Download or read book The Corporate Fiduciary and Securities Subject to Resale Restrictions Under the Federal Securities Laws written by Dorothy Bosk Derick and published by . This book was released on 1976 with total page 350 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book A Fiduciary s Guide to Federal Securities Laws written by and published by Association. This book was released on 1994 with total page 300 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 Responsibilities of Corporate Officers and Directors written by CCH Incorporated and published by CCH Incorporated. This book was released on 2004-11 with total page 402 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book alerts board members and management to their personal duties and liabilities under the federal securities laws. From the vast body of federal laws, rules, administrative interpretations, and court decisions dealing with securities offerings and transactions, those of particular interest to corporate officers and directors as individuals are discussed here. The materials focus on the Securities Act of 1933 and the Securities Exchange Act of 1934, pertinent provisions of the Investment Company Act of 1940, and the Sarbanes-Oxley Act of 2002. In particular, it focuses on the act's provisions relating to: corporate governance - audit committee duties - fraud penalties - audit committee duties - fraud penalties. Section 16(a) reporting of insider transactions - SEC enforcement powers - officer certification of company reports - internal control over financial reporting, the role and composition of audit committees, auditor independence, and enhanced MD&A disclosure.

Download or read book Fraud and Fiduciary Duty Under the Federal Securities Laws written by ALI-ABA Course of Study: Fraud and Fiduciary Duty under the Federal Securities Laws and published by . This book was released on 1982 with total page 728 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book 2002 U S Master Federal Securities Law Guide written by Ted Trautmann and published by . This book was released on 2002 with total page 612 pages. Available in PDF, EPUB and Kindle. Book excerpt:

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 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 Private Placements and Restricted Securities written by Stuart Charles Goldberg and published by C. Boardman. This book was released on 1971 with total page 1042 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Resales of Restricted Securities written by and published by . This book was released on 2006 with total page 660 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Sales and Resales of Restricted Securities written by and published by . This book was released on 1979 with total page 614 pages. Available in PDF, EPUB and Kindle. Book excerpt:

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 Fraud and Fiduciary Duty Under the Federal Securities Laws written by Federal Bar Association. Securities Law Committee and published by . This book was released on 1980 with total page 618 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book U S Regulation of Hedge Funds written by Douglas L. Hammer and published by American Bar Association. This book was released on 2005 with total page 398 pages. Available in PDF, EPUB and Kindle. Book excerpt: This authoritative resource surveys federal securities laws and rules applicable to the organization, capitalization and operations of private U.S. domestic investment partnerships that invest and trade mainly in the public securities markets. Includes a detailed index.

Download or read book Resale of Restricted Securities written by Tanney Edward Oberg and published by . This book was released on 1972 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Resales of Restricted Securities written by J. William Hicks and published by . This book was released on 1991 with total page 546 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Fraud and Fiduciary Duty Under the Federal Securities Laws written by Federal Bar Association. Securities Law Committee and published by . This book was released on 1978 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: