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Author: Harold S. Bloomenthal
Publisher:
ISBN: 9780836613193
Category : Securities
Languages : en
Pages :
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Author: Harold S. Bloomenthal
Publisher:
ISBN: 9780836613193
Category : Securities
Languages : en
Pages :
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Book Description
Author: Gary M. Brown
Publisher:
ISBN: 9781402418969
Category : Going public (Securities)
Languages : en
Pages : 0
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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
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages :
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Author: Thomas Lee Hazen
Publisher: West Group Publishing
ISBN:
Category : Securities
Languages : en
Pages : 1194
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Book Description
"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.
Author: Marvin G. Pickholz
Publisher:
ISBN: 9780876328569
Category : Securities fraud
Languages : en
Pages :
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Book Description
Author: Jerry W. Markham
Publisher: Edward Elgar Publishing
ISBN: 1782540075
Category : Business & Economics
Languages : en
Pages : 544
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Book Description
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: Marc I. Steinberg
Publisher: Oxford University Press
ISBN: 0197583148
Category : Law
Languages : en
Pages : 361
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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"--
Author: Thomas Lee Hazen
Publisher: American Bar Association
ISBN: 9781616320973
Category : Law
Languages : en
Pages : 0
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Book Description
The book is designed to provide an understanding of the federal securities laws; emphasizing those areas of the law that are likely to be confronted in a general or corporate practice, while giving some coverage to market regulation, broker-dealers, and the regulation of investment companies and investment advisers.
Author: Marcus Best
Publisher:
ISBN: 9789041154422
Category : Effectenhandel
Languages : en
Pages : 0
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Book Description
Numerous changes, large and small, in securities laws and regulations in many jurisdictions necessitate periodic new editions of this unique and much-relied-upon source of information for global investors. In this fourth edition, the goal is again to provide a comprehensive, reliable and up-to-date guide to the relevant issues encountered in the issue and offering of cross-border securities in the most significant financial markets. Since its first edition, the ‘International Securities Law Handbook’ has answered the need for a user-friendly source of information covering the most significant jurisdictions. Now fully updated and with first-time contributions from Chile, Colombia, Italy, Poland, Russia and Thailand, this invaluable reference presents the key elements of securities law and regulations in 39 jurisdictions. Country chapters, each written by a local expert in securities law, appear alphabetically. Each jurisdiction is presented in a consistent format, covering the topics most relevant to overseas investors and their advisers, so that information on specific issues can be easily found and compared from country to country.
Author:
Publisher:
ISBN:
Category : Directors of corporations
Languages : en
Pages : 796
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Book Description
