Annual Institute on Securities Regulation PDF Download
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Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 368
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 368
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Book Description
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: 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: 9781402405211
Category : Audit committees
Languages : en
Pages : 1482
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1216
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Book Description
Author: Thomas R. Jackson
Publisher:
ISBN: 9781402431210
Category : Depositions
Languages : en
Pages : 0
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Book Description
Depositions Answer Book provides guidance on all stages of the deposition process and is a valuable resource for both the novice and the expert litigator.
Author: Alan L. Beller
Publisher:
ISBN: 9781402418877
Category : Consolidation and merger of corporations
Languages : en
Pages : 2637
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 634
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Book Description
Author:
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 1308
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Book Description
Author: Steven E. Bochner
Publisher:
ISBN: 9781402416781
Category : Consolidation and merger of corporations
Languages : en
Pages : 2650
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Book Description
