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Author :
Publisher :
ISBN 13 :
Total Pages : 116 pages
Book Rating : 4.W/5 ( download)
Download or read book Sullivan & Long V. Scattered Corporation written by and published by . This book was released on 1994 with total page 116 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Philip McBride Johnson
Publisher : Wolters Kluwer
ISBN 13 : 0735533369
Total Pages : 663 pages
Book Rating : 4.7/5 (355 download)
Download or read book Derivatives Regulation written by Philip McBride Johnson and published by Wolters Kluwer. This book was released on 2004-01-01 with total page 663 pages. Available in PDF, EPUB and Kindle. Book excerpt: For over a quarter century, Commodities Regulation has been recognized as the resource covering the derivatives marketplace. Today, Derivatives Regulation builds on that expertise, delivering the coverage professionals and practitioners need in order to stay current with this changing topic. Derivatives Regulation comprehensively covers the Commodity Exchange Act along with all other relevant aspects of the regulation of securities that have an impact on the derivatives markets. Derivatives Regulation is completely updated to cover the full range of emerging regulatory, reporting, and legal issues surrounding derivatives and related instruments, including: Distinguishing between regulated and unregulated derivatives�and knowing which rules to apply The significant roles of the SEC and the federal laws in regulating derivatives Meeting standards for exemption or other relief The workings of the derivatives markets and the rules applicable to trading Registration, reporting, and disclosure requirements applicable to commodities professionals Criteria for publicly traded futures and commodity options Rules governing unprofessional conduct, including the antifraud and anti-manipulation prohibitions Customer protections, the CFTC�s reparations program, arbitration programs, and private rights of action in the courts
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 1000 pages
Book Rating : 4.3/5 (243 download)
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 1998 with total page 1000 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 1344 pages
Book Rating : 4.3/5 (129 download)
Download or read book Decisions and Reports written by United States. Securities and Exchange Commission and published by . This book was released on 2000 with total page 1344 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Steven Mark Levy
Publisher : Wolters Kluwer
ISBN 13 : 1454805439
Total Pages : 1686 pages
Book Rating : 4.4/5 (548 download)
Download or read book Regulation of Securities written by Steven Mark Levy and published by Wolters Kluwer. This book was released on 2011-01-01 with total page 1686 pages. Available in PDF, EPUB and Kindle. Book excerpt: Regulation of Securities: SEC Answer Book, Fourth 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, youand’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, managementand’s discussion and analysis, audit committee responsibilities, Sarbanes-Oxley, electronic filing, interactive financial data, tender offers, proxy solicitations, insider trading, going private transactions, shareholdersand’ rights, SEC investigations, criminal enforcement, securities class actions, and much more!
Author : James Robert Brown
Publisher : Wolters Kluwer
ISBN 13 : 0735501564
Total Pages : 1709 pages
Book Rating : 4.7/5 (355 download)
Download or read book The Regulation of Corporate Disclosure written by James Robert Brown and published by Wolters Kluwer. This book was released on 1999-01-01 with total page 1709 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Regulation of Corporate Disclosure, Third Edition is a complete and up-to-date handbook on the issue of corporate disclosure, covering the impact of the federal securities laws on both informal communications and the process of communicating with shareholders. The Third Edition expands topics previously covered, addressing the legal issues and practical concerns surrounding implementation of the Private Securities Litigation Reform Act of 1995, the Sarbanes-Oxley Act of 2002, and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The book also has an in-depth treatment of managementand’s discussion and analysis (MDand&A), something that, although appearing in required SEC filings, involves many of the same difficult and complex issues raised by the informal disclosure process. Also addressed are: SEC reforms of the periodic reporting process; issues pertaining to stock research analysts and conflicts of interest; and various relevant corporate governance requirements and their disclosure implications. Critical areas analyzed include ;Disclosure requirements and anti-fraud provisions The duty to disclose Dissemination Issues involving materiality Disclosure of bad news Negotiations Dealing with analysts And much more!
Author : Jerry Markham
Publisher : Routledge
ISBN 13 : 1317466373
Total Pages : 456 pages
Book Rating : 4.3/5 (174 download)
Download or read book Law Enforcement and the History of Financial Market Manipulation written by Jerry Markham and published by Routledge. This book was released on 2015-01-28 with total page 456 pages. Available in PDF, EPUB and Kindle. Book excerpt: First Published in 2014. This book maps the issues and traces the U.S. government's efforts to properly regulate, monitor, and prevent financial speculation and price manipulation in various markets. It begins with the period from the late nineteenth century to the first congressional efforts at regulation in the 1930s and continues on to the present, with a full chapter on the legal and financial aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The book also discusses the difficulty of initiating successful prosecutions of financial fraud and price manipulation and proposes a new approach to preventing manipulative practices.
Author : Brown
Publisher : Wolters Kluwer
ISBN 13 : 145488634X
Total Pages : 2350 pages
Book Rating : 4.4/5 (548 download)
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.
Author : Eric Engle
Publisher : Eric Engle
ISBN 13 :
Total Pages : pages
Book Rating : 4./5 ( download)
Download or read book International Corporate Criminal Law written by Eric Engle and published by Eric Engle. This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: his book presents twenty-one essays by as many legal scholars examining international criminal enterprises. The lead essay provides a synopsis of enterprise criminality. Topics treated include: conflict resources (diamonds, palm oil), piracy, arms trafficking, illegal drugs, counterfeit products, art fraud, market manipulation, short selling, cryptocurrency (bitcoin), tax evasion, investor-state arbitration, anti-trust/competition law, and corporate governance: whistleblowing, VW, Toshiba, concluding with a chapter on Lobbying in the EU. Countries and regions covered include Central Africa, Indonesia, Somalia, Iraq, Syria, UK, EU, France, Germany, and Japan. The book includes a free preview. https://www.amazon.com/author/quizmaster http://mindworks.altervista.org About the author: A Fulbright law specialist, Dr. Engle has taught law in France (Nanterre) Germany (Humboldt) Ukraine (Fulbright) Bosnia (Fulbright) Russia (Pericles) and Estonia (Tartu). He has published dozens of articles on law as well as several books. This book is meant to be affordable so developing country legal scholars can understand American, French, and German rule of law concepts in the struggle against violent criminality.
Author : Thomas E. Willging
Publisher :
ISBN 13 :
Total Pages : 212 pages
Book Rating : 4.3/5 (121 download)
Download or read book Empirical Study of Class Actions in Four Federal District Courts written by Thomas E. Willging and published by . This book was released on 1996 with total page 212 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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Publisher :
ISBN 13 :
Total Pages : 684 pages
Book Rating : 4.F/5 ( download)
Download or read book West's Federal Practice Digest 4th written by and published by . This book was released on 2002 with total page 684 pages. Available in PDF, EPUB and Kindle. Book excerpt: Locate federal cases decided in the U.S. Supreme Court, Court of Appeals, district courts, Claims Court, bankruptcy courts, Court of Military Appeals, the Courts of Military Review, and other federal courts. This Key Number Digest contains all headnotes, classified according to West's® Key Number System, for federal court decisions reported from 1984 to the present. The topics are listed in alphabetical order. The Key Numbers within those topics are listed in numerical order. Each topic begins with scope notes about subjects included and subjects excluded and covered by other topics. Also, there is an outline of the topic, which includes a list of all Key Numbers in that topic. Headnotes are collected by jurisdiction or court and filed according to the West Key Number System®.
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Publisher :
ISBN 13 :
Total Pages : 686 pages
Book Rating : 4.0/5 ( download)
Download or read book West's Federal Practice Digest written by and published by . This book was released on 2002 with total page 686 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Merritt B. Fox
Publisher : Columbia University Press
ISBN 13 : 023154393X
Total Pages : 612 pages
Book Rating : 4.2/5 (315 download)
Download or read book The New Stock Market written by Merritt B. Fox and published by Columbia University Press. This book was released on 2019-01-08 with total page 612 pages. Available in PDF, EPUB and Kindle. Book excerpt: The U.S. stock market has been transformed over the last twenty-five years. Once a market in which human beings traded at human speeds, it is now an electronic market pervaded by algorithmic trading, conducted at speeds nearing that of light. High-frequency traders participate in a large portion of all transactions, and a significant minority of all trade occurs on alternative trading systems known as “dark pools.” These developments have been widely criticized, but there is no consensus on the best regulatory response to these dramatic changes. The New Stock Market offers a comprehensive new look at how these markets work, how they fail, and how they should be regulated. Merritt B. Fox, Lawrence R. Glosten, and Gabriel V. Rauterberg describe stock markets’ institutions and regulatory architecture. They draw on the informational paradigm of microstructure economics to highlight the crucial role of information asymmetries and adverse selection in explaining market behavior, while examining a wide variety of developments in market practices and participants. The result is a compelling account of the stock market’s regulatory framework, fundamental institutions, and economic dynamics, combined with an assessment of its various controversies. The New Stock Market covers a wide range of issues including the practices of high-frequency traders, insider trading, manipulation, short selling, broker-dealer practices, and trading venue fees and rebates. The book illuminates both the existing regulatory structure of our equity trading markets and how we can improve it.
Author : Steven Dresner
Publisher : John Wiley & Sons
ISBN 13 : 1576601943
Total Pages : 324 pages
Book Rating : 4.5/5 (766 download)
Download or read book PIPEs written by Steven Dresner and published by John Wiley & Sons. This book was released on 2005-11-01 with total page 324 pages. Available in PDF, EPUB and Kindle. Book excerpt: Private investments in public equity (PIPEs) offer a practical financing alternative for companies seeking capital and a unique asset for investors. For practitioners who know how to identify and execute transactions, PIPEs present a growing opportunity. This revised and updated guide presents the views, voices, and invaluable expertise of leading practitioners from all specialties in the field. The book is divided into three parts: "The Business of PIPEs," which provides a historical backdrop and overview; "Regulatory Landscape and Structural Alternatives," which details the legal framework and transaction structures; and "Deal Flow," which offers the investor’s perspective on negotiating deals. With detailed discussions, ranging from the origins of the marketplace and deal structures to legal considerations and due diligence, and from finding new opportunities to trading strategies, this book provides a clear window to the inner workings of this active area of the small-cap market. Investors, financial analysts, investment bankers, corporate and securities attorneys, and executives of public companies will find substantial value in the pages of this book.
Author : Louis Loss
Publisher :
ISBN 13 :
Total Pages : 536 pages
Book Rating : 4.3/5 (511 download)
Download or read book Securities Regulation written by Louis Loss and published by . This book was released on 1989 with total page 536 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Robert F. Blomquist
Publisher : State University of New York Press
ISBN 13 : 1438430655
Total Pages : 267 pages
Book Rating : 4.4/5 (384 download)
Download or read book The Quotable Judge Posner written by Robert F. Blomquist and published by State University of New York Press. This book was released on 2012-02-01 with total page 267 pages. Available in PDF, EPUB and Kindle. Book excerpt: Collection of quotations and judicial opinions of federal appellate judge Richard A. Posner
Author :
Publisher :
ISBN 13 :
Total Pages : 440 pages
Book Rating : 4.F/5 ( download)
Download or read book Broker-dealer Litigation ... Annual Survey written by and published by . This book was released on 1995 with total page 440 pages. Available in PDF, EPUB and Kindle. Book excerpt:
