Download or read book U S Securities Regulation and the Use of the Internet in Registered Offerings written by Joseph J. Norton and published by . This book was released on 2016 with total page 30 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article raises the question of whether the United States should continue primarily to rely on its existing securities law framework, or whether it needs a radically different framework when dealing with Internet-related securities issues. With this basic question in mind, the authors explore how the SEC has handled the rise of the Internet, and whether there truly is a need for new rules, regulations, or even legislation. After describing the basic principles of U.S. securities regulation, the authors consider what the Internet/electronic media is, and to what it enables its users. The article then addresses certain aspects regarding how the electronic media has affected registered stock offerings, and how the SEC has been addressing this new use. The authors conclude with a look at how the SEC's Division of Enforcement approaches fraud and the Internet.

Download or read book US Securities Regulation and the Use of the Internet in Registered Offerings written by Joseph J and Hansjorg J O Heppe Norton and published by . This book was released on 2002 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Securities Regulations written by Alan R. Palmiter and published by Aspen Publishers. This book was released on 1998 with total page 454 pages. Available in PDF, EPUB and Kindle. Book excerpt: Noted author Alan Palmiter sends a lifeboat to students of Securities Regulation in this carefully-crafted study guide. In the highly-regarded style of the Examples & Explanations Series that instructors know they can trust, Palmiter provides textual overviews of the key concepts of the course, followed by examples to test student understanding, and suggested answers To The examples. SECURITIES REGULATION: Examples and Explanations opens with an overview of Securities Markets and Regulation And The Definition of a Security, followed by coverage of: Materiality Registration of Securities Offerings Exemptions from Securities Act Registration Securities Act Liability Secondary and other Post-Offering Distributions Securities Exchange Act of 1934 Rule 10b-5 Insider Trading SEC Enforcement Palmiter also covers topics that sometimes receive cursory attention in class but are important on exams and in practice: Regulation of Securities Professionals U.S. Regulation of Cross-Border Securities Transactions Many of the examples and explanations in the book are drawn from newsworthy events, such as: the initial public offering of Microsoft in 1986 the recent emergence of internet trading a famous securities fraud case that bounced its way To The Supreme Court on a number of occasions With its timely examples, illuminating text, and proven effective format, SECURITIES REGULATION: Examples and Explanations makes it easier for students to learn -- and instructors to teach -- this important but difficult subject.

Download or read book Securities Regulation in Cyberspace written by Howard M. Friedman and published by Aspen Publishers. This book was released on 1998 with total page 1066 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Securities Law and the Internet written by and published by . This book was released on 1999 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book U S Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book U S Regulation of the International Securities and Derivatives Markets 12th Edition written by Greene et al. and published by Wolters Kluwer. This book was released on 2017-05-17 with total page 1680 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Regulation of Securities on the Internet written by Charlotte Roederer and published by Aspen Publishers. This book was released on 2001 with total page 1048 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book PLI s Annual Institute on Securities Regulation in Europe written by and published by . This book was released on 2001 with total page 1368 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Securities Regulation in Cyberspace Third Edition written by and published by Wolters Kluwer. This book was released on with total page 1034 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Annual Institute on Securities Regulation written by and published by . This book was released on 2000 with total page 952 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Securities Regulation written by James D. Cox and published by Aspen Publishers. This book was released on 2000-05-25 with total page 164 pages. Available in PDF, EPUB and Kindle. Book excerpt: Instructors who use the 2000 Supplement to SECURITIES REGULATION: Cases and Materials, Second Edition, will be able to address recent changes and keep their materials completely up-to-date. Suitable for use with any casebook, this paperback resource supplies the most recent cases and materials, plus all-new information on: -the proposals (aircraft carrier) to reform the procedures For The conduct of the public offering of securities, including its proposed regulation MA that liberalizes communications that can occur prior To The filing of registration statements -SEC's release on reforming the capital raising process -major, current cases including US v. Smith and SEC v. Adler Of course, Cox, Hillman, and Langevoort's 2000 Supplement to SECURITIES REGULATION is ideal for use with their popular, problem-oriented casebook. Their complete teaching package includes a thoroughly useful Teacher's Manual. When your course examines the Securities Act or the Securities Exchange Act - in any level of depth and detail - you can count on this distinguished author team for both quality and currency.

Download or read book Securities Offerings written by and published by . This book was released on 2001 with total page 648 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Securities Law the Internet written by and published by . This book was released on 2001 with total page 1112 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book The Internet Age written by and published by . This book was released on 2000 with total page 394 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Securities Regulation written by Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2017-08-08 with total page 30 pages. Available in PDF, EPUB and Kindle. Book excerpt: " Businesses seeking to use public offerings of securities to raise capital must comply with federal and state securities laws. Businesses must register offerings with SEC unless they qualify for an exemption. Regulation A exempts a securities offering that does not exceed $5 million from SEC registration if certain requirements are met. However, businesses still must file an offering statement that includes an offering circular and financial statements with SEC, and SEC staff review filings for consistency with applicable rules and accounting standards. In addition, Regulation A does not exempt offerings from states' registration requirements, which are also intended to protect investors. Concerned about the decline in the number of public offerings, the JOBS Act requires SEC to amend Regulation A (or to adopt a new regulation) to raise the threshold for use of that registration exemption from $5 million to $50 million, and requires GAO to study the impact of state securities laws on Regulation A offerings. This report examines (1) trends in Regulation A filings, (2) how states register Regulation A filings, and, (3) factors affecting the number of Regulation A filings and how the number of filings may change in the future. GAO analyzed SEC data related to financial regulatory filings, reviewed published research, and interviewed academics, SEC staff, state securities regulators, and small businesses. SEC and NASAA provided technical comments on a draft copy of this report, which GAO incorporated"

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