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Author :
Publisher :
ISBN 13 :
Total Pages : 624 pages
Book Rating : 4.:/5 (49 download)
Download or read book Securities law review written by and published by . This book was released on 1984 with total page 624 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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 :
Publisher :
ISBN 13 :
Total Pages : 520 pages
Book Rating : 4.:/5 (49 download)
Download or read book Securities law review written by and published by . This book was released on 1987 with total page 520 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Marc I. Steinberg
Publisher : LexisNexis/Matthew Bender
ISBN 13 :
Total Pages : 554 pages
Book Rating : 4.F/5 ( download)
Download or read book Understanding Securities Law written by Marc I. Steinberg and published by LexisNexis/Matthew Bender. This book was released on 2007 with total page 554 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Thomas Lee Hazen
Publisher :
ISBN 13 : 9780314269966
Total Pages : 0 pages
Book Rating : 4.2/5 (699 download)
Download or read book Securities Regulation in a Nutshell written by Thomas Lee Hazen and published by . This book was released on 2016 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.
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"--
Download or read book Securities Law Techniques written by and published by . This book was released on 1985 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
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 : Arnold S. Jacobs
Publisher :
ISBN 13 :
Total Pages : 1496 pages
Book Rating : 4.F/5 ( download)
Download or read book Opinion Letters in Securities Matters written by Arnold S. Jacobs and published by . This book was released on 1980 with total page 1496 pages. Available in PDF, EPUB and Kindle. Book excerpt: This two volume looseleaf work provides a detailed examination of the definition, purpose, and content of opinion letters. The use of special counsel "back-up" opinions and the liabilities for false opinions are discussed in detail. Sixteen commonly used clauses from opinion letters are analyzed.
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 : Ernest L. Folk
Publisher :
ISBN 13 : 9780876320433
Total Pages : pages
Book Rating : 4.3/5 (24 download)
Download or read book Securities Law Review written by Ernest L. Folk and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : James D. Cox
Publisher : Aspen Publishers
ISBN 13 : 9780735571884
Total Pages : 0 pages
Book Rating : 4.5/5 (718 download)
Download or read book Securities Regulation written by James D. Cox and published by Aspen Publishers. This book was released on 2008-07-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: To ensure that you have the most up-to-date and complete materials for yourSecurities Regulation class, be sure to use this 2008 Case Supplement.Table of Cases:Italics indicate principal cases.American Federation of State, County & Municipal Employees v. AmericanInternational Group, Inc. Berckeley Investment Group, Ltd. v.ColkittChamber of Commerce v. SECCredit Suisse Sec. (USA) LLC v. Glen BillingsDolphin and Bradbury v. SEC Feder v. FrostFinancial Planning Association v. SECGFL Advantage Fund, Ltd. v. ColkittGoldstein v. SECMakor Issues & Rights Ltd. v. Tellabs, Inc. (7th Cir.) Merrill Lynch, Pierce, Fenner & Smith, Inc. v.Dabit Oscar Private Equity Investments v.Allegiance Telecom, Inc. Overton v. Todman & Co.Securities and Exchange Commission v. Kern Securities and Exchange Commission v.RocklageSecurities and Exchange Commission v. DorozhkoStoneridge Inv. Partners, LLC, Petitioner v. Scientific-Atlanta, Inc. Tellabs, Inc. v. Makor Issues & Rights, Ltd. United States v. BrownUnited States v. EbbersUnited States v. SimonYung v. Lee
Author : Marvin G. Pickholz
Publisher :
ISBN 13 : 9780876329719
Total Pages : pages
Book Rating : 4.3/5 (297 download)
Download or read book Securities Crimes written by Marvin G. Pickholz and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Wenming Xu
Publisher : Springer Nature
ISBN 13 : 9811909040
Total Pages : 157 pages
Book Rating : 4.8/5 (119 download)
Download or read book The Enforcement of Securities Law in China written by Wenming Xu and published by Springer Nature. This book was released on 2022-03-14 with total page 157 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book takes a law and economic approach to examine the securities law enforcement in China and provides an in-depth empirical analysis on the enforcement inputs and outputs. In contrast to previous studies, it systematically collects a large sample of judicated securities fraud cases and public sanctions as disclosed by the listed companies. The enforcement regime is further divided into the private enforcement exemplified by the civil litigation imitated by harmed investors and public enforcement by sanctions proceedings initiated by public agencies. Academic researchers, policy makers and practitioners, who are interested in the securities market and regulation could find the information provided in this book interesting.
Author : William Savitt (Attorney)
Publisher :
ISBN 13 : 9781838628253
Total Pages : pages
Book Rating : 4.6/5 (282 download)
Download or read book The Securities Litigation Review written by William Savitt (Attorney) and published by . This book was released on 2021 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Alan R. Palmiter
Publisher :
ISBN 13 :
Total Pages : 564 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities Regulation written by Alan R. Palmiter and published by . This book was released on 2005 with total page 564 pages. Available in PDF, EPUB and Kindle. Book excerpt: Students depend on Securities Regulation: Examples & Explanations because it gives them what they need: - coverage of key concepts, such as public offerings, exemptions from registration, liability in securities offerings, materiality, definition of security, securities fraud, insider trading, SEC enforcement, and cross-border regulation - Examples and Explanations approach that reinforces learning by combining textual material with well-written examples, questions, and explanations - assistance in navigating a complex subject, beginning with clear delineations of the basic concepts of securities regulation and then applying the concepts in specific areas - numerous examples drawn from newsworthy events - content corresponds to the topics in the leading casebooks - sound and logical organization moves from major themes to specifics - clear and straightforward writing style The Third Edition keeps pace with developments in the law: - Sarbanes-Oxley Act with comprehensive overview and developments, including new problems - new SEC rules on expanded risk disclosure, company certifications, and lawyer up the ladder reporting - new material on IPO abuses: spinning, flipping, gun-jumping - new NYSE and NASDAQ rules on corporate governance listing standards and stock analysts - new and updated cases - new and revised examples
Author : Louis Loss
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 820 pages
Book Rating : 4.F/5 ( download)
Download or read book Securities Regulation written by Louis Loss and published by Aspen Publishers. This book was released on 2009 with total page 820 pages. Available in PDF, EPUB and Kindle. Book excerpt: "The universally acknowledged work Securities Regulation is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes plus thousands of cases, SEC administrative decisions and letters definitively clarifies such questions as: When does a note fall within the definition of a "security" How have the courts altered the express civil liability provisions of the federal securities laws? Can the SEC impose additional ten-day suspensions on trading without notice? Does scienter include reckless as well as intentional conduct? And countless others, so that you're almost sure to find coverage of the "small point" on which your case may turn."--Publisher's website.
