International Securities Law and Regulation PDF Download
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Author: Dennis Campbell
Publisher: BRILL
ISBN: 9004479538
Category : Law
Languages : en
Pages : 296
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Book Description
With this valuable text securities lawyers from the world's major trading nations offer valuable insights into the workings and legal underpinnings of global securities markets. They examine listing requirements for various stock exchanges and markets, the globalization of mutual funds, the impact of offshore funds, Internet and public offerings, planning and distribution of private securities, requirements for public offerings, disclosure and compliance requirements across international markets, and a great deal more. Published under the Transnational Publishers imprint.
Author: Dennis Campbell
Publisher: BRILL
ISBN: 9004479538
Category : Law
Languages : en
Pages : 296
Get Book Here
Book Description
With this valuable text securities lawyers from the world's major trading nations offer valuable insights into the workings and legal underpinnings of global securities markets. They examine listing requirements for various stock exchanges and markets, the globalization of mutual funds, the impact of offshore funds, Internet and public offerings, planning and distribution of private securities, requirements for public offerings, disclosure and compliance requirements across international markets, and a great deal more. Published under the Transnational Publishers imprint.
Author: Kenneth Lehn
Publisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 558
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Book Description
New developments in securities markets, particularly in the areas of technology, financial products, and foreign securities markets, are challenging the Securities and Exchange Commission to reconsider its regulatory policies. This book offers detailed prescriptions for effective regulation from experienced regulators and noted scholars in the field. A definitive collection that illustrates how research and expert opinion can help the SEC frame issues and establish objective criteria for evaluating the effectiveness of its policies.
Author:
Publisher:
ISBN:
Category : Banks and banking, Foreign
Languages : en
Pages : 714
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Book Description
Author: James M. Bartos
Publisher: Kluwer Law International B.V.
ISBN: 9041123628
Category : Law
Languages : en
Pages : 326
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Book Description
Capital raising, mergers and acquisitions and securities trading around the world often involve some connection with the United States and implicate the US securities laws. United States Securities Law: A Practical Guide ,offers a concise overview of US securities laws from the perspective of a non-US participant. It is written not only for lawyers but for managers, bankers and others with an interest in the topic. This new edition has been significantly updated and expanded, including for the SEC's recent offering reforms and corporate governance developments. Praise for the Second Edition: This book has been a valuable resource in effectively counselling my company in the intricacies of SEC regulation. Jim, with his many years of counselling foreign issuers out of his firms London office, writes with a perspective that is particularly relevant to the needs of foreign companies listed on US exchanges. George Miller, Executive Vice President and General Counsel, Novartis Corporation. A well written and useful primer for those looking for quick, practical answers to real life questions or who wish to understand better the background and rationale to US securities law and regulation. Leland Goss, Managing Director, Credit Suisse. This book really is a practical guide to the US securities laws. It does a great job of explaining the rules and regulations in a way that can be understood by readers that are not themselves US securities lawyers. Peter Castellon, Director andamp; Counsel, Citigroup Corporate andamp; Investment Banking.
Author: Allan B. Afterman
Publisher: Aspen Publishers
ISBN: 9781567062977
Category : Business & Economics
Languages : en
Pages : 4028
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Book Description
Here is the only reference providing comprehensive coverage of the accounting, financial reporting, and disclosure requirements for foreign companies seeking to raise capital in the United States or list their shares on a U.S. stock exchange. the book contains hundreds of filing examples taken from the foreign filing forms used exclusively by foreign issuers and gives a nuts-and-bolts approach to compliance. Critical topics covered include: exemptions from registration available to foreign private issuers, U.S. stock exchange and NASDAQ listing requirements of foreign private issuers, financial statements required of foreign issuers in SEC registration and reports, U.S. G.A.A.P. and SEC financial reporting requirements, nonfinancial information required in SEC registration statements and reports, reports of foreign auditors, and requirements of foreign private issuers in specialized industries. Extensive appendix material contains: all major 1933 Act and 1934 Act forms filed by foreign issuers; sample completed forms F-1, 6-K, and 20-F; Industry Guide 3, detailing the statistical disclosures required in filings of foreign bank holding companies; and disclosure of MD&A issues relating to the year 2000.
Author:
Publisher:
ISBN:
Category : Banks and banking, Foreign
Languages : en
Pages : 786
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Book Description
Author: Allan B. Afterman
Publisher: Aspen Publishers
ISBN: 9781567062007
Category :
Languages : en
Pages :
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Book Description
Author: Guy P. Lander
Publisher:
ISBN:
Category : Investments, Foreign
Languages : en
Pages : 1426
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Book Description
Author:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
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Book Description
Author: Alan R. Palmiter
Publisher: Aspen Publishing
ISBN: 1543819877
Category : Law
Languages : en
Pages : 772
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Book Description
Informal and student-friendly, this best-selling study guide—also used by Wall Street lawyers and SEC staffers as a reference book—gives an overview of federal securities regulation and illustrates the topic with practical applications. Examples & Explanations: Securities Regulation, Eighth Edition combines clear introductions with examples and explanations that allow students to test their understanding of concepts and practice applying the law to fact patterns—many drawn from actual events in the securities markets. New to the Eighth Edition: Updates on U.S. capital formation in public and private securities markets, with a focus on trends in IPOs, going-private transactions, and private placements New materials on the treatment of “autonomous business” forms and crypto-currencies (including gaming tokens) under the federal securities law Trends in the use of Reg D, Reg A+, and Reg CF over the past several years, given recent amendments to these registration exemptions under the Securities Act of 1933 The timeliness of Section 11 suits under the Securities Act of 1933, as interpreted by the Supreme Court in CALPERS v. ANZ Securities, Inc. (2017) The preemption of state court class actions under the Securities Act of 1933 and the right of defendants to remove such actions to federal court, as interpreted by the Supreme Court in Cyan, Inc. v. Beaver County Employees Retirement Fund (2018) The securities-fraud liability of a securities rep, who disseminated false information provided to him by a superior, as interpreted by the Supreme Court in Lorenzo v. SEC (2019) Lower court application of the “personal benefit” analysis in Salman v. United States (2016) to quid pro quo tips of inside information to family and friends Updates on judicial and SEC enforcement of the federal securities laws—in particular, the use of disgorgement and civil penalties in the sale of nonexempt, unregistered securities The timeliness of disgorgement sanctions in SEC enforcement actions, as interpreted by the Supreme Court in Kokesh v. SEC (2017) The proper appointment of SEC administrative law judges and their authority to impose sanctions in SEC administrative enforcement actions, as interpreted by the Supreme Court in Lucia v. SEC (2018) The availability of Dodd-Frank whistleblower protection to a company executive who reported a possible securities violation within his company but not to the SEC, as interpreted by the Supreme Court in Digital Realty Trust, Inc. v. Somers (2018) The requirement of individualized showings of “domestic transactions” in a securities fraud class action brought against a foreign company whose securities traded on U.S. and foreign markets Professors and students will benefit from: A study guide that introduces students to the subject’s clubbish vocabulary, identifies its important principles, and reveals its layered structure. Chapters in which, after sketching the key concepts of U.S. securities regulation, give students a chance to compare their responses to concrete examples with the book’s detailed explanations. The text includes new and updated charts on: Shareholdings in the US securities markets Capital formation through public and private offerings Actual use of the various registration exemptions The updated examples and explanations include new questions on: “Autonomous business” forms and crypto-currencies Section 11 class actions brought in state court Fraudulent statements “made” by securities professionals Insider trading tips to friends and family Availability of disgorgement sanctions in SEC enforcement actions
