SEC Compliance and Enforcement Answer Book 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 SEC Compliance and Enforcement Answer Book PDF full book. Access full book title SEC Compliance and Enforcement Answer Book by David M. Stuart. Download full books in PDF and EPUB format.
Author: David M. Stuart
Publisher:
ISBN: 9781402436062
Category : Corporate governance
Languages : en
Pages :
Get Book Here
Book Description
Author: David M. Stuart
Publisher:
ISBN: 9781402436062
Category : Corporate governance
Languages : en
Pages :
Get Book Here
Book Description
Author: Robin Hui Huang
Publisher: Cambridge University Press
ISBN: 1316738507
Category : Law
Languages : en
Pages : 553
Get Book Here
Book Description
This book assembles the world's most authoritative specialists for a comparative analysis of the enforcement of corporate and securities laws in thirteen national jurisdictions. It examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective.
Author: Wenming Xu
Publisher: Springer Nature
ISBN: 9811909040
Category : Law
Languages : en
Pages : 157
Get Book Here
Book Description
This book takes a law and economic approach to examine the securities law enforcement in China and provides an in-depth empirical analysis on the enforcement inputs and outputs. In contrast to previous studies, it systematically collects a large sample of judicated securities fraud cases and public sanctions as disclosed by the listed companies. The enforcement regime is further divided into the private enforcement exemplified by the civil litigation imitated by harmed investors and public enforcement by sanctions proceedings initiated by public agencies. Academic researchers, policy makers and practitioners, who are interested in the securities market and regulation could find the information provided in this book interesting.
Author: Pierre-Henri Conac
Publisher: Cambridge University Press
ISBN: 1108577423
Category : Law
Languages : en
Pages : 1363
Get Book Here
Book Description
Global Securities Litigation and Enforcement provides a clear and exhaustive description of the national regime for the enforcement of securities legislation in cases of misrepresentation on financial markets. It covers 29 jurisdictions worldwide, some of them are important although their law is not well known. It will be an invaluable resource for academics and students of securities litigation, as well as for lawyers, policy-makers and regulators. The book also provides a comprehensive contribution debate on whether public or private enforcement is preferable in terms of development of securities markets. It will appeal to those interested in the legal origins theory and in comparative securities law, and shows that the classification of jurisdictions within legal families does not explain the differences in legal regimes. While US securities law often serves as a model for international convergence, some of its elements, such as securities class actions, have not been adopted worldwide.
Author: Donna M. Nagy
Publisher: West Academic Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 1080
Get Book Here
Book Description
Designed to suit a variety of two or three credit courses and seminars, the casebook is being used to teach (1) courses in "securities litigation" that examine litigation topics under the Exchange Act and the Securities Act; (2) courses in "securities enforcement" that center on SEC and criminal enforcement, market manipulation, insider trading, and the professional responsibilities of attorneys and accountants; and (3) more specialized courses or seminars that build around the theme of "current topics in securities litigation."
Author: Roger M. Adelman
Publisher: Section of Administrative Law and Regulatory an Bar Associat
ISBN:
Category : Business & Economics
Languages : en
Pages : 554
Get Book Here
Book Description
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: 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: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 868
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.
