Read Books Online and Download eBooks, EPub, PDF, Mobi, Kindle, Text Full Free.
Download Sec Trading Restrictions And Reporting Requirements For Insiders full books in PDF, epub, and Kindle. Read online Sec Trading Restrictions And Reporting Requirements For Insiders ebook anywhere anytime directly on your device. Fast Download speed and no annoying ads. We cannot guarantee that every ebooks is available!
Author : Stuart Charles Goldberg
Publisher :
ISBN 13 :
Total Pages : 356 pages
Book Rating : 4.:/5 (43 download)
Download or read book SEC Trading Restrictions and Reporting Requirements for Insiders written by Stuart Charles Goldberg and published by . This book was released on 1973 with total page 356 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Commerce Clearing House
Publisher :
ISBN 13 :
Total Pages : 254 pages
Book Rating : 4.F/5 ( download)
Download or read book Insider Reporting and Short-swing Trading written by Commerce Clearing House and published by . This book was released on 1992 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : James Hamilton
Publisher : Cch Incorporated
ISBN 13 : 9780808011040
Total Pages : 164 pages
Book Rating : 4.0/5 (11 download)
Download or read book Guide to Section 16 written by James Hamilton and published by Cch Incorporated. This book was released on 2004 with total page 164 pages. Available in PDF, EPUB and Kindle. Book excerpt: The passage of the Sarbanes-Oxley Act dramatically changed the reporting of insider transactions. The Act amended Section 16(a) to require directors, officers and 10 percent equity holders to report their purchases and sales of securities by the end of the second day following the transaction, or such other time established by the SEC where the two-day period is not feasible. The landmark legislation also mandated that transactions between officers or directors and their company previously reportable on an annual basis on Form 5 must now be reported within two business days on Form 4. Sarbanes-Oxley also required that the two-day statement reporting insider trades be filed electronically, and SEC rules require the electronic filing of Forms 3, 4 and 5. Moreover, The SEC must provide the two-day statement on a publicly accessible Internet site by the end of the business day following the filing. Finally, The company, if it maintains a corporate Web site, must provide the statement on that Web site by the end of the business day following the filing. The CCH Guide to Section 16: Insider Reporting and Short-Swing Trading Liability examines the recent changes effected by the Sarbanes-Oxley Act, As well as detailing the rules and interpretations and no-action letters on insider reporting under Section 16(a). In addition, The complex Section 16(b) short-swing trading prohibition is discussed.
Author : Steven Mark Levy
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 840 pages
Book Rating : 4.F/5 ( download)
Download or read book Regulation of Securities written by Steven Mark Levy and published by Aspen Publishers. This book was released on 2001 with total page 840 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Regulation of Securities: SEC Compliance and Practice, 2003 Edition is a comprehensive guide to understanding and complying with the day-to-day requirements of the federal securities laws. Using a question and answer format similar to that which the SEC has embraced, this guide provides public corporations, lawyers, and accountants, As well as company officers, directors, and large shareholders with straightforward answers To The most frequently asked questions on securities regulation, and convenient access To The relevant rules, procedures, caselaw, and forms. The 2003 Edition significantly expands and updates the previous Edition and includes chapters on: Introduction to securities regulation, including the modernized EDGAR system Periodic reporting under sections 13(a) and 15 (d) Reporting of beneficial ownership under sections 13(d) and 13(g) Insider reporting under section 16(a) Short-swing trading and exemptions under section 16(b) Tender offer disclosure requirements Proxy solicitations under section 14(a) Securities fraud under Rule 10b-5 Use of electronic media Selling restricted and control securities under Rule 144 Private resales to institutional investors under Rule 144A Going private transactions under Rule 13e-3 and a special supplement on Sarbanes-Oxley and related developments!
Author : Stuart Charles Goldberg
Publisher :
ISBN 13 :
Total Pages : 368 pages
Book Rating : 4.3/5 (9 download)
Download or read book SEC Regulation of Corporate Insiders written by Stuart Charles Goldberg and published by . This book was released on 1973 with total page 368 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Robert L. Frome
Publisher :
ISBN 13 :
Total Pages : 368 pages
Book Rating : 4.F/5 ( download)
Download or read book Sales of Securities by Corporate Insiders written by Robert L. Frome and published by . This book was released on 1975 with total page 368 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Leonard W. Wang
Publisher :
ISBN 13 : 9781633591851
Total Pages : pages
Book Rating : 4.5/5 (918 download)
Download or read book Insider Trading Under the Federal Securities Laws and Other Insider Trading Restrictions written by Leonard W. Wang and published by . This book was released on 2017 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: ... focuses on federal regulation of trading by corporate insiders and other trading involving the misuse of material nonpublic information. It presents the evolution of the prohibition against insider trading, and discusses the safe harbor against certain liabilities offered by Rule 10b5-1. It covers reporting requirements and short-swing profit liabilities for executive officers, directors and 10% shareholders. The prohibition on trading by executive officers and directors during certain pension plan trading blackout periods is also discussed. In addition, the Portfolio discusses the SEC enforcement process, especially as it is applied to insider trading. Particular attention is paid to the broad reach of the agency's investigative powers, and the depth to which the agency enforcement personnel may investigate in their pursuit of potential wrongdoers. Sanctions and other consequences of violations of law are analyzed.
Author : Barry Alexander K. Rider
Publisher :
ISBN 13 :
Total Pages : 500 pages
Book Rating : 4.3/5 (511 download)
Download or read book The Regulation of Insider Trading written by Barry Alexander K. Rider and published by . This book was released on 1979 with total page 500 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Levy
Publisher : Wolters Kluwer
ISBN 13 : 1454880376
Total Pages : 1470 pages
Book Rating : 4.4/5 (548 download)
Download or read book Regulation of Securities: SEC Answer Book, 5th Edition written by Levy and published by Wolters Kluwer. This book was released on 2016-01-01 with total page 1470 pages. Available in PDF, EPUB and Kindle. Book excerpt: Regulation of Securities: SEC Answer Book, Fifth Edition is your complete guide to understanding and complying with the day-to-day requirements of the federal securities laws that affect all public companies. Using a question-and-answer format similar to that which the SEC has embraced, this valuable desk reference provides concise, understandable answers to the most frequently asked compliance questions, and ready access to key statutes, regulations, and court decisions. Designed for both beginners and seasoned professionals, the volume contains approximately 1,400 pages organized in 23 self-contained chapters. Each chapter covers the basics before moving into the nuanced details, meeting the needs of those who seek a general understanding of a topic as well as those grappling directly with critical issues. Twice-yearly supplements keep the book current in this rapidly evolving field. Whether you are a lawyer, accountant, corporate executive, director or investor, you'll be able to quickly find concise answers to essential questions about the Dodd-Frank Act, Exchange Act registration and reporting, executive compensation disclosure, derivatives disclosure, management's discussion and analysis, audit committee responsibilities, Sarbanes-Oxley, electronic filing, interactive financial data, tender offers, proxy solicitations, insider trading, going private transactions, shareholders' rights, SEC investigations, criminal enforcement, securities class actions, and much more!
Author : Ralph C. Ferrara
Publisher : Law Journal Press
ISBN 13 : 9781588520692
Total Pages : 960 pages
Book Rating : 4.5/5 (26 download)
Download or read book Ferrara on Insider Trading and the Wall written by Ralph C. Ferrara and published by Law Journal Press. This book was released on 2023-11-28 with total page 960 pages. Available in PDF, EPUB and Kindle. Book excerpt: The authors analyze the impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Sarbanes-Oxley Act and SEC regulations regarding selective disclosure and insider trading.
Author : Stanton P. Eigenbrodt
Publisher : Wolters Kluwer
ISBN 13 : 0735541124
Total Pages : 761 pages
Book Rating : 4.7/5 (355 download)
Download or read book A Practical Guide to Section 16 written by Stanton P. Eigenbrodt and published by Wolters Kluwer. This book was released on 2003-01-01 with total page 761 pages. Available in PDF, EPUB and Kindle. Book excerpt: Refers to Section 16 of the Securities Exchange Act of 1934.
Author : Stuart Charles Goldberg
Publisher :
ISBN 13 :
Total Pages : 324 pages
Book Rating : 4.:/5 (254 download)
Download or read book SEC Trading Restructions and Reporting Requirements for Insiders written by Stuart Charles Goldberg and published by . This book was released on 1973 with total page 324 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Hill and Knowlton, Inc
Publisher :
ISBN 13 :
Total Pages : 136 pages
Book Rating : 4.F/5 ( download)
Download or read book The SEC, the Securities Markets, and Your Financial Communications written by Hill and Knowlton, Inc and published by . This book was released on 1979 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Louis Loss
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 1640 pages
Book Rating : 4.0/5 ( download)
Download or read book Fundamentals of Securities Regulation written by Louis Loss and published by Aspen Publishers. This book was released on 2001 with total page 1640 pages. Available in PDF, EPUB and Kindle. Book excerpt: When you need a quick answer to a securities question, turn to FUNDAMENTALS OF SECURITIES REGULATION. Loss and Seligman have distilled their authoritative 11-volume treatise, SECURITIES REGULATION, into one convenient volume, offering expert analysis of every significant aspect of securities law, including: Primary liability under 10(b), insider trading Sanctions Disclosure requirements Rules and forms for offerings SEC reporting Forward-looking statements Class action suits Bespeaks caution cases ADR in securities disputes and more. To facilitate more detailed analysis, its fourteen chapters parallel the organization of the full treatise, and extensive cross-references show you exactly where to turn.
Author : Robert L. Frome
Publisher :
ISBN 13 :
Total Pages : 280 pages
Book Rating : 4.:/5 (43 download)
Download or read book Sales of Securities by Corporate Insiders written by Robert L. Frome and published by . This book was released on 1972 with total page 280 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Amy L. Goodman
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 628 pages
Book Rating : 4.F/5 ( download)
Download or read book A Practical Guide to Section 16 written by Amy L. Goodman and published by Aspen Publishers. This book was released on 1997 with total page 628 pages. Available in PDF, EPUB and Kindle. Book excerpt: Rely on the expertise of 15 securities professionals for everything you need to know and do under the Section 16 rules. Compliance is easy with this convenient manual to guide you step-by-step through every phase of the Section 16 reporting scheme. A Practical Guide to Section 16: Reporting and Compliance provides detailed answers to such questions as: Must a plan be 'tax qualified' to take advantage of Rule 16b-3? is shareholder approval required to exempt plan transactions? What is a non-employee director for purposes of the rules? What is a 'discretionary transaction' under the rules? is it possible to 'mix and match' exemptions? Are any of the pre-1991 Section 16 rules still in effect? The Guide also supplies such helpful materials as: Forms 3, 4, and 5 filled out under more than 25 different scenarios an abundance of examples illustrating the effect of the rules the full text of revised Section 16 and relevant SEC adoptive releases A detailed compliance timetable to assist in planning and meeting deadlines.
Author : Marc I. Steinberg
Publisher : Oxford University Press
ISBN 13 : 0197583148
Total Pages : 361 pages
Book Rating : 4.1/5 (975 download)
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"--
