Understanding Securities Law PDF Download
Are you looking for read ebook online? Search for your book and save it on your Kindle device, PC, phones or tablets. Download Understanding Securities Law PDF full book. Access full book title Understanding Securities Law by Marc I. Steinberg. Download full books in PDF and EPUB format.
Author: Marc I. Steinberg
Publisher: LexisNexis/Matthew Bender
ISBN:
Category : Business & Economics
Languages : en
Pages : 554
Get Book Here
Book Description
Author: Marc I. Steinberg
Publisher: LexisNexis/Matthew Bender
ISBN:
Category : Business & Economics
Languages : en
Pages : 554
Get Book Here
Book Description
Author: Edward N. Gadsby
Publisher:
ISBN:
Category : Securities
Languages : en
Pages :
Get Book Here
Book Description
Author: Thomas Lee Hazen
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 210
Get Book Here
Book Description
Author: Gary M. Brown
Publisher:
ISBN: 9781402418969
Category : Going public (Securities)
Languages : en
Pages : 0
Get Book Here
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: Thomas Lee Hazen
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 132
Get Book Here
Book Description
Author: Marc I. Steinberg
Publisher: Oxford University Press
ISBN: 0197583148
Category : Law
Languages : en
Pages : 361
Get Book Here
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: Charles J. Johnson
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 1154
Get Book Here
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
Author: Louis Loss
Publisher: Aspen Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 820
Get Book Here
Book Description
"The universally acknowledged work Securities Regulation is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes plus thousands of cases, SEC administrative decisions and letters definitively clarifies such questions as: When does a note fall within the definition of a "security" How have the courts altered the express civil liability provisions of the federal securities laws? Can the SEC impose additional ten-day suspensions on trading without notice? Does scienter include reckless as well as intentional conduct? And countless others, so that you're almost sure to find coverage of the "small point" on which your case may turn."--Publisher's website.
Author: Thomas Lee Hazen
Publisher:
ISBN: 9780756738464
Category : Law
Languages : en
Pages : 0
Get Book Here
Book Description
This monograph by the Federal Judicial Center provides an introduction to & overview of the complexities of litigation involving the federal securities laws, with an emphasis on the issues that are most likely to arise in litigation: basic registration, disclosure, & antifraud provisions. Chapters: Introduction: The Federal Securities Laws, the Securities & Exchange Commission (SEC), Sources of Litigation, Self-Regulation, & Private Remedies; Scope & Reach of the Securities Laws; Regulating the Distribution of Securities -- the Securities Act of 1933; Regulating Issuers, Securities Professionals, & the Securities Markets -- The Securities Exchange Act of 1934; Appendix: Statutory Conversion Charts; For Further Reference; & Table of Cases.
Author:
Publisher:
ISBN: 9781508317685
Category :
Languages : en
Pages : 0
Get Book Here
Book Description
