Annual Securities Regulation Institute PDF Download
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Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages :
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Book Description
Author: Gary M. Brown
Publisher:
ISBN: 9781402418969
Category : Going public (Securities)
Languages : en
Pages : 0
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Book Description
In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 274
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Book Description
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:
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 232
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1448
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Book Description
Author: Canadian Council on International Law. Conference
Publisher:
ISBN:
Category : Canada
Languages : en
Pages : 272
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 678
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 836
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Book Description
Author:
Publisher:
ISBN:
Category : Actions and defenses
Languages : en
Pages :
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Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on International Finance and Monetary Policy
Publisher:
ISBN:
Category : Accounting
Languages : en
Pages : 248
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Book Description
