Regulation Of Securities Markets

Author : Patrick S. Collins
Publisher : John Wiley & Sons
ISBN 13 : 1118008561
Total Pages : 384 pages
Book Rating : 4.60/5 ( download)

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Download or read book Regulation of Securities, Markets, and Transactions written by Patrick S. Collins and published by John Wiley & Sons. This book was released on 2011-01-14 with total page 384 pages. Available in PDF, EPUB and Kindle. Book excerpt: The ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage of domestic securities regulation, this book fills the need for coverage of securities regulations, defining, describing, and explaining everything professionals need to know about domestic securities regulation. Examines the current securities rules Provides an overview of the latest regulations for this industry Includes a description of the various government regulations of securities markets, and securities transactions Since the corporate scandals of 2002, this industry has seen intense scrutiny of how it is regulated. Regulation of Securities, Markets, and Transactions demystifies the new laws and regulations with straightforward, to-the-point coverage professionals need.

Author : Felice B. Friedman
Publisher : World Bank Publications
ISBN 13 :
Total Pages : 55 pages
Book Rating : 4./5 ( download)

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Download or read book Regulation of Fixed Income Securities Markets in the United States written by Felice B. Friedman and published by World Bank Publications. This book was released on 2004 with total page 55 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Jerome H. Grossman
Publisher :
ISBN 13 :
Total Pages : 612 pages
Book Rating : 4.3S/5 ( download)

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Download or read book Securities Markets Regulation written by Jerome H. Grossman and published by . This book was released on 1975 with total page 612 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
ISBN 13 :
Total Pages : 294 pages
Book Rating : 4.81/5 ( download)

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Download or read book Enhancing Investor Protection and the Regulation of Securities Markets written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2009 with total page 294 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Dennis Campbell
Publisher : BRILL
ISBN 13 : 9004479538
Total Pages : 296 pages
Book Rating : 4.31/5 ( download)

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Download or read book International Securities Law and Regulation written by Dennis Campbell and published by BRILL. This book was released on 2021-09-13 with total page 296 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 : Karen Kunz
Publisher : Lexington Books
ISBN 13 : 0739196057
Total Pages : 223 pages
Book Rating : 4.52/5 ( download)

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Download or read book When the Levees Break written by Karen Kunz and published by Lexington Books. This book was released on 2016-12-09 with total page 223 pages. Available in PDF, EPUB and Kindle. Book excerpt: The stock markets. Whether you invest or not, the workings of the stock market almost certainly touch your life. Either through your retirement fund, your mutual fund or just because you work for a place that invests (or is invested in)—the reach of the securities markets is expanding, like an ever growing tidal wave. This book discusses what happens when that wave hits the shore. Specifically, this book argues that, given the mounting deluge from misplaced regulation, fast-paced technology, and dominant financial players, the current US regulatory structure is woefully inadequate to hold back the tide. Using vivid imagery and plain language, Karen Kunz and Jena Martin take the problems involved in regulating the complex world of securities head on. Examining everything from the rise of technology and the role of hedge funds to our bloated agency system, Kunz and Martin argue that the current structure is doomed to fail and, when it does, the consequences will be disastrous. Sending out a call to action, the authors also offer a bold vision for how to fix the mess we’ve made—not by tinkering around the edges—but instead by building a whole new structure, one that can withstand the next storm that is sure to come.

Author : Alan R. Palmiter
Publisher : Aspen Publishing
ISBN 13 : 1543819877
Total Pages : 772 pages
Book Rating : 4.78/5 ( download)

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Download or read book Examples & Explanations for Securities Regulation written by Alan R. Palmiter and published by Aspen Publishing. This book was released on 2021-08-10 with total page 772 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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

Author : Kenneth Lehn
Publisher : Irwin Professional Publishing
ISBN 13 :
Total Pages : 558 pages
Book Rating : 4.53/5 ( download)

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Download or read book Modernizing U.S. Securities Regulation written by Kenneth Lehn and published by Irwin Professional Publishing. This book was released on 1992 with total page 558 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 : Aspen Law & Business Publishers
ISBN 13 :
Total Pages : 254 pages
Book Rating : 4.63/5 ( download)

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Download or read book U.S. Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Felice B. Friedman
Publisher :
ISBN 13 :
Total Pages : 55 pages
Book Rating : 4.19/5 ( download)

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Download or read book Regulation of Fixed Income Securities Markets in the United States written by Felice B. Friedman and published by . This book was released on 2016 with total page 55 pages. Available in PDF, EPUB and Kindle. Book excerpt: Friedman looks at the development and regulation of the fixed income securities market in the United States. The U.S. fixed income market is one of the oldest and most developed debt markets in the world. It is also one of the most heterogeneous, with the four key market segments - government securities, the securities of government-sponsored enterprises, municipal securities, and corporate debt securities - all being relatively large and deep. The author describes the evolution of fixed income market regulation in the United States, discussing both primary and secondary market regulation. She also looks at market integrity issues and the enforcement authority of the U.S. Securities and Exchange Commission, which is broad and has played an important role in the effectiveness of regulation. The author concludes that the fact that the U.S. fixed income market flourished for many years in the absence of regulation must be seen in a broader legal and regulatory context. While the debt market itself may have been unregulated, it operated within a larger framework of equity market regulation and enforcement, complemented by a long history of bank supervision that had a significant impact on its development. It is this context that permitted U.S. authorities to adopt regulation in stages, in response to differing demands and priorities. The dynamic nature of the regulation of the U.S. fixed income market - its development in response to market crises - underscores the need for regulation to remain responsive to market developments, and to be adapted to domestic constraints.This paper - a product of Financial Sector Operations and Policy Department - is part of a larger effort in the department to strengthen regulation in emerging securities markets.