Securities law review
Author :
Publisher :
Page : 520 pages
File Size : 46,65 MB
Release : 1987
Category :
ISBN :
Author :
Publisher :
Page : 520 pages
File Size : 46,65 MB
Release : 1987
Category :
ISBN :
Author : Marc I. Steinberg
Publisher : Law Journal Press
Page : 1220 pages
File Size : 44,28 MB
Release : 1984
Category : Business & Economics
ISBN : 9781588520210
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 : Nicholas L. Georgakopoulos
Publisher : Cambridge University Press
Page : 215 pages
File Size : 10,83 MB
Release : 2017-05-04
Category : Law
ISBN : 1108146171
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 : Thomas Lee Hazen
Publisher :
Page : 0 pages
File Size : 42,28 MB
Release : 2016
Category : Securities
ISBN : 9780314269966
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
Page : 361 pages
File Size : 30,78 MB
Release : 2021
Category : Law
ISBN : 0197583148
"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 : Illinois Institute for Continuing Legal Education
Publisher :
Page : 225 pages
File Size : 11,65 MB
Release : 1984
Category : Securities
ISBN :
Author :
Publisher :
Page : 498 pages
File Size : 47,86 MB
Release : 1984
Category : Mutual funds
ISBN :
Author : Gary M. Brown
Publisher :
Page : 0 pages
File Size : 12,22 MB
Release : 2013-01-16
Category : Going public (Securities)
ISBN : 9781402418969
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 :
Publisher :
Page : pages
File Size : 24,61 MB
Release : 1985
Category : Actions and defenses
ISBN :
Author : James D. Cox
Publisher :
Page : 194 pages
File Size : 46,61 MB
Release : 2006
Category : Business & Economics
ISBN :
Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more.