The Securities Law of Public Finance
Author : Robert A. Fippinger
Publisher :
Page : 480 pages
File Size : 35,22 MB
Release : 1988
Category : Bonds
ISBN :
Securities Law and Practice Deskbook
Author : Gary M. Brown
Publisher :
Page : 0 pages
File Size : 45,87 MB
Release : 2013-01-16
Category : Going public (Securities)
ISBN : 9781402418969
Book Description
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
Rethinking Securities Law
Author : Marc I. Steinberg
Publisher : Oxford University Press
Page : 361 pages
File Size : 30,42 MB
Release : 2021
Category : Law
ISBN : 0197583148
Book Description
"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"--
Real Estate Investment Trusts Handbook
Author : William A. Kelley
Publisher : ALI-ABA
Page : 254 pages
File Size : 13,89 MB
Release : 1998
Category : Business & Economics
ISBN : 9780831807894
Book Description
Securities Crimes
Author : Marvin G. Pickholz
Publisher :
Page : pages
File Size : 37,94 MB
Release :
Category : Securities fraud
ISBN : 9780876329719
Book Description
Anderson on Colorado Civil Litigation Forms
Author : Robert Anderson
Publisher :
Page : pages
File Size : 50,48 MB
Release :
Category : Civil procedure
ISBN : 9781930993716
Book Description
Handbook on Securities Laws
Author : Gaurav Pingle
Publisher : Bloomsbury Publishing
Page : 644 pages
File Size : 26,57 MB
Release : 2021-06-10
Category : Law
ISBN : 9354351158
Book Description
About the Book 'Securities Law' is not independent topic in itself and to understand the subject, the student or professional should be aware of some basic and important corporate law concepts e.g. company, types of companies (private company / public company), members /shareholders, shares, debentures, voting rights, listing of shares, prospectus, stock exchange, rights and obligations of shareholders and directors, etc. Handbook on Securities Laws cover these concepts in detail along with discussion on every section/clause of some important legislations like SEBI Act, 1992, Depositories Act, 1996 and Securities (Contract) Regulation Act, 1956. Wherever necessary, reference to the relevant provisions of the Companies Act and Rules, Rules and Regulations made under respective Acts and also SEBI's Annual Report has been given. Some of the key points and issues like powers of SEBI, penalty and adjudication under SEBI Act, UPSI and its materiality, etc. are discussed in the light of latest judgments of the Court or Tribunals.
Research Handbook on Insider Trading
Author : Stephen M. Bainbridge
Publisher : Edward Elgar Publishing
Page : 498 pages
File Size : 49,43 MB
Release : 2013-01-01
Category : Business & Economics
ISBN : 0857931857
Book Description
In most capital markets, insider trading is the most common violation of securities law. It is also the most well known, inspiring countless movie plots and attracting scholars with a broad range of backgrounds and interests, from pure legal doctrine to empirical analysis to complex economic theory. This volume brings together original cutting-edge research in these and other areas written by leading experts in insider trading law and economics. The Handbook begins with a section devoted to legal issues surrounding the USÕs ban on insider trading, which is one of the oldest and most energetically enforced in the world. Using this section as a foundation, contributors go on to discuss several specific court cases as well as important developments in empirical research on the subject. The Handbook concludes with a section devoted to international perspectives, providing insight into insider trading laws in China, Japan, Australia, New Zealand, the United Kingdom and the European Union. This timely and comprehensive volume will appeal to students and professors of law and economics, as well as scholars, researchers and practitioners with an interest in insider trading.
Corporate Finance and the Securities Laws
Author : Charles J. Johnson
Publisher :
Page : 1154 pages
File Size : 46,72 MB
Release : 2004
Category : Business & Economics
ISBN :
Book Description
The highly anticipated Third Edition of Corporate Finance & the Securities Laws is a fully updated version of this classic work by two premier experts in the world of corporate finance. The book explains the legal environment in which capital markets transactions take place as well as explaining the transactions themselves and how professionals can manage the transaction and get it done. Some highlights in the Third Edition are: Underwriting practices the registration and distribution process Private placements Shelf registrations International finance Commercial paper Innovative financial products and asset-backed securities the Third Edition also includes updates on many important developments in corporate finance, including: New standards for IPO allocations the reduced role of analysts in securities offerings driven by reforms separating the interaction of research analysts And The investment bankers who bring in new business an updated look at MD&A (Management Discussion & Analysis) A new chapter focusing on asset-backed securities Sarbanes-Oxley's effects on disclosure requirements and due diligence the growing trend of On-line offerings Dealing with 'gun-jumping' problems Electronic delivery of offering documents New emphasis on financial statement due diligence New NASD corporate financing rule New NASD rule on retention of new issues (formerly the 'hot issue' rule) Exiting the SEC reporting system Innovative financing techniques And The Commodity Futures Modernization Act of 2000 Short sales and equity derivatives Innovations in convertible, exchangeable and equity-linked securities Amended Rule 10b-18 and more
Securities Litigation
Author : Jonathan C. Dickey
Publisher : Practising Law Institute
Page : 0 pages
File Size : 46,50 MB
Release : 2006
Category : Actions and defenses
ISBN : 9781402408175
Book Description
Securities Litigation: A Practitioner's Guide can help companies cope effectively with this major challenge, by providing you with the guidance you need to help your clients get the competitive edge in securities class actions.
