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Author: Hans Tjio
Publisher:
ISBN: 9789814770446
Category : Securities
Languages : en
Pages : 703
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Book Description
Author: Hans Tjio
Publisher:
ISBN: 9789814770446
Category : Securities
Languages : en
Pages : 703
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Book Description
Author: Thomas Hazen
Publisher: West Academic Publishing
ISBN: 9781683288299
Category :
Languages : en
Pages : 526
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Book Description
This title includes the most recent developments in securities regulation in an accessible format, including the JOBS Act. Authoritative coverage includes the registration process; exemptions; corporate recapitalizations, reorganizations, and mergers; market manipulation; liabilities; Securities Exchange Act of 1934; jurisdictional aspects; broker-dealer regulation and an overview of investment company regulation. This Revised 4th Edition updates the 4th Edition to include recent legal developments regarding insider trading and SEC administrative proceedings, as well as some editorial revisions.
Author: Thomas Lee Hazen
Publisher: West Group Publishing
ISBN:
Category : Business & Economics
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: International Organization of Securities Commissions
Publisher:
ISBN:
Category :
Languages : en
Pages :
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Book Description
Author: Larry D. Soderquist
Publisher: Foundation Press
ISBN: 9781599415192
Category :
Languages : en
Pages : 0
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Book Description
This is the 2008 Supplement updating the 6th Edition of Soderquist and Gabaldon's Securities Regulation casebook.
Author: Alan R. Palmiter
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 564
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Book Description
Students depend on Securities Regulation: Examples & Explanations because it gives them what they need: - coverage of key concepts, such as public offerings, exemptions from registration, liability in securities offerings, materiality, definition of security, securities fraud, insider trading, SEC enforcement, and cross-border regulation - Examples and Explanations approach that reinforces learning by combining textual material with well-written examples, questions, and explanations - assistance in navigating a complex subject, beginning with clear delineations of the basic concepts of securities regulation and then applying the concepts in specific areas - numerous examples drawn from newsworthy events - content corresponds to the topics in the leading casebooks - sound and logical organization moves from major themes to specifics - clear and straightforward writing style The Third Edition keeps pace with developments in the law: - Sarbanes-Oxley Act with comprehensive overview and developments, including new problems - new SEC rules on expanded risk disclosure, company certifications, and lawyer up the ladder reporting - new material on IPO abuses: spinning, flipping, gun-jumping - new NYSE and NASDAQ rules on corporate governance listing standards and stock analysts - new and updated cases - new and revised examples
Author: International Monetary Fund
Publisher: International Monetary Fund
ISBN: 1475506449
Category : Business & Economics
Languages : en
Pages : 107
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Book Description
This report analyzes the functioning of the legal and regulatory framework for the securities market in Japan. The Financial Services Agency (FSA) enjoyed specific powers with respect to the various security laws and regulations laid down by the International Organization of Securities Commission (IOSCO). The FSA has been authorized to bring about certain changes, to implement new principles, and to develop new frameworks to ensure and strengthen the smooth functioning of supervision and investigation. It is also necessary to identify and assess risks to determine FSA intervention.
Author: International Monetary Fund
Publisher: International Monetary Fund
ISBN: 1475504306
Category : Business & Economics
Languages : en
Pages : 134
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Book Description
This paper assesses implementation of the International Organization of Securities Commissions' (IOSCO) objectives and principles of securities regulation in Spain. Spain exhibits a high level of implementation of principles. The legal framework is robust and provides the Comisión Nacional de Valores (CNMV) with broad supervisory, investigative, and enforcement powers. Arrangements for off-site monitoring of regulated entities are robust. However, some areas of supervision and enforcement require strengthening. In particular, the CNMV should make more use of on-site inspections for all types of investment service providers.
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: International Organisation of Securities Commissions
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 116
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Book Description
