Author: James D. Cox
Publisher: Aspen Publishing
ISBN:
Category : Law
Languages : en
Pages : 1814
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Book Description
Amendments to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incidents by public companies that are subject to the reporting requirements of the Securities Exchange Act of 1934. Amendments to enhance investor protections in initial public offerings by Special Purpose Acquisition Companies (SPACs). Amendments to modernize and improve disclosure about repurchases of an issuer’s equity securities that are registered under the Exchange Act (Repurchase Rule). Amendments to update Regulation 13D-G to require market participants to provide more timely information on their positions to meet the needs of investors in today’s financial markets. Amendments to the rule under the Investment Company Act of 1940 that addresses certain broad categories of investment company names that are likely to mislead investors about an investment company's investments and risks. Latest updates to statutes, rules, regulations, and forms.
Author: James D. Cox
Publisher: Wolters Kluwer
ISBN: 9781543847246
Category : Law
Languages : en
Pages : 0
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Book Description
Securities Regulation: Selected Statutes, Rules, and Forms, 2021 Edition
Author: James D. Cox
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 194
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Book Description
Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more.
Author: Thomas Lee Hazen
Publisher:
ISBN: 9780314161826
Category : Securities
Languages : en
Pages : 1913
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Book Description
Author:
Publisher: Foundation Press
ISBN: 9781599416847
Category : Securities
Languages : en
Pages : 0
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Book Description
This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Security Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. The 2008 Edition follows the format of earlier years and contains updates through March 1, 2009.
Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
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Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author: JOHN C. COFFEE. SALE JR. (HILLARY A.. WHITEHEAD, CHARLES K.)
Publisher: Foundation Press
ISBN: 9781647080709
Category : Securities
Languages : en
Pages : 2447
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Book Description
This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. It contains many changes from the prior year's version, including: Amendments to Regulation A; Amendments to Regulation C; Amendments to Regulation S-K; Amendments to Regulation S-X; Amendments to Regulation S-T; Amendments to Regulation 12B; Amendments to Regulation 14A; Amendments to Regulation NMS; New Securities Act Rule 163B allowing issuer communications with certain investors prior to or following the filing of a registration statement; New Securities Act Rule 13-01 and Rule 13-02 regarding financial disclosure requirements for cer¬tain guarantors and issuers of guaranteed securities; New Exchange Act Rule 15Fi-3 and Rule 15Fi-4 regarding risk mitigation techniques for security based swap portfolios; and Rule 15Fi-5 regarding security-based swap trading relationship documentation; New Exchange Act Rule 18a-5 through Rule 18a-9 regarding recordkeeping and reporting require¬ments for certain security-based swap dealers and major security-based swap participants; New Investment Company Act Rule 6c-11 regarding exchange-traded funds; Amendments to various forms. This edition has a cutoff date of September 4, 2020. Certain changes will not be effective until after the cutoff date for this edition; those effective dates are set forth in the accompanying footnotes. The effective date for certain other changes will be determined based on when they are published in the Federal Register. Those effective dates are not yet set as of the cutoff date for this edition. The text for those changes is based on the original SEC-published releases.
Author: Thomas Lee Hazen
Publisher: West Academic Publishing
ISBN: 9780314177032
Category : Law
Languages : en
Pages : 900
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Book Description
An abridged version of Hazen's Selected Statutes for instructors who do not require the comprehensive treatment in the standard edition. The abridged version contains sufficient materials from most introductory securities regulation classes. The standard edition of Hazen's 2007 Securities Regulation Selected Statutes contains the latest SEC rulemaking including its new executive compensation disclosures that are not available in most other statutory supplements. Hazen's Selected Statutes is comprehensive and presented in readable format and the index make the material more accessible than in other statutory supplements. It includes new rules and forms adopted through September 15, 2006. While containing all of the statutes and rules needed for both basic and advanced courses in securities regulation, Hazen's Selected Statutes has more user-friendly features than the competition, including single rather than double column format. Also, unlike other statutory supplements on the subject, Hazen's Selected Statutes contains a helpful index to make it easier for students to locate statutes and rules.
Author: Gerald J. Miller
Publisher: Routledge
ISBN: 1351564641
Category : Political Science
Languages : en
Pages : 982
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Book Description
Examining various methods of debt management used in the US., Handbook of Debt Management, provides a comprehensive analysis of securities offered for sale by municipalities, states, and the federal government. The book covers laws regarding municipal bonds, the economic choice between debt and taxes and the tax-exempt status of municipal bond owners, capital budgeting, including state and local government practices, developing governmental and intergovernmental debt policies, pay-as-you-go with debt financing for capital projects, US Internal Revenue Service regulations on arbitrage in state and local government debt proceeds investment, US treasury auctions, and more.
Author: Harold Marsh
Publisher:
ISBN:
Category : Securities
Languages : en
Pages :
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Book Description
