Defining Material Nonpublic

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Defining 'Material, Nonpublic'

Author : Cindy A. Schipani
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (137 download)

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Book Synopsis Defining 'Material, Nonpublic' by : Cindy A. Schipani

Download or read book Defining 'Material, Nonpublic' written by Cindy A. Schipani and published by . This book was released on 2015 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The statutory penalties for illegal insider trading have become almost as severe as first-degree murder, yet we see insiders make tens of thousands of lucrative transactions every year. Moreover, the increase in penalties over time has done little to slow down insider trading. We argue that the resolution of their paradox lies in understanding the concept of material, non-public information. As long as there is no clear definition of what is illegal under the statutes, insiders and tippees will continue to trade profitably, with little to fear from seemingly draconian sanctions. To prevent further abuse of insiders' informational privileges, we offer a new evidentiary presumption. We propose that the a prima facie case for illegality be found upon proof that: 1) the information giving rise to the trade is of the type that requires an 8-K filing by the corporation; 2) upon announcement, it must lead to statistically significant abnormal stock returns; and 3) the insider trading must have occurred within two months prior to the announcement of the information. Of course, our presumption does not cover all possible instances of insider trading and it is not intended to be comprehensive. For instance, insiders may trade on material, nonpublic information and yet, they may still end up losing money due to unexpected circumstances. Insiders may also exploit long-lived information beyond two months. Our objective is to provide a prima facie presumption of what is always considered material, nonpublic information, similar to Rule 14e-3, which has declared takeover-related information to be always material and nonpublic. We expect that other types of trading will still fall in a grey area and will need to be resolved through a fact-finding process. Yet, we expect additional clarity will allow all insiders who want to be on the safe side of the law the ability to ensure that their transactions do not meet any of the conditions set forth above.

United States Code

Author : United States
Publisher :
ISBN 13 :
Total Pages : 1302 pages
Book Rating : 4.3/5 (91 download)

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Book Synopsis United States Code by : United States

Download or read book United States Code written by United States and published by . This book was released on 1986 with total page 1302 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Definition of Insider Trading

Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher :
ISBN 13 :
Total Pages : 128 pages
Book Rating : 4.3/5 (91 download)

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Book Synopsis Definition of Insider Trading by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities

Download or read book Definition of Insider Trading written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1987 with total page 128 pages. Available in PDF, EPUB and Kindle. Book excerpt:

The Regulation of Hedge Funds

Author : Ana Maria Fagetan
Publisher : Springer Nature
ISBN 13 : 3030637069
Total Pages : 514 pages
Book Rating : 4.0/5 (36 download)

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Book Synopsis The Regulation of Hedge Funds by : Ana Maria Fagetan

Download or read book The Regulation of Hedge Funds written by Ana Maria Fagetan and published by Springer Nature. This book was released on 2020-12-28 with total page 514 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book analyses elements of international finance, comparing the regulation of hedge funds in United States, Europe, the UK, and off-shore jurisdictions in the aftermath of the financial crisis. It critically compares the Dodd- Frank Act in US with the Alternative Investment Funds Managers Directive in Europe. Moreover, it goes further by analyzing the implementation of the AIFM Directive in seven jurisdictions in Europe famous for the incorporation of hedge funds: the United Kingdom, Italy, France, Ireland, Malta, Luxembourg, and Switzerland. The book also analyses the effect of Brexit on the legislation in the UK regarding the application of the directive and the distribution of financial products in Continental Europe, and will be of particular interest to researchers, academics, and students of international finance and financial regulation.

Pitch the Perfect Investment

Author : Paul D. Sonkin
Publisher : John Wiley & Sons
ISBN 13 : 1119051789
Total Pages : 503 pages
Book Rating : 4.1/5 (19 download)

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Book Synopsis Pitch the Perfect Investment by : Paul D. Sonkin

Download or read book Pitch the Perfect Investment written by Paul D. Sonkin and published by John Wiley & Sons. This book was released on 2017-09-12 with total page 503 pages. Available in PDF, EPUB and Kindle. Book excerpt: Learn the overlooked skill that is essential to Wall Street success Pitch the Perfect Investment combines investment analysis with persuasion and sales to teach you the "soft skill" so crucial to success in the financial markets. Written by the leading authorities in investment pitching, this book shows you how to develop and exploit the essential, career-advancing skill of pitching value-creating ideas to win over clients and investors. You'll gain world-class insight into search strategy, data collection and research, securities analysis, and risk assessment and management to help you uncover the perfect opportunity; you'll then strengthen your critical thinking skills and draw on psychology, argumentation, and informal logic to craft the perfect pitch to showcase your perfect idea. The ability to effectively pitch an investment is essential to securing a job on Wall Street, where it immediately becomes a fundamental part of day-to-day business. This book gives you in-depth training along with access to complete online ancillaries and case studies so you can master the little skill that makes a big difference. It doesn't matter how great your investment ideas are if you can't convince anyone to actually invest. Ideas must come to fruition to be truly great, and this book gives you the tools and understanding you need to get it done. Persuade potential investors, clients, executives, and employers Source, analyze, value, and pitch your ideas for stocks and acquisitions Get hired, make money, expand your company, and win business Craft the perfect investment into the perfect pitch Money managers, analysts, bankers, executives, salespeople, students, and individual investors alike stand to gain massively by employing the techniques discussed here. If you're serious about success and ready to start moving up, Pitch the Perfect Investment shows you how to make it happen.

Structuring Venture Capital 2016e

Author : LEVIN
Publisher : Wolters Kluwer
ISBN 13 : 145487242X
Total Pages : 1406 pages
Book Rating : 4.4/5 (548 download)

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Book Synopsis Structuring Venture Capital 2016e by : LEVIN

Download or read book Structuring Venture Capital 2016e written by LEVIN and published by Wolters Kluwer. This book was released on 2016-07-01 with total page 1406 pages. Available in PDF, EPUB and Kindle. Book excerpt: Now, you can minimize your clients' tax liability and avoid legal pitfalls, as well as maximize returns on successful transactions and be prepared for all of the potential benefits, with Structuring Venture Capital, Private Equity and Entrepreneurial Transactions, 2016 Edition. Here at last is one-step-at-a-time, start-to-finish structural guidance for the following common business transactions: Venture capital financing New business start-ups Brains-and-money deals Growth-equity investments Leveraged and management buyouts Industry consolidations Troubled company workouts and reorganizations Going public Selling a business Forming a private equity fund Guided by Jack S. Levin and Donald E. Rocap's dynamic, transaction-by-transaction approach, you'll make the tax, legal, and economic structuring consequences of every deal benefit your client every time. In this extraordinary hands-on resource by the most sought-after authorities in the field, you'll see exactly how to: Distribute the tax burden in your client's favor Maximize returns on successful transactions Control future rights to exit a profitable investment And turn every transaction into a winning venture!

SEC Docket

Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 1152 pages
Book Rating : 4.3/5 (555 download)

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Book Synopsis SEC Docket by : United States. Securities and Exchange Commission

Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 1999 with total page 1152 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Federal Register

Author :
Publisher :
ISBN 13 :
Total Pages : 1574 pages
Book Rating : 4.:/5 (31 download)

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Book Synopsis Federal Register by :

Download or read book Federal Register written by and published by . This book was released on 1986-12-10 with total page 1574 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Insider Trading

Author : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher :
ISBN 13 :
Total Pages : 265 pages
Book Rating : 4.F/5 ( download)

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Book Synopsis Insider Trading by : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance

Download or read book Insider Trading 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 1987 with total page 265 pages. Available in PDF, EPUB and Kindle. Book excerpt:

SIE Exam Reference Guide: Full Text for the FINRA, MSRB, CBOE & SEC Rules Referenced in the SIE Content Outline (2022 Edition)

Author : Coventry House Publishing
Publisher : Coventry House Publishing
ISBN 13 :
Total Pages : 526 pages
Book Rating : 4./5 ( download)

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Book Synopsis SIE Exam Reference Guide: Full Text for the FINRA, MSRB, CBOE & SEC Rules Referenced in the SIE Content Outline (2022 Edition) by : Coventry House Publishing

Download or read book SIE Exam Reference Guide: Full Text for the FINRA, MSRB, CBOE & SEC Rules Referenced in the SIE Content Outline (2022 Edition) written by Coventry House Publishing and published by Coventry House Publishing. This book was released on 2022-01-12 with total page 526 pages. Available in PDF, EPUB and Kindle. Book excerpt: Message from the publisher: This book is not intended to serve as your primary study guide for the SIE exam. Please read the description below before purchasing. The SIE Exam Content Outline, provided by FINRA, lists 150 rules that serve as suggested reading to accompany the main exam topics that you will be tested on. These rules are listed on the Content Outline after the primary topics of study for each of the four main sections. This book is a compilation of those 150 rules and provides the full text for each. It’s intended to serve as a supplement to your self-study materials and coursework. About the SIE Exam The Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. In order to become registered to engage in securities business, an individual must pass the SIE exam and a qualification exam appropriate for the type of business the individual will engage in.

Banking Regulations for Examiners

Author : United States
Publisher :
ISBN 13 :
Total Pages : 1062 pages
Book Rating : 4.3/5 (91 download)

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Book Synopsis Banking Regulations for Examiners by : United States

Download or read book Banking Regulations for Examiners written by United States and published by . This book was released on 2008 with total page 1062 pages. Available in PDF, EPUB and Kindle. Book excerpt:

CFA Program Curriculum 2018 Level I

Author : CFA Institute
Publisher : John Wiley & Sons
ISBN 13 : 1119396654
Total Pages : 3708 pages
Book Rating : 4.1/5 (193 download)

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Book Synopsis CFA Program Curriculum 2018 Level I by : CFA Institute

Download or read book CFA Program Curriculum 2018 Level I written by CFA Institute and published by John Wiley & Sons. This book was released on 2017-08-01 with total page 3708 pages. Available in PDF, EPUB and Kindle. Book excerpt: Clear, concise instruction for all CFA Level I concepts and competencies for the 2018 exam The same official curricula that CFA Program candidates receive with program registration is now publicly available for purchase. CFA Program Curriculum 2018 Level I, Volumes 1-6 provides the complete Level I Curriculum for the 2018 exam, delivering the Candidate Body of Knowledge (CBOK) with expert instruction on all 10 topic areas of the CFA Program. Fundamental concepts are explained in-depth with a heavily visual style, while cases and examples demonstrate how concepts apply in real-world scenarios. Coverage includes ethical and professional standards, quantitative analysis, economics, financial reporting and analysis, corporate finance, equities, fixed income, derivatives, alternative investments, and portfolio management, all organized into individual sessions with clearly defined Learning Outcome Statements. Charts, graphs, figures, diagrams, and financial statements illustrate concepts to facilitate retention, and practice questions provide the opportunity to gauge your understanding while reinforcing important concepts. Learning Outcome Statement checklists guide readers to important concepts to derive from the readings Embedded case studies and examples throughout demonstrate practical application of concepts Figures, diagrams, and additional commentary make difficult concepts accessible Practice problems support learning and retention CFA Institute promotes the highest standards of ethics, education, and professional excellence among investment professionals. The CFA Program Curriculum guides you through the breadth of knowledge required to uphold these standards.The three levels of the program build on each other. Level I provides foundational knowledge and teaches the use of investment tools; Level II focuses on application of concepts and analysis, particularly in the valuation of assets; and Level III builds toward synthesis across topics with an emphasis on portfolio management.

CFA Program Curriculum 2019 Level I Volumes 1-6 Box Set

Author : CFA Institute
Publisher : John Wiley & Sons
ISBN 13 : 1119516919
Total Pages : 3640 pages
Book Rating : 4.1/5 (195 download)

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Book Synopsis CFA Program Curriculum 2019 Level I Volumes 1-6 Box Set by : CFA Institute

Download or read book CFA Program Curriculum 2019 Level I Volumes 1-6 Box Set written by CFA Institute and published by John Wiley & Sons. This book was released on 2018-08-27 with total page 3640 pages. Available in PDF, EPUB and Kindle. Book excerpt: Clear, concise instruction for all CFA Program Level I concepts and competencies for the 2019 exam The same official curricula that CFA Program candidates receive with program registration is now publicly available for purchase. CFA Program Curriculum 2019 Level I, Volumes 1-6 provides the complete Level I curriculum for the 2019 exam, delivering the Candidate Body of Knowledge (CBOK) with expert instruction on all 10 topic areas of the CFA Program. Fundamental concepts are explained in-depth with a heavily visual style, while cases and examples demonstrate how concepts apply in real-world scenarios. Coverage includes ethical and professional standards, quantitative analysis, economics, financial reporting and analysis, corporate finance, equities, fixed income, derivatives, alternative investments, and portfolio management, all organized into individual sessions with clearly defined Learning Outcome Statements. Charts, graphs, figures, diagrams, and financial statements illustrate concepts to facilitate retention, and practice questions provide the opportunity to gauge your understanding while reinforcing important concepts. Learning Outcome Statement checklists guide readers to important concepts to derive from the readings Embedded case studies and examples throughout demonstrate practical application of concepts Figures, diagrams, and additional commentary make difficult concepts accessible Practice problems support learning and retention CFA Institute promotes the highest standards of ethics, education, and professional excellence among investment professionals. The CFA Program curriculum guides you through the breadth of knowledge required to uphold these standards.

Research Handbook on Representative Shareholder Litigation

Author : Sean Griffith
Publisher : Edward Elgar Publishing
ISBN 13 : 1786435349
Total Pages : 552 pages
Book Rating : 4.7/5 (864 download)

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Book Synopsis Research Handbook on Representative Shareholder Litigation by : Sean Griffith

Download or read book Research Handbook on Representative Shareholder Litigation written by Sean Griffith and published by Edward Elgar Publishing. This book was released on 2018 with total page 552 pages. Available in PDF, EPUB and Kindle. Book excerpt: Written by leading scholars and judges in the field, the Research Handbook on Representative Shareholder Litigation is a modern-day survey of the state of shareholder litigation. Its chapters cover securities class actions, merger litigation, derivative suits, and appraisal litigation, as well as other forms of shareholder litigation. Through in-depth analysis of these different forms of litigation, the book explores the agency costs inherent in representative litigation, the challenges of multijurisdictional litigation and disclosure-only settlements, and the rise of institutional investors. It explores how related issues are addressed across the globe, with examinations of shareholder litigation in the United States, Canada, the United Kingdom, the European Union, Israel, and China. This Research Handbook will be an invaluable resource on this important topic for scholars, practitioners, judges and legislators.

Journal of the House of Representatives of the United States

Author : United States. Congress. House
Publisher :
ISBN 13 :
Total Pages : 1568 pages
Book Rating : 4.A/5 ( download)

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Book Synopsis Journal of the House of Representatives of the United States by : United States. Congress. House

Download or read book Journal of the House of Representatives of the United States written by United States. Congress. House and published by . This book was released on 2006 with total page 1568 pages. Available in PDF, EPUB and Kindle. Book excerpt: Some vols. include supplemental journals of "such proceedings of the sessions, as, during the time they were depending, were ordered to be kept secret, and respecting which the injunction of secrecy was afterwards taken off by the order of the House".

Code of Federal Regulations

Author :
Publisher :
ISBN 13 :
Total Pages : 994 pages
Book Rating : 4.3/5 (91 download)

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Book Synopsis Code of Federal Regulations by :

Download or read book Code of Federal Regulations written by and published by . This book was released on 2001 with total page 994 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Code of Federal Regulations, Title 17, Commodity and Securities Exchanges, Pt. 240-End, Revised as of April 1 2009

Author : Office of the Federal Register (U S )
Publisher : Government Printing Office
ISBN 13 : 9780160828713
Total Pages : 1136 pages
Book Rating : 4.8/5 (287 download)

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Book Synopsis Code of Federal Regulations, Title 17, Commodity and Securities Exchanges, Pt. 240-End, Revised as of April 1 2009 by : Office of the Federal Register (U S )

Download or read book Code of Federal Regulations, Title 17, Commodity and Securities Exchanges, Pt. 240-End, Revised as of April 1 2009 written by Office of the Federal Register (U S ) and published by Government Printing Office. This book was released on 2009-07 with total page 1136 pages. Available in PDF, EPUB and Kindle. Book excerpt: