Securities Regulation in a Nutshell PDF Download
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Author: Thomas Lee Hazen
Publisher: West Academic Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 418
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Book Description
"Rev ed. of: Securities regulation in a nutshell / by David L. Ratner. 8th ed. 2005" -- Library of Congress.
Author: Thomas Lee Hazen
Publisher: West Academic Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 418
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Book Description
"Rev ed. of: Securities regulation in a nutshell / by David L. Ratner. 8th ed. 2005" -- Library of Congress.
Author: Thomas Lee Hazen
Publisher:
ISBN: 9780314269966
Category : Securities
Languages : en
Pages : 0
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Book Description
This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.
Author: David L. Ratner
Publisher: West Publishing Company
ISBN:
Category : Business & Economics
Languages : en
Pages : 388
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Book Description
Author: Thomas Lee Hazen
Publisher: West Academic Publishing
ISBN: 9780314144621
Category : Law
Languages : en
Pages : 0
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Book Description
This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the basic regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration.
Author: Thomas Lee Hazen
Publisher:
ISBN: 9781683283188
Category : Securities
Languages : en
Pages : 0
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Book Description
Softbound - New, softbound print book.
Author: Thomas Lee Hazen
Publisher: West Group Publishing
ISBN:
Category : Securities
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: Marc I. Steinberg
Publisher: Law Journal Press
ISBN: 9781588520210
Category : Business & Economics
Languages : en
Pages : 1220
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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: Jeffrey J. Haas
Publisher: West Academic Publishing
ISBN: 9780314172655
Category : Brokers
Languages : en
Pages : 0
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Book Description
Softbound - New, softbound print book.
Author: Marc I. Steinberg
Publisher: LexisNexis/Matthew Bender
ISBN:
Category : Business & Economics
Languages : en
Pages : 554
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Book Description
Author: Alan R. Palmiter
Publisher:
ISBN:
Category : Securities
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
