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Author:
Publisher: Wolters Kluwer
ISBN: 0735554218
Category :
Languages : en
Pages : 1034
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Book Description
Author:
Publisher: Wolters Kluwer
ISBN: 0735554218
Category :
Languages : en
Pages : 1034
Get Book Here
Book Description
Author: Howard M. Friedman
Publisher: Aspen Publishers
ISBN: 9781454896333
Category : Securities
Languages : en
Pages : 0
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Book Description
Securities Regulation in Cyberspace analyzes the interweaving of technology and the securities laws. The authors provide an in-depth review of the tremendous impact technological advancements such as the Internet have had, and will continue to have, on securities regulation. The book covers electronic delivery of disclosure, both in securities offerings and to satisfy ongoing Exchange Act obligations, and discusses the state and federal regulation of offering of securities electronically, both domestically and internationally. Designed for readers seeking a comprehensive, integrated guide to the innovative legal challenges of raising capital, maintaining investor relations and trading securities online, both the novice and the expert are shown how to use Internet technology in corporate financing, securities trading, and investor relations. Securities Regulation in Cyberspace examines in detail major areas of interest and more: Securities Act compliance in online offerings Electronic delivery of SEC documents Private placement and direct public offerings through the Internet Blue sky laws in cyberspace Investor relations on the WWW Internet marketing of mutual funds Proxy statements and annual meetings in an electronic era Tender offers and takeovers using Internet technology Securities fraud in cyberspace Brokerage firms' use of Internet technology Investment advisors online The Fourth Edition has been significantly revised since the previous edition and, among other topics, includes coverage of: Cybersecurity and the SEC Cryptocurrencies as securities New developments regarding EDGAR and XBRL Recent amendments to the intrastate offerings exemptions Insider trading and hacking Broker-dealer liability for data breaches High Frequency trading and "spoofing" The rise of robo-advisers New developments regarding the consolidated audit trail
Author: Tamar Frankel
Publisher: Wolters Kluwer
ISBN: 145487063X
Category : Law
Languages : en
Pages : 4826
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Book Description
The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.
Author:
Publisher:
ISBN:
Category : Law reviews
Languages : en
Pages : 638
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Book Description
Author: Howard M. Friedman
Publisher: Aspen Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 1066
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Book Description
Author:
Publisher:
ISBN:
Category : Corporation law
Languages : en
Pages : 400
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Book Description
Author: Merritt B. Fox
Publisher:
ISBN: 9781982966850
Category : Securities
Languages : en
Pages : 476
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Book Description
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:
Publisher:
ISBN:
Category : Economics
Languages : en
Pages : 704
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Book Description
Author: Josh Luberisse
Publisher: Fortis Novum Mundum
ISBN:
Category : Business & Economics
Languages : en
Pages : 98
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Book Description
Navigate the intricate world of private equity and venture capital with "The Insider's Guide to Securities Law: Navigating the Intricacies of Public and Private Offerings." This comprehensive guidebook illuminates the complexities of the industry, serving as an essential resource for legal practitioners, investment professionals, and entrepreneurs alike. Venture into the fascinating domain of fund formation, understand the roles of limited and general partners, and uncover the strategic aspects of tax structuring. Get acquainted with the key regulatory authorities overseeing the industry, including the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Commodity Futures Trading Commission (CFTC). Delve deeper into the regulatory landscape, exploring crucial compliance requirements, the essentialities of fiduciary duty, and the impact of the JOBS Act and other significant laws. Grasp the essentials of Anti-Money Laundering (AML) and Know Your Customer (KYC) compliance, and learn how to navigate through the processes of sourcing and closing deals, conducting due diligence, and managing and exiting investments effectively. "The Insider's Guide to Securities Law" offers practical insights, actionable strategies, and a detailed glossary of key terms, making the labyrinth of private equity and venture capital law accessible to both seasoned professionals and newcomers. Embark on a journey through the dynamic landscape of global finance with confidence and insight with this indispensable guide.
