Annual Securities Regulation Institute 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 Annual Securities Regulation Institute PDF full book. Access full book title Annual Securities Regulation Institute by . Download full books in PDF and EPUB format.
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 274
Get Book Here
Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 274
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:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 840
Get Book Here
Book Description
Author:
Publisher:
ISBN:
Category : Actions and defenses
Languages : en
Pages :
Get Book Here
Book Description
Author:
Publisher:
ISBN: 9781402405211
Category : Audit committees
Languages : en
Pages : 1482
Get Book Here
Book Description
Author: M. John Sterba
Publisher: Wolters Kluwer
ISBN: 0735530815
Category : Law
Languages : en
Pages : 1903
Get Book Here
Book Description
Author: Marc I. Steinberg
Publisher: Law Journal Press
ISBN: 9781588520210
Category : Business & Economics
Languages : en
Pages : 1220
Get Book Here
Book Description
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: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 676
Get Book Here
Book Description
Distributed to some depository libraries in microfiche.
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1148
Get Book Here
Book Description
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 256
Get Book Here
Book Description
