2002 U.S. Master Federal Securities Law Guide PDF Download
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Author: Ted Trautmann
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 612
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Book Description
Author: Ted Trautmann
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 612
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Book Description
Author: Ted Trautmann
Publisher: Aspen Law & Business
ISBN: 9780808017219
Category : Law
Languages : en
Pages : 680
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Book Description
The U.S. Master Federal Securities Law Guide is an essential roadmap to the vast body of federal securities laws, regulations and forms. The guide offers comprehensive, yet concise, explanations and analysis that help put the material in perspective. It covers the most significant provisions and SEC rules under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Sarbanes-Oxley Act of 2002. the discussion is arranged by topic, including the following major areas: securities registration, prospectuses, issuer reporting, proxies, tender offers, insider transactions, fraud liability, market regulation, broker-dealers, investment companies, investment advisers, accounting and auditing, attorney reporting, and privacy. The 2007 Edition includes revised discussion of internal control over financial reporting, explaining recently-issued Auditing Standard No. 5 and SEC management guidance. It also examines executive compensation disclosure reforms and the new e-proxy rule. In addition, the work features analysis of other timely topics such as FIN 48, securities fraud litigation development, hedge fund advisers, elimination of the "tick test" under Rule 10a-1, adjusted filing fees, shareholder access to nominate directors, and deregistration by foreign private issuers.
Author: Ted Trautmann
Publisher: CCH Incorporated
ISBN: 9780808015475
Category : Disclosure of information
Languages : en
Pages : 654
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Book Description
Explanation of federal securities law and underlying regulations of the U.S. Securities and Exchange Commission.
Author: CCH Incorporated
Publisher: CCH Incorporated
ISBN: 9780808012986
Category :
Languages : en
Pages : 710
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Book Description
Overview of federal securities laws and regulations of the Securities and Exchange Commission.
Author: James M. Bartos
Publisher: Kluwer Law International B.V.
ISBN: 9041123628
Category : Law
Languages : en
Pages : 326
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Book Description
Capital raising, mergers and acquisitions and securities trading around the world often involve some connection with the United States and implicate the US securities laws. United States Securities Law: A Practical Guide ,offers a concise overview of US securities laws from the perspective of a non-US participant. It is written not only for lawyers but for managers, bankers and others with an interest in the topic. This new edition has been significantly updated and expanded, including for the SEC's recent offering reforms and corporate governance developments. Praise for the Second Edition: This book has been a valuable resource in effectively counselling my company in the intricacies of SEC regulation. Jim, with his many years of counselling foreign issuers out of his firms London office, writes with a perspective that is particularly relevant to the needs of foreign companies listed on US exchanges. George Miller, Executive Vice President and General Counsel, Novartis Corporation. A well written and useful primer for those looking for quick, practical answers to real life questions or who wish to understand better the background and rationale to US securities law and regulation. Leland Goss, Managing Director, Credit Suisse. This book really is a practical guide to the US securities laws. It does a great job of explaining the rules and regulations in a way that can be understood by readers that are not themselves US securities lawyers. Peter Castellon, Director andamp; Counsel, Citigroup Corporate andamp; Investment Banking.
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 235
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Book Description
Author: Hazen, Thomas L.
Publisher: Edward Elgar Publishing
ISBN: 1802206256
Category : Law
Languages : en
Pages : 192
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Book Description
Answering the key question of whether there is an obligation for States to define and enact sound climate policies in order to avoid the impacts of global warming, this timely book provides expert analysis on recent global climate cases, assessing not only the plaintiffs’ claims but also the legal reasoning put forward by the courts.
Author:
Publisher:
ISBN: 9781599411644
Category : Business & Economics
Languages : en
Pages : 2230
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Book Description
This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. Contents include the Securities Act of 1933, Security Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, related federal laws, and state securities laws. Also includes early 2002 amendments to the Securities Act of 1933 and the Securities Exchange Act of 1934. The Revised 2005 Edition of Federal Securities Laws: Selected Statutes, Rules and Forms follows the format of earlier years. Early in 2002 Congress changed fee provisions in Section 6(b) of the Securities Act of 1933 and amended Section 4(b), 13(f), 14(g), and 31 of the Securities Exchange Act of 1934 to address fees and SEC expenditures. Rule 135b of the Securities Act of 1933 was amended as were Regulations S-B and S-K Items 201 and 601. There were several Rules added or amended in the Securities Exchange Act. These included Rules 3a4-2, 3a4-3, 3a4-5, 3a4-6, 3a5-1, 3a55-1, 3a55-2, 3a55-3, 3b-17, 3b-18, 6a-3, 6a-4, 14a-3, 15a-7, 15a-8, 15a-9, 15a-10, 15b2-2, 15b11-1, 17a-3, 17a-4, 17a-25, 17AD-7, 19b-4, 19b-7, and 31-1. In addition, Rule 303 of Regulation ATS was amended as were Item 12 of Form 10-K and Item 11 of Form 10-KSB. There are also amendments to Investment Company Act Rules 2a-7, 5b-3 and 31a-2 as well as Rule 204-2 of the Investment Advisers Act and Rule 202.3 of SEC Rules of Practice.
Author:
Publisher: Association
ISBN:
Category : Business & Economics
Languages : en
Pages : 300
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Book Description
Author: Thomas Lee Hazen
Publisher:
ISBN:
Category : Electronic government information
Languages : en
Pages : 188
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Book Description
