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Disclosure Of Public Companies And Insiders
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Book Synopsis Disclosure Requirements of Public Companies and Insiders by : Practising Law Institute
Download or read book Disclosure Requirements of Public Companies and Insiders written by Practising Law Institute and published by . This book was released on 1967 with total page 408 pages. Available in PDF, EPUB and Kindle. Book excerpt: Revision of the transcripts of two Practising Law Institute forums held in 1966.
Book Synopsis Public Company Deskbook by : Robert E. Buckholz, Jr.
Download or read book Public Company Deskbook written by Robert E. Buckholz, Jr. and published by . This book was released on 2015-02-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Expanded and completely reorganized to meet the needs of today's increasingly prescriptive environment, Public Company Deskbook: Complying with Federal Governance and Disclosure Requirements is your one-stop center for expert counsel on how to deal effectively with the overlapping legislative, regulatory and private initiatives to reform public company governance and disclosure practices over the past decade. The enhanced Deskbook provides in-depth practical guidance centered around each of the following areas: Board Structure & Governance; Shareholder Meetings; Audit Committee, Auditor Policy & Auditor Disclosure; Compensation Committee, Compensation Policy & Compensation Disclosure; Public Company Reporting & Compliance; and Corporate Investigations & Whistleblowing. Included are numerous sample forms, checklists and documents, such as sample committee charters, director and officer questionnaires and annual meeting timelines for both NYSE- and Nasdaq-listed companies. Also addressed are current shareholder relations, including the prevalence, SEC-profile and outcome of common shareholder proposals, an analysis of proxy-advisor withhold recommendations and a comprehensive activist update. Written by three partners with Sullivan & Cromwell LLP, Public Company Deskbook: Complying with Federal Governance & Disclosure Requirements, Third Edition is an indispensable resource for securities practitioners, compliance officers, directors, officers, accountants, auditors, and research analysts, and an important reference for securities regulators.
Book Synopsis Informal Corporate Disclosure Under Federal Securities Law by : Ted Trautmann
Download or read book Informal Corporate Disclosure Under Federal Securities Law written by Ted Trautmann and published by . This book was released on 2001 with total page 268 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Regulation of Corporate Disclosure, 4th Edition by : Brown
Download or read book Regulation of Corporate Disclosure, 4th Edition written by Brown and published by Wolters Kluwer. This book was released on 2016-12-15 with total page 2350 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Regulation of Corporate Disclosure is a one-volume treatise on the disclosure regime in place under the Federal securities laws. The treatise addresses the formal disclosure process (periodic reports, MD&A, Regulation FD), the informal disclosure process (press releases, social media, discussions with analysts), and the application of the antifraud provisions to these communications. The treatise includes chapters on scienter and materiality, and also addresses communications with and disclosure obligations to shareholders. The Fourth Edition has been significantly revised and, among other topics, includes coverage of: The duties and responsibilities of corporate officials relating to the disclosure process The most recent cases addressing disclosure issues, including decisions by the Supreme Court on topics such as the application of the antifraud provisions to beliefs and opinions Pronouncements by the U.S. Securities and Exchange Commission on disclosure issues, including consideration of the SEC's efforts to improve disclosure effectiveness The developing need to consider disclosure of public interest matters, including the effects of climate change on a company's business The disclosure requirements applicable to the proxy process, including the system for uncovering the identity of street name owners State disclosure obligations of the board of directors under its fiduciary obligations to shareholders.
Book Synopsis Disclosure of Public Companies and Insiders by :
Download or read book Disclosure of Public Companies and Insiders written by and published by . This book was released on 1967 with total page 380 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Insider Regulation and Timely Disclosure by : Klaus J. Hopt
Download or read book Insider Regulation and Timely Disclosure written by Klaus J. Hopt and published by Springer. This book was released on 1996-02-27 with total page 40 pages. Available in PDF, EPUB and Kindle. Book excerpt: The general problems regarding the timely topic of regulation of insider dealing and timely disclosure of new facts are discussed in a comparative fashion in this lecture in the light of the EC Directive of 13 November 1989 And The German Securities Exchange Act. In particular, attention is given to efforts to harmonize German law with the EC Directive.
Book Synopsis Effective Company Disclosure in the Digital Age by : Gill North
Download or read book Effective Company Disclosure in the Digital Age written by Gill North and published by Kluwer Law International B.V.. This book was released on 2015-10-16 with total page 386 pages. Available in PDF, EPUB and Kindle. Book excerpt: Effective corporate reporting and disclosure are critical in financial markets to promote vigorous competition, optimal performance, and transparency. This book examines whether existing disclosure frameworks in eight countries with the world's most significant securities exchanges achieve these objectives, and then, drawing on extensive empirical findings, identifies the policies and practices that contribute most to improving the overall quality of listed company reporting and communication. Contending that public disclosure of listed company information is an essential precondition to the long-term efficient operation of financial markets, the book provides analysis of such issues and topics as the following: - arguments for and against mandatory disclosure regimes; - key principles of periodic and continuous disclosure regulation; - tensions between direct and indirect investment in financial markets; - assumptions concerning the need to maintain a privileged role for financial intermediaries; - intermediary, analyst, and research incentives; - protection of individual investors; - selective disclosure; - disclosure of bad news; - the role of accounting standards; - public access to company briefings; - long term performance reporting and analysis; and - company reporting developments. A significant portion of the book provides an overview of disclosure regulation and practice in the United States, Canada, Germany, the United Kingdom, Japan, Hong Kong, Australia, and Singapore. A highly informative survey looks at company reports, disclosures, and websites of large listed companies, including Microsoft, Citigroup, Teck Resources, Deutsche Bank, BP, Sony, PetroChina Company, BHP Billiton, and Singapore Telecommunications. The book discusses common disclosure issues that arise across jurisdictions, provides valuable insights on the efficacy of existing disclosure regulation and practice, and highlights the important principles, processes, and practices that underpin best practice company disclosure frameworks. It will be welcomed by company boards and executives and their counsel, as well as by policymakers and scholars in the areas of corporate, securities, banking and financial law, accounting, economics and finance.
Book Synopsis Practising Law Institute by : Practising Law Institute
Download or read book Practising Law Institute written by Practising Law Institute and published by . This book was released on 1966 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Official List of Section 13(f) Securities by :
Download or read book Official List of Section 13(f) Securities written by and published by . This book was released on 1981 with total page 182 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Public Disclosure of Trades by Corporate Insiders in Financial Markets and Tacit Coordination by : Steven J. Huddart
Download or read book Public Disclosure of Trades by Corporate Insiders in Financial Markets and Tacit Coordination written by Steven J. Huddart and published by . This book was released on 1999 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt: Like Cournot competitors in product markets, financial market insiders with common private information trade more aggressively than a monopolist with the same information, and thereby dissipate expected profits. Where the same insiders repeatedly receive private information, they may tacitly collude to limit trades and increase profits. Present rules requiring public reporting of insider trades (unintendedly) may allow insiders to improve upon aggregate volume or price in monitoring each other's trades, thereby facilitating collusion. Relative to product markets, the presence of a strategic market maker complicates the equilibrium. The results imply regulators may reduce tacit collusion by not publicizing insider trades.
Book Synopsis Corporate Insiders and Financial Disclosure Quality by : Siqi Zhao
Download or read book Corporate Insiders and Financial Disclosure Quality written by Siqi Zhao and published by . This book was released on 2022 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Selective Disclosure and Insider Trading by : Michael D. Guttentag
Download or read book Selective Disclosure and Insider Trading written by Michael D. Guttentag and published by . This book was released on 2017 with total page 56 pages. Available in PDF, EPUB and Kindle. Book excerpt: Determining when the selective disclosure of material nonpublic information should trigger insider trading liability is a deeply problematic aspect of insider trading doctrine.The current rule is that a selective disclosure can only trigger insider trading liability if “the insider [making the selective disclosure] personally will benefit, directly or indirectly, from his disclosure.” Dirks v. SEC introduced this “personal benefit” test in 1983 to balance four competing rationales for determining when a tip should trigger insider trading liability. Two developments since Dirks have made problems with this personal benefit test insurmountable. First, the SEC's enactment of Regulation Fair Disclosure in 2000 supplanted federal common law regulation of selective disclosures by public companies and, more pointedly, prohibited public companies from making precisely the types of selective disclosures to Wall Street analysts that the Dirks personal benefit test was designed to protect. Second, in United States v. O'Hagan the Supreme Court adopted the misappropriation theory, which greatly expanded the types of deceptive conduct that could trigger insider trading liability.After Regulation FD and O'Hagan, only a test for when a selective disclosure triggers insider trading liability based directly on the statutory prohibition against deceptive conduct makes sense. Receipt of a personal benefit should be a sufficient, but not necessary, condition for finding that a selective disclosure is deceptive enough to trigger insider trading liability.
Book Synopsis Business Law I Essentials by : MIRANDE. DE ASSIS VALBRUNE (RENEE. CARDELL, SUZANNE.)
Download or read book Business Law I Essentials written by MIRANDE. DE ASSIS VALBRUNE (RENEE. CARDELL, SUZANNE.) and published by . This book was released on 2019-09-27 with total page 180 pages. Available in PDF, EPUB and Kindle. Book excerpt: A less-expensive grayscale paperback version is available. Search for ISBN 9781680923018. Business Law I Essentials is a brief introductory textbook designed to meet the scope and sequence requirements of courses on Business Law or the Legal Environment of Business. The concepts are presented in a streamlined manner, and cover the key concepts necessary to establish a strong foundation in the subject. The textbook follows a traditional approach to the study of business law. Each chapter contains learning objectives, explanatory narrative and concepts, references for further reading, and end-of-chapter questions. Business Law I Essentials may need to be supplemented with additional content, cases, or related materials, and is offered as a foundational resource that focuses on the baseline concepts, issues, and approaches.
Book Synopsis Insider Trading and the Stock Market by : Henry G. Manne
Download or read book Insider Trading and the Stock Market written by Henry G. Manne and published by . This book was released on 1966 with total page 296 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Issues in Financial Regulation by : Franklin R. Edwards
Download or read book Issues in Financial Regulation written by Franklin R. Edwards and published by . This book was released on 1979 with total page 552 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis M&A Guide to Rules of the Road by : Robert F. Bruner
Download or read book M&A Guide to Rules of the Road written by Robert F. Bruner and published by . This book was released on 2005 with total page 25 pages. Available in PDF, EPUB and Kindle. Book excerpt: The practice of Mamp;A is vastly influenced by securities laws and regulations. These constraints arise in the issuance of new shares by a buyer, in the disclosure of information to prospective investors, and in the prohibitions on insider trading. While there is wide discretion within these and other settings, the consequences for violating laws and regulations can be very costly, in the form of civil and criminal penalties. Since ignorance of the law is no defense, the Mamp;A practitioner must learn the general structure: this chapter is devoted to providing an introduction to the subject. The field is complicated; its important nuances easily exceed the scope of discussion here. Thus, you must seek expert legal advice.Key lessons from this chapter include these:- You must disclose to markets all material and relevant facts about a proposed Mamp;A transaction between two public companies. The aim of securities laws is to inform investors, produce more efficient markets, and achieve a fair or level playing field. Often, there will be sound economic reasons for telling less, rather than more. The disclosure requirements are vague, placing the burden on the practitioner to judge wisely how much to tell. A simple diagnostic will determine whether a fact is material: would you want to know about it if you were in the investor's shoes?- You must control leakage of information about a deal and avoid insider trading. The aim of securities laws is to prevent market manipulation by insiders.- You must observe correct procedures regarding deadlines and filings with regulators. These rules of the road limit the practitioner's flexibility in some respects.
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"--
