Download or read book SEC Compliance and Enforcement Answer Book 2015 written by David M. Stuart and published by . This book was released on 2015-08-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
Download or read book SEC Enforcement of Insider Trading Regulations written by James Fanto and published by . This book was released on 2011 with total page 22 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Regulation written by United States. General Accounting Office and published by . This book was released on 1988 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Enforcement Manual written by United States. Securities and Exchange Commission. Division of Enforcement and published by . This book was released on 2008 with total page 144 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Insider Trading Sanctions and SEC Enforcement Legislation written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1983 with total page 324 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Exchange Act of 1934 Release written by United States. Securities and Exchange Commission and published by . This book was released on 1962 with total page 868 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Insider Knowledge written by Carl H. Loewenson and published by ABA Criminal Justice Section. This book was released on 2016-11 with total page 201 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book U S Insider Trading Law Enforcement written by Chien-Chung Lin and published by . This book was released on 2017 with total page 43 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article surveys insider trading enforcement actions brought by the Securities and Exchange Commission (SEC) in the United States in the five-year period from 2009 to 2013. We first introduce the legal framework in which securities laws are enforced in the United States and then focus our analysis on the empirical data of insider trading cases collected from the SEC's news releases and its website. By categorizing actions surveyed, information about types of defendants, types of information used, illicit gain, case results, settlement, and subsequent criminal prosecutions brought by the Department of Justice are revealed and a more complete picture of the enforcement of insider trading law in the U.S is thus provided.Accordingly, this survey offers needed factual understandings to tackle several core issues in the U.S. securities law enforcement: the reason why the SEC is taking such a prime position in securities law enforcement, the phenomenon of extensive use of settlements and their decision process, and the advantages as well as problems brought by the current approach.
Download or read book Insider Trading written by Donald C. Langevoort and published by . This book was released on 1991 with total page 676 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Securities Enforcement Manual written by Nicole A. Baker and published by American Bar Association. This book was released on 2007 with total page 774 pages. Available in PDF, EPUB and Kindle. Book excerpt: This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
Download or read book Problems with the SEC s Enforcement of U S Securities Laws in Cases Involving Suspicious Trades Originating from Abroad written by United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee and published by . This book was released on 1988 with total page 662 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 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 The SEC s Neglected Weapon written by Marc I. Steinberg and published by . This book was released on 2018 with total page 45 pages. Available in PDF, EPUB and Kindle. Book excerpt: Section 17(a)(3) has been widely neglected as a weapon in the Securities and Exchange Commission's (SEC) arsenal against insider trading. Section 17(a)(3) carries the potential of providing the SEC with an advantage that is not afforded by Section 10(b), Rule 10b-5, or Rule 14e-3 -- the authority to prosecute insider trading claims premised on the lesser mental state of negligence, thus casting a wider net to enforce insider trading regulations against a new category of defendants -- negligent inside traders as well as negligent tippers and tippees. Currently, when pursuing insider trading violations, the Securities and Exchange Commission (SEC) primarily relies on the authority granted by Section 10(b) and the corresponding Rule 10b-5. Although these provisions have become the standard in prosecuting insider trading enforcement actions, the level of culpability that the SEC must prove under these provisions is rigorous and has created a void in the spectrum of liability for insider trading causes of action. The objective of this article is to propose a method that will allow regulators to bridge the gap that currently exists in the context of insider trading liability, and to discuss how the SEC's task of proving liability would be significantly lessened (and presumably more successful) if it could pursue insider trading claims that require proof of a lesser mental state. In order to accomplish this task, this article addresses: 1) the potential untapped resource of Section 17(a)(3) with respect to SEC enforcement of insider trading abuse; 2) the theoretical concept of negligent insider trading; and 3) the manner in which to remedy this disparate treatment -- namely, a legislative amendment to Section 17(a)(3) that will broaden the scope of this statute to apply to negligent sellers as well as negligent purchasers.
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 Securities Law written by Stephen M. Bainbridge and published by . This book was released on 2007 with total page 228 pages. Available in PDF, EPUB and Kindle. Book excerpt: Presenting the history, richness, and texture of important areas of law, this text illustrates the development of securities/insider trading law, with selected cases and in-depth explanations. Insider trading is a central topic in most corporations, business association, and securities regulation classes. For many corporate law students, insider trading is their principal introduction to federal securities law, SEC Rule 10b-5, and economic analysis. As a recommended text, this book addresses the important subject in a readable and authoritative manner. Accessible but sophisticated, it seeks to develop the reader's understanding of the theory and practice of insider trading law.
Download or read book Insider Trading Fraud and Fiduciary Duty Under the Federal Securities Laws written by and published by . This book was released on 1998 with total page 618 pages. Available in PDF, EPUB and Kindle. Book excerpt:
