United States Securities Law

Author : Gary M. Brown
Publisher :
ISBN 13 : 9781402418969
Total Pages : 0 pages
Book Rating : 4.65/5 ( download)

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Download or read book Securities Law and Practice Deskbook written by Gary M. Brown and published by . This book was released on 2013-01-16 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 : James M. Bartos
Publisher : Kluwer Law International B.V.
ISBN 13 : 9041123628
Total Pages : 326 pages
Book Rating : 4.26/5 ( download)

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Download or read book United States Securities Law written by James M. Bartos and published by Kluwer Law International B.V.. This book was released on 2006-01-01 with total page 326 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 : Thomas Lee Hazen
Publisher :
ISBN 13 :
Total Pages : 210 pages
Book Rating : 4.41/5 ( download)

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Download or read book Federal Securities Law written by Thomas Lee Hazen and published by . This book was released on 2011 with total page 210 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Marc I. Steinberg
Publisher : Oxford University Press
ISBN 13 : 0197583148
Total Pages : 361 pages
Book Rating : 4.42/5 ( download)

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Download or read book Rethinking Securities Law written by Marc I. Steinberg and published by Oxford University Press. This book was released on 2021 with total page 361 pages. Available in PDF, EPUB and Kindle. Book excerpt: "This book focuses on a very timely and important subject that merit s comprehensive analysis: "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--

Author :
Publisher :
ISBN 13 :
Total Pages : 544 pages
Book Rating : 4.75/5 ( download)

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Download or read book SEC Guidelines, Rules, and Regulations written by and published by . This book was released on 1983 with total page 544 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Thomas Lee Hazen
Publisher :
ISBN 13 : 9780314269966
Total Pages : 0 pages
Book Rating : 4.67/5 ( download)

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Download or read book Securities Regulation in a Nutshell written by Thomas Lee Hazen and published by . This book was released on 2016 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.

Author : United States
Publisher :
ISBN 13 :
Total Pages : 802 pages
Book Rating : 4.63/5 ( download)

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Download or read book Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce written by United States and published by . This book was released on 1995 with total page 802 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : United States
Publisher :
ISBN 13 :
Total Pages : 484 pages
Book Rating : 4.01/5 ( download)

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Download or read book Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce written by United States and published by . This book was released on 1985 with total page 484 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Jerry W. Markham
Publisher : Edward Elgar Publishing
ISBN 13 : 1782540075
Total Pages : 563 pages
Book Rating : 4.76/5 ( download)

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Download or read book Research Handbook on Securities Regulation in the United States written by Jerry W. Markham and published by Edward Elgar Publishing. This book was released on 2014-07-31 with total page 563 pages. Available in PDF, EPUB and Kindle. Book excerpt: This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute

Author : Thomas Lee Hazen
Publisher : West Group Publishing
ISBN 13 :
Total Pages : 1194 pages
Book Rating : 4.18/5 ( download)

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Download or read book The Law of Securities Regulation written by Thomas Lee Hazen and published by West Group Publishing. This book was released on 2002 with total page 1194 pages. Available in PDF, EPUB and Kindle. Book excerpt: "This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.