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Author : Robert A. Fippinger
Publisher :
ISBN 13 :
Total Pages : 480 pages
Book Rating : 4.:/5 (41 download)
Download or read book The Securities Law of Public Finance written by Robert A. Fippinger and published by . This book was released on 1988 with total page 480 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Robert Baxt
Publisher :
ISBN 13 : 9780409343069
Total Pages : 0 pages
Book Rating : 4.3/5 (43 download)
Download or read book Securities and Financial Services Law written by Robert Baxt and published by . This book was released on 2016-12-05 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Now in its ninth edition, Securities and Financial Services Law is the leading legal analysis of securities and financial services law and regulation in Australia. The book provides a comprehensive and practical treatment of the relevant parts of the Corporations Act and the Australian Securities and Investments Commission (ASIC) Act, the Australian Securities Exchange (ASX) Listing and ASIC Market Integrity Rules, ASIC policy, the market competition and Future of Financial Advice reforms, as well as reference to relevant case law.An introductory chapter presents an overview of the development and shape of securities regulation in Australia. The balance of the work is structured into parts focusing on securities and financial product issuers, including continuous disclosure requirements, investor claims for defective disclosure and securities class actions; markets; intermediaries; and market conduct regulation.Written by leading experts in the field, this book is a valuable resource for law and business students, legal practitioners, securities industry professionals, bankers and accountants. Features* High level work on advanced corporations law area* Written by leading experts in the field* Comprehensive treatment of financial services regulation in a dynamic market Related Titles Australian Corporations Legislation 2016Austin & Ramsay, Ford, Austin & Ramsay's Principles of Corporations Law, 2014, 16th editionFarrar & Hanrahan, Corporate Governance, 2016
Author : Dora Swee Suan Neo
Publisher :
ISBN 13 : 9789811404429
Total Pages : 766 pages
Book Rating : 4.4/5 (44 download)
Download or read book Financial Services Law and Regulation written by Dora Swee Suan Neo and published by . This book was released on 2019 with total page 766 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Melanie L. Fein
Publisher : Aspen Publishers
ISBN 13 : 0735561486
Total Pages : 1224 pages
Book Rating : 4.7/5 (355 download)
Download or read book Banking and Financial Services written by Melanie L. Fein and published by Aspen Publishers. This book was released on 2006-04-24 with total page 1224 pages. Available in PDF, EPUB and Kindle. Book excerpt: For banks, insurance companies and securities firms preparing to capitalize on the rapidly accelerating trend towards financial services convergence, the possibilities are virtually endless. This book provides coverage of essential financial services regulation. It offers red flags pinpointing regulatory obstacles and pitfalls.
Author : Malloy
Publisher : Aspen Publishers Online
ISBN 13 : 1454801077
Total Pages : 4496 pages
Book Rating : 4.4/5 (548 download)
Download or read book Banking Law and Regulation written by Malloy and published by Aspen Publishers Online. This book was released on 1987 with total page 4496 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Jerry W. Markham
Publisher : Edward Elgar Publishing
ISBN 13 : 1782540075
Total Pages : 563 pages
Book Rating : 4.7/5 (825 download)
Download or read book Research Handbook on Securities Regulation in the United States written by Jerry W. Markham and published by Edward Elgar Publishing. This book was released on 2014-07-31 with total page 563 pages. Available in PDF, EPUB and Kindle. Book excerpt: This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute
Author : Milton R. Schroeder
Publisher :
ISBN 13 : 9780769878799
Total Pages : 0 pages
Book Rating : 4.8/5 (787 download)
Download or read book The Law and Regulation of Financial Institutions written by Milton R. Schroeder and published by . This book was released on 2024-05 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Tamar Frankel
Publisher : Vandeplas Pub.
ISBN 13 : 9781600420955
Total Pages : 0 pages
Book Rating : 4.4/5 (29 download)
Download or read book Law and the Financial System written by Tamar Frankel and published by Vandeplas Pub.. This book was released on 2009 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Law and the Financial System: Securitization and Asset Backed Securities provides students and practitioners with a comprehensive source of materials and references for understanding the process and issues that surround the conversion of illiquid financial assets into tradable securities. The book begins with an overview of the financial system and the place of securitization in the system. The book focuses on the process and law of securitization and is derived largely from Tamar Frankel's treaties, Securitization (2nd ed. 2005). The book concludes with a global view of securitization and an assessment of the impact and future of securitizing financial assets. The legal text is enhanced with case studies and simulation exercises that bring context and practical application to the subject. Study questions covering law, business and public policy provide students with an opportunity to discuss and debate areas where answers are complex and often indeterminate. Simulation exercises enable students to test their own ideas with their peers using real world examples. The book can be used as a stand alone course on securitization or as a supplementary text for courses on financial regulation. Practitioners will find the book a useful desk reference. This is the second book co-authored by Mark Fagan and Tamar Frankel. The first was "Trust and Honesty in the Real World" (2007). About the authors: Tamar Frankel authored Fiduciary Law (2008), Trust and Honesty, America's Business Culture at a Crossroad (2006), Securitization (2d.ed 2006), The Regulation of Money Managers (2d ed. 2001 with Ann Taylor Schwing), and more than 70 articles. A long-time member of the Boston University School of Law faculty, Professor Frankel was a visiting scholar at the Securities and Exchange Commission and at the Brookings Institution. A native of Israel, Professor Frankel served in the Israeli Air Force, was an assistant attorney general for Israel's Ministry of Justice and the legal advisor of the State of Israel Bonds Organization in Europe. She practiced in Israel, Boston and Washington, D.C. and is a member of the Massachusetts Bar, the American Law Institute, and The American Bar Foundation. Mr. Fagan's research centers on the role of regulation in competitive markets. He has written about the impact of deregulation in the financial, transportation and electricity sectors. He teaches courses and guest lectures at Boston University School of Law and at Harvard Kennedy School. He has been a frequent seminar speaker at Harvard Kennedy School's Mossavar-Rahmani Center for Business and Government; recent topics include the subprime disaster, securitization, Ponzi schemes, and financial bubbles. Mark Fagan is a founding partner of Norbridge, Inc. a general management consulting firm. He works with clients in the transportation, telecommunications and utility industries as they grapple with increasing shareholder value in a deregulated world. Prior to Norbridge, he was a Vice President of Mercer Management Consulting.
Author : Paul Latimer
Publisher : Springer
ISBN 13 : 3319094599
Total Pages : 251 pages
Book Rating : 4.3/5 (19 download)
Download or read book Promoting Information in the Marketplace for Financial Services written by Paul Latimer and published by Springer. This book was released on 2014-11-14 with total page 251 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides a unique comparative and global analysis of the regulation of disclosure in financial (securities) markets. It is written by two authors who represent both the new world (Australia) and the old world (Germany). The authors present their research in the global business context, with legal and regulatory perspectives including some references from Africa, Asia, the Middle East and South America. After every “boom” and “bust”, legislators pass new disclosure legislation, often in a heated environment fuelled by politics and the media. Little regard is paid to existing regulation or the lessons learned from earlier regulation. The result is the continuing enactment of redundant and overlapping disclosure laws. Since financial markets are often described as markets for information, the failure to ensure disclosure is at the heart of financial services regulation. This book argues that the solution to the failure of disclosure is a brief, easily understood, principles-based, plain English safety-net amendment to statute law such as “you must keep the financial market fully informed”, a measure that would support effective mandatory continuous disclosure of information to financial markets. This book examines the reasons for disclosure regulation, and how the efficient operation of financial markets is dependent on disclosure. It examines the adequacy of common law and civil law concerning broker/client disclosure, and concludes that industry licensing in itself fails to keep the market informed. While recognizing the failures of securities commissions to achieve good disclosure in financial markets, it confirms the effectiveness of coregulation of disclosure by a commission with the support of the financial markets (such as the stock exchange). Coregulation builds on financial market self-regulation, and is best described in the words of one-time SEC Chairman William O. Douglas, who, in the 1930s, described it as a shotgun behind the door.
Author : Gary M. Brown
Publisher :
ISBN 13 : 9781402418969
Total Pages : 0 pages
Book Rating : 4.4/5 (189 download)
Download or read book Securities Law and Practice Deskbook written by Gary M. Brown and published by . This book was released on 2013-01-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations
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"--
Author : Nicholas L. Georgakopoulos
Publisher : Cambridge University Press
ISBN 13 : 1108146171
Total Pages : 215 pages
Book Rating : 4.1/5 (81 download)
Download or read book The Logic of Securities Law written by Nicholas L. Georgakopoulos and published by Cambridge University Press. This book was released on 2017-05-04 with total page 215 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book opens with a simple introduction to financial markets, attempting to understand the action and the players of Wall Street by comparing them to the action and the players of main street. Firstly, it explores the definition of a security by its function, the departure from the buyer beware environment of corporate law and the entrance into the seller disclose environment of securities law. Secondly, it shows that the cost of disclosure rules is justified by their capacity to combat irrationalities, fads, and panics. The third section explains how the structure of class actions is designed to improve deterrence. Next it explores the economic harm from insider trading and how the law fights it. In sum, the book shows how all these parts of securities law serve the virtuous cycle from liquidity to accurate prices and more trading and how the great recession showed that our securities regulation reacted mostly adequately to the crisis.
Author : Marc I. Steinberg
Publisher : Law Journal Press
ISBN 13 : 9781588520210
Total Pages : 1220 pages
Book Rating : 4.5/5 (22 download)
Download or read book Securities Regulation written by Marc I. Steinberg and published by Law Journal Press. This book was released on 1984 with total page 1220 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
Author : Deborah A. Sabalot
Publisher :
ISBN 13 : 9781405782784
Total Pages : 3552 pages
Book Rating : 4.7/5 (827 download)
Download or read book Butterworths Securities and Financial Services Law Handbook written by Deborah A. Sabalot and published by . This book was released on 2014-04-14 with total page 3552 pages. Available in PDF, EPUB and Kindle. Book excerpt: Presented across two volumes, this annual handbook brings together the primary, secondary and European legislation which forms the regulatory framework for the financial services industry. To complete this comprehensive work, lists or tables of all amending enactments are included at the beginning of each Act, statutory instrument and European Directive and Regulation. All lawyers, compliance officers and regulators working in the financial services field will find that Butterworths Securities & Financial Services Law Handbook provides the most complete, up-to-date and indispensable reference source for the financial services industry.
Author : Harvey L. Pitt
Publisher :
ISBN 13 :
Total Pages : 778 pages
Book Rating : 4.F/5 ( download)
Download or read book The Law of Financial Services written by Harvey L. Pitt and published by . This book was released on 1988 with total page 778 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Deborah A. Sabalot
Publisher : Butterworths
ISBN 13 : 9781474324007
Total Pages : 0 pages
Book Rating : 4.3/5 (24 download)
Download or read book Butterworths Securities and Financial Services Law Handbook written by Deborah A. Sabalot and published by Butterworths. This book was released on 2023-06-30 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Why should you buy Butterworths Securities and Financial Services Law Handbook 24th editionPresented across two volumes, this annual handbook brings together the primary, secondary and European legislation which forms the regulatory framework for the financial services industry. To complete this comprehensive work, lists or tables of all amending enactments are included at the beginning of each Act, statutory instrument and European Directive and Regulation.What's new?New legislation featured in the 23rd edition includes:* Financial Services and Markets Bill 2023* Economic Crime and Transparency Bill* Retained EU Law (Revocation and Reform) Bill
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
ISBN 13 :
Total Pages : 350 pages
Book Rating : 4.3/5 (91 download)
Download or read book Enhancing Investor Protection and the Regulation of Securities Markets written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2009 with total page 350 pages. Available in PDF, EPUB and Kindle. Book excerpt:
