidation and concentration of market share in the hands of already leading financial firms. Securities Regulation Reassessed illustrates these points primarily but not exclusively with evidence from the New Deal-era securities reforms in the United States. Against the conventional wisdom that regards the New Deal reforms as successful, Mahoney provides substantial countervailing evidence, showing instead that Congress’s diagnoses were systematically inaccurate and its remedies reduced competition in the securities industry. Looking farther into history, the work treats several key episodes prior to the New Deal, including the English financial crises of 1697 and 1720 and the "blue sky” era of the 1910s and 1920s in the United States. Finally, Mahoney considers the Sarbanes-Oxley Act of 2002 and the Dodd-Frank Act of 2010 from the same analytical perspective. Mahoney finds a predictable pattern for efforts at securities reform: they require huge effort to enact, and yield little objectively measurable payoff and some objectively measurable harm.

Download or read book General Rules and Regulations Under the Securities Exchange Act of 1934 written by United States. Securities and Exchange Commission and published by . This book was released on 1938 with total page 148 pages. Available in PDF, EPUB and Kindle. Book excerpt: