Read Books Online and Download eBooks, EPub, PDF, Mobi, Kindle, Text Full Free.
Capital Markets And Securities Laws
Download Capital Markets And Securities Laws full books in PDF, epub, and Kindle. Read online Capital Markets And Securities Laws ebook anywhere anytime directly on your device. Fast Download speed and no annoying ads. We cannot guarantee that every ebooks is available!
Book Synopsis Capital Markets and Securities Laws by : E. T. Lokganathan
Download or read book Capital Markets and Securities Laws written by E. T. Lokganathan and published by . This book was released on 2019-11 with total page 174 pages. Available in PDF, EPUB and Kindle. Book excerpt: Prior to the initiation of financial reforms in the early 1990s, capital market structure in India was subject to several controls and opaque procedures. Raising of capital from the market was regulated by the Capital Issues (Control) Act, 1947 which was administered by the Controller of Capital Issues (CCIs) in the Ministry of Finance, Government of India. The Securities Contracts (Regulation) Act, 1956 was administered by the Directorate of Stock Exchanges, also in the Ministry of Finance. This system of regulation and control was fragmented and inadequate in the context of liberalisation wave sweeping across the world. It was in this backdrop that wide-ranging financial sector reforms in India were introduced as an integral part of the economic reforms process started in the early 1990s. Reforms in respect of capital markets have focused on creating a deregulated environment and enabling free play of market forces while at the same time strengthening the prudential norms and the supervisory system.
Book Synopsis International Capital Markets and Securities Regulation by : Harold S. Bloomenthal
Download or read book International Capital Markets and Securities Regulation written by Harold S. Bloomenthal and published by West Group Publishing. This book was released on 2002 with total page 782 pages. Available in PDF, EPUB and Kindle. Book excerpt: This multi-volume looseleaf series is a guide to international securities regulation in the industrialized nations. The work examines the international applications of U.S. securities law. Regulations and procedures in the world's major capital markets are described in the work.
Book Synopsis Corporate Finance and the Securities Laws by : Charles J. Johnson
Download or read book Corporate Finance and the Securities Laws written by Charles J. Johnson and published by . This book was released on 2004 with total page 1154 pages. Available in PDF, EPUB and Kindle. Book excerpt: The highly anticipated Third Edition of Corporate Finance & the Securities Laws is a fully updated version of this classic work by two premier experts in the world of corporate finance. The book explains the legal environment in which capital markets transactions take place as well as explaining the transactions themselves and how professionals can manage the transaction and get it done. Some highlights in the Third Edition are: Underwriting practices the registration and distribution process Private placements Shelf registrations International finance Commercial paper Innovative financial products and asset-backed securities the Third Edition also includes updates on many important developments in corporate finance, including: New standards for IPO allocations the reduced role of analysts in securities offerings driven by reforms separating the interaction of research analysts And The investment bankers who bring in new business an updated look at MD&A (Management Discussion & Analysis) A new chapter focusing on asset-backed securities Sarbanes-Oxley's effects on disclosure requirements and due diligence the growing trend of On-line offerings Dealing with 'gun-jumping' problems Electronic delivery of offering documents New emphasis on financial statement due diligence New NASD corporate financing rule New NASD rule on retention of new issues (formerly the 'hot issue' rule) Exiting the SEC reporting system Innovative financing techniques And The Commodity Futures Modernization Act of 2000 Short sales and equity derivatives Innovations in convertible, exchangeable and equity-linked securities Amended Rule 10b-18 and more
Book Synopsis The Anatomy of the Law, Regulation and Economics of Securities and Financial Markets in the United States by : Massimiliano Caruso
Download or read book The Anatomy of the Law, Regulation and Economics of Securities and Financial Markets in the United States written by Massimiliano Caruso and published by Singulab. This book was released on 2023-09-11 with total page 10 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is an attempt to provide a systematic, comprehensive, and in-depth examination of the theories, policies, and practicalities of securities and capital markets regulation. It analyzes the regulation of the process of raising capital in public offerings and private placements of securities, which is governed primarily by the Securities Act of 1933, and the regulation of trading and trading venues, which is governed by the Securities Exchange Act of 1934. It also focuses on market manipulation and insider trading as well as on issues of market structure. As other books that I wrote, it is designed to be neutral, current, functional, concise and clear. I believe this book will challenge your preconceptions, broaden your horizons, and leave you with a greater appreciation of the complexity of the subject, for, among others, the following reasons: (i) Rather than advocating for one particular viewpoint, after carefully researching and analyzing a wide range of sources, including the surrounding context of the most important cases, I have taken a neutral approach to ensure that the information presented is unbiased and trustworthy, making it an ideal starting point for anyone looking to gain a deeper understanding of the most disputed theories and views on the securities and capital markets regulation. (ii) The rise of crypto-assets offerings and decentralized finance, high-frequency trading, dark pools, and new sophisticated typologies of market manipulation and insider trading has brought new complexities and dramatic transformations, raises questions about market fairness, transparency, and accountability, and threatens to undermine the very foundations of securities and capital markets regulations. Crypto-assets and offerings of crypto-assets, in particular, have challenged and breathed new life into the importance of the Howey and Reves tests in assessing the nature of security (or non-security) of instruments, contracts, transactions and schemes. (iii) This book considers the economic principles that underpin the functioning of the capital market, including market efficiency, supply and demand dynamics, and pricing mechanisms, and in so doing allows a deeper understanding of the critical issues shaping the modern capital markets. It is in fact, to some extent, a mixture of law, public policy, and economics.
Book Synopsis Securities Market Issues for the 21st Century by : Merritt B. Fox
Download or read book Securities Market Issues for the 21st Century written by Merritt B. Fox and published by . This book was released on 2018 with total page 476 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Corporate Finance and the Securities Laws, 6th Edition by : Johnson, McLaughlin, and Haueter
Download or read book Corporate Finance and the Securities Laws, 6th Edition written by Johnson, McLaughlin, and Haueter and published by Wolters Kluwer. This book was released on 2019-12-10 with total page 1708 pages. Available in PDF, EPUB and Kindle. Book excerpt: Corporate Finance and the Securities Laws has been winning over practitioners with its clear "how to do it" approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Sixth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace. Written in plain English by two top experts in the field - each with literally hundreds of successful deals under his belt, Corporate Finance and the Securities Laws is the "go to" resource which explains the mechanics of corporate finance together with the statutes that govern each type of deal. You'll receive expert corporate finance analysis, procedural guidance, and practical securities law pointers every step of the way to help you Structure all types of corporate finance deals - from public, private, and offshore offerings to corporate debt restructurings, commercial paper programs, raising capital, and asset-based securities transactions Root out problems before corporate finance deals are put in motion, with heads-up input on securities law prohibited practices, potential liabilities, conflicts of interest, due diligence concerns, and other red-flag issues Shepherd transactions through the corporate finance regulatory process with a clear understanding of applicable statutes and their implications in real-life situations Know what to do when securities law problems crop up - and find clear answers to the countless questions that develop in the course of a corporate finance deal Close deals, raising capital in a timely manner and work shoulder to shoulder with clients to accomplish your corporate finance objectives
Author :Charles J. Johnson (Jr.) Publisher :Wolters Kluwer Law & Business ISBN 13 :1543881807 Total Pages :1728 pages Book Rating :4.5/5 (438 download)
Book Synopsis Corporate Finance and the Securities Laws by : Charles J. Johnson (Jr.)
Download or read book Corporate Finance and the Securities Laws written by Charles J. Johnson (Jr.) and published by Wolters Kluwer Law & Business. This book was released on with total page 1728 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities Law & Market Operation by : Dr. P Sudha
Download or read book Securities Law & Market Operation written by Dr. P Sudha and published by Sultan Chand & Sons. This book was released on 2022-02-16 with total page 18 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities Law & Market Operation is a textbook that caters to the needs of the students at the UG & PG level. The chapters of the book have been designed in such a way as to provide a ready reference to cover the syllabus of different universities. Some of the key high lights of the book are: 1. All the relevant rules & regulations framed by SEBI have been incorporated in this book. 2. The various financial instruments that are traded in the financial markets have been dealt with. 3. The stock market trading mechanism has been elucidated in a simple and lucid way. 4. A reference book for teachers, teaching capital markets and its laws. 5. A textbook for students studying capital markets & capital market operation.
Book Synopsis The New Stock Market by : Merritt B. Fox
Download or read book The New Stock Market written by Merritt B. Fox and published by . This book was released on 2019-01-08 with total page 395 pages. Available in PDF, EPUB and Kindle. Book excerpt: The institutions and regulation of trading markets -- The social function of stock markets -- The economics of trading markets -- High frequency trading -- The economics of informed trading -- The regulation of informed trading -- Manipulation -- Short selling -- Broker-dealers -- Dark pools -- Maker-taker fees -- Payment for order flow -- Conclusion
Book Synopsis Capital Markets Handbook by : John C. Burch
Download or read book Capital Markets Handbook written by John C. Burch and published by Wolters Kluwer. This book was released on 2005-01-01 with total page 1458 pages. Available in PDF, EPUB and Kindle. Book excerpt: Capital Markets Handbook, Sixth Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in major securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, compliance issues, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. The Sixth Edition includes coverage of new developments, including compliance issues such as: New amendments to NASD Rule 2710 ("The Corporate Financing Rule") governing underwriting compensation Updates on PIPE and Registered Direct Transactions Amendments to Rule 10b-18 governing corporate repurchase of equity securities Online Dutch auction procedures in use for the Google, Inc. IPO United Kingdom Financial Service Authority guidance on conflict of interest regarding pricing and allocation issues which have been adopted by one major U.S. investment bank Amendments to Rule 105 Regulation M concerning short selling in connection with public offerings Currency conversion in settlement of a global offering NASD Rule 2790-Restriction on the Purchase and Sale of IPO equity securities NASD IPO Distribution Manager procedures for filing with NASD Corporate Financing Proposed NASD Rule 2712 concerning allocation and distribution of shares in an initial public offering A reorganized compliance chapter in a checklist format designed to ease and enhance CEO and CFO Compliance Certification required by a proposed amendment to NASD Rule 3010 (Supervision) and the adoption of Interpretive Material 3010-1 And more
Book Synopsis Corporate Finance and the Securities Laws by : Charles J. Johnson (Jr.)
Download or read book Corporate Finance and the Securities Laws written by Charles J. Johnson (Jr.) and published by Wolters Kluwer. This book was released on 2015-03-06 with total page 1564 pages. Available in PDF, EPUB and Kindle. Book excerpt: Corporate Finance and the Securities Laws has been winning over practitioners with its clear andquot;how to do itandquot; approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Fifth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace. Written in plain English by two top experts in the field - each with literally hundreds of successful deals under his belt, Corporate Finance and the Securities Laws is the andquot;go toandquot; resource which explains the mechanics of corporate finance together with the statutes that govern each type of deal. You'll receive expert corporate finance analysis, procedural guidance, and practical securities law pointers every step of the way to help you Structure all types of corporate finance deals - from public, private, and offshore offerings to corporate debt restructurings, commercial paper programs, raising capital, and asset-based securities transactions Root out problems before corporate finance deals are put in motion, with heads-up input on securities law prohibited practices, potential liabilities, conflicts of interest, due diligence concerns, and other red-flag issues Shepherd transactions through the corporate finance regulatory process with a clear understanding of applicable statutes and their implications in real-life situations Know what to do when securities law problems crop up - and find clear answers to the countless questions that develop in the course of a corporate finance deal Close deals, raising capital in a timely manner and work shoulder to shoulder with clients to accomplish your corporate finance objectives
Book Synopsis Capital Markets and Securities FAQs by :
Download or read book Capital Markets and Securities FAQs written by and published by Morrison & Foerster LLP. This book was released on with total page 597 pages. Available in PDF, EPUB and Kindle. Book excerpt: FAQs. FAQs (or Frequently Asked Questions), written and published by lawyers at Morrison & Foerster LLP, a leading capital markets firm (www.mofo.com), provides plain English explanations of the most popular types of financing or capital formation transactions, as well as explanations relating to related securities law issues. Written for practitioners, entrepreneurs, start-ups, public companies, investors, bankers and other financial intermediaries, and compliance professionals, FAQs avoids lawyer and banker jargon and provides clear and concise discussions that answer the questions most commonly asked in connection with securities offerings and ongoing securities reporting requirements. You will find discussions about IPOs, Rule 144A, PIPE transactions, Regulation S, Medium-Term Note Programs, Shelf Registration Statements, Foreign Private Issuers and much, much more. The FAQs are organized in a user-friendly way, with a table of contents for each set of FAQs, so you can jump to particular questions (and answers) within a topic area, or search the book to find answers to your questions. For more information about Morrison & Foerster’s Capital Markets Practice, visit www.mofo.com/capital-markets-services/. For more updates, follow Thinkingcapmarkets, our Twitter feed: www.twitter.com/thinkingcapmkts.
Book Synopsis Rethinking Securities Law by : Marc I. Steinberg
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"--
Book Synopsis Securities and Capital Markets Regulation in South Africa by : C. King Chanetsa
Download or read book Securities and Capital Markets Regulation in South Africa written by C. King Chanetsa and published by BRILL. This book was released on 2019-08-26 with total page 105 pages. Available in PDF, EPUB and Kindle. Book excerpt: In Securities and Capital Markets Regulation: A Contemporary View, the author takes a critical look at regulation of the sector in South Africa primarily in view of efforts to accommodate international standards, policy considerations, and the transition to a new regulatory framework (Twin Peaks).
Book Synopsis Capital Markets, Derivatives and the Law by : Alan N. Rechtschaffen
Download or read book Capital Markets, Derivatives and the Law written by Alan N. Rechtschaffen and published by Oxford University Press. This book was released on 2009 with total page 383 pages. Available in PDF, EPUB and Kindle. Book excerpt: President Obama recently called for a new financial regulation system in the United States. In order to understand the intricacies of new regulation, individuals must have a strong foundation in how capital markets function as well as how financial instruments and derivatives work. Capital Markets, Derivatives, and the Law provides readers with the foundation necessary to make informed, well-reasoned decisions about capital market participation, derivative utilization, and adherence to existing and future regulations. This publication is an essential guide for attorneys and business professionals looking for an accessible resource to better understand the legal and business considerations of capital markets and derivatives transactions. This book offers expert insight into how derivatives work. The author also explores the structures of derivatives as well as how they are regulated and litigated. In the complex world of the current capital market upheaval, this book provides useful definitions, case law examples, and insight into structures, regulation, and litigation strategies.
Book Synopsis Accessing the U.S. Capital Markets by :
Download or read book Accessing the U.S. Capital Markets written by and published by . This book was released on 1997 with total page 232 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Corporate Finance and the Securities Laws by : Charles J. Johnson
Download or read book Corporate Finance and the Securities Laws written by Charles J. Johnson and published by Aspen Publishers. This book was released on 2006 with total page 1575 pages. Available in PDF, EPUB and Kindle. Book excerpt: Corporate Finance and the Securities Laws has been winning over practitioners with its clear "how to do it" approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Fourth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace. Written in plain English by two top experts in the field - each with literally hundreds of successful deals under his belt, Corporate Finance and the Securities Laws is the "go to" resource which explains the mechanics of corporate finance together with the statutes that govern each type of deal. You'll receive expert corporate finance analysis, procedural guidance, and practical securities law pointers every step of the way to help you Structure all types of corporate finance deals - from public, private, and offshore offerings to corporate debt restructurings, commercial paper programs, raising capital, and asset-based securities transactions Root out problems before corporate finance deals are put in motion, with heads-up input on securities law prohibited practices, potential liabilities, conflicts of interest, due diligence concerns, and other red-flag issues Shepherd transactions through the corporate finance regulatory process with a clear understanding of applicable statutes and their implications in real-life situations Know what to do when securities law problems crop up - and find clear answers to the countless questions that develop in the course of a corporate finance deal Close deals, raising capital in a timely manner and work shoulder to shoulder with clients to accomplish your corporate finance objectives
