Securities Regulation

Securities Regulation

This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.

Author: Marc I. Steinberg

Publisher: Law Journal Press

ISBN: 1588520218

Category: Law

Page: 1486

View: 256

This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
Categories: Law

Securities Regulation

Securities Regulation

Now in its Fourth Edition, this trusted Examples & Explanations title supplies: coverage of the key concepts of securities regulation, including: public offerings exemptions from registration liability in securities offerings materiality ...

Author: Alan R. Palmiter

Publisher: Aspen Publishers Online

ISBN: 9780735565357

Category: Law

Page: 584

View: 618

Bringing transparency to a sometimes opaque subject, Alan R. Palmiter uses straightforward introductions And The proven-effective Examples & Explanations pedagogy to provide a clear and complete overview of federal securities regulation topics. Now in its Fourth Edition, this trusted Examples & Explanations title supplies: coverage of the key concepts of securities regulation, including: public offerings exemptions from registration liability in securities offerings materiality securities fraud, insider trading, SEC enforcement, and cross-border regulation the proven-effective Examples & Explanations pedagogy that combines straightforward introductions with well-written examples and explanations that apply concepts, reinforce learning, and test understanding of material covered a building-block organization that explains basic concepts first (such as securities markets, federal/state regulation, disclosure philosophy), then explores these concepts in greater detail examples drawn from newsworthy events, such as: public offerings by Google and Microsoft the roles of lawyers and accountants in Enron insider trading by Martha Stewart fraud litigation involving Parmalat coverage that traces the topics in most of the leading casebooks Updated throughout and with many new examples, The Fourth Edition features: recent Supreme Court rulings: Tellabs v. Makor Issues & Rights Merrill Lynch v. Dabit Dura Pharm. v. Broudo updated new SEC rules, including the public offering rules additional charts and diagrams Edition after edition, Alan R. Palmiter is the authority your students can rely on to present a clear and current picture of the entire Securities Regulation landscape. an author website to support classroom instruction using this title is available at www.wfu.edu/~palmitar/Books/SRegE&E .
Categories: Law

Securities Regulation

Securities Regulation

Securities Regulation: The Essentials is part of Aspen's new Essentials Series , which takes a 'forest rather than the trees' approach to teaching.

Author: Stephen Jung Choi

Publisher: Aspen Publishers Online

ISBN: 9780735565517

Category: Law

Page: 381

View: 324

Securities Regulation: The Essentials is part of Aspen's new Essentials Series, which takes a "forest rather than the trees" approach to teaching. This concise paperback concentrates on the fundamentals of Securities Regulation and uses a relaxed, personal style to explain them. Suitable for use with any casebook, this text will help students recognize and understand common themes and will precipitate understanding of the topics under discussion. Written by Stephen J. Choi and A.C. Pritchard, two well-regarded young securities regulation scholars in the country today, this outstanding resource: Begins with an introduction to the role of information in the decision making processes of investors, then takes up various topics in securities regulation using the framework developed in the first part of the text Examines the underlying business problems facing issuers and investors in securities regulation Takes a problem-and-solution approach that allows the professor to ask whether the solution currently provided by the law is the best solution and what alternatives should be considered Students will find the nuts-and-bolts approach of Securities Regulation: The Essentials reassuring and illuminating. Require or recommend this straightforward text for use alongside your casebook and watch student comprehension soar.
Categories: Law

Securities Regulation

Securities Regulation

After your casebook, Casenotes will be your most important reference source for the entire semester.

Author: Aspen Publishers

Publisher: Aspen Publishers Online

ISBN: 9780735578807

Category: Law

Page: 137

View: 285

After your casebook, Casenotes will be your most important reference source for the entire semester. It is the most popular legal briefs series available, with over 140 titles, and is relied on by thousands of students for its expert case summaries, comprehensive analysis of concurrences and dissents, as well as of the majority opinion in the briefs. Casenotes Features: Keyed to specific casebooks by title/author Most current briefs available Redesigned for greater student accessibility Sample brief with element descriptions called out Redesigned chapter opener provides rule of law and page number for each brief Quick Course Outline chart included with major titles Revised glossary in dictionary format
Categories: Law

Securities Regulation

Securities Regulation

B. The Legal Framework of Securities Regulation 19 and their promoters began
in the nineteenth century with requirements for registration of securities offerings
by public utilities and companies engaged in the exploration and extraction of ...

Author: James D. Cox

Publisher: Aspen Publishers

ISBN: 9781543810646

Category: Law

Page: 1136

View: 584

The Ninth Edition of Securities Regulation: Cases and Materials brings onboard two new co-authors—Ann Lipton and William Sjostrom—to a casebook that has long set the standard for providing students with an in-depth, sophisticated, practical look at contemporary securities law. As it has since its first edition, Securities Regulation: Cases and Materials contains a very teachable mix of problems, cases, and textual material, encouraging students to build their knowledge base by being active problem-solvers. Always forward-thinking, stressing current developments and controversies, the book is also highly modular, so that professors can easily pick and choose how to structure their courses without being locked into any given progression. New to the Ninth Edition: Coverage of “cryptocurrencies” and coin offerings Commentary on market developments such as indexing and algorithmic trading A tighter set of problems and materials on gun-jumping under Section 5 The SEC’s latest reforms of Regulation D and the intrastate offering exemption Spotify and the trend toward direct listings as a way of going public Coverage of Supreme Court decisions from the last three years, including Lorenzo, Salman, Cyan, Lucia, and Kokesh, as well as important lower court cases The SEC broker-dealer proposal (and perhaps adoption) of Regulation Best Interest Professors and students will benefit from: The book’s highly modular organization, enabling different teaching formats and coverage Concise notes that introduce the reader to both theory and real-life practice issues A book that is always up to date and on the cutting edge
Categories: Law

Securities Regulations

Securities Regulations

SECURITIES REGULATION: Examples and Explanations opens with an overview of Securities Markets and Regulation And The Definition of a Security, followed by coverage of: Materiality Registration of Securities Offerings Exemptions from ...

Author: Alan R. Palmiter

Publisher: Aspen Publishers

ISBN: STANFORD:36105061795139

Category: Securities

Page: 415

View: 431

Noted author Alan Palmiter sends a lifeboat to students of Securities Regulation in this carefully-crafted study guide. In the highly-regarded style of the Examples & Explanations Series that instructors know they can trust, Palmiter provides textual overviews of the key concepts of the course, followed by examples to test student understanding, and suggested answers To The examples. SECURITIES REGULATION: Examples and Explanations opens with an overview of Securities Markets and Regulation And The Definition of a Security, followed by coverage of: Materiality Registration of Securities Offerings Exemptions from Securities Act Registration Securities Act Liability Secondary and other Post-Offering Distributions Securities Exchange Act of 1934 Rule 10b-5 Insider Trading SEC Enforcement Palmiter also covers topics that sometimes receive cursory attention in class but are important on exams and in practice: Regulation of Securities Professionals U.S. Regulation of Cross-Border Securities Transactions Many of the examples and explanations in the book are drawn from newsworthy events, such as: the initial public offering of Microsoft in 1986 the recent emergence of internet trading a famous securities fraud case that bounced its way To The Supreme Court on a number of occasions With its timely examples, illuminating text, and proven effective format, SECURITIES REGULATION: Examples and Explanations makes it easier for students to learn -- and instructors to teach -- this important but difficult subject.
Categories: Securities

Legal Bibliography on Federal Securities Regulation

Legal Bibliography on Federal Securities Regulation

Securities & Exchange Commission ; it's organization and functions under the
Securities Act of 1933 . 4 Law & Contem . Prob . ... Securities and Exchange
Regulation ; A Summary of the '33 and " 34 Acts . 9 Ark , L. Rev. 421 ( 1953 )
Securities ...

Author: Chester Dunton

Publisher:

ISBN: OSU:32437123140028

Category: Law

Page: 60

View: 252

Categories: Law

Securities Regulation

Securities Regulation

Author:

Publisher:

ISBN: OCLC:1148178868

Category: Insider trading in securities

Page: 81

View: 669

Categories: Insider trading in securities

Securities Regulation

Securities Regulation

Author: Louis Loss

Publisher:

ISBN: STANFORD:36105044207772

Category: Bonds

Page: 2015

View: 868

Categories: Bonds

Annual Institute on Securities Regulation

Annual Institute on Securities Regulation

The procedure is only available for non - convertible debt securities , certain
types of preferred stock and initial public offerings of common stock of foreign
issuers to eliminate the Rule 144A facility ) . The staff positions are set forth in ,
among ...

Author:

Publisher:

ISBN: STANFORD:36105064130862

Category: Securities

Page:

View: 530

Categories: Securities

Securities Regulation

Securities Regulation

REGULATION S - RULES GOVERNING OFFERS AND SALES MADE OUTSIDE
THE UNITED STATES WITHOUT REGISTRATION UNDER THE SECURITIES
ACT OF 1933 Preliminary Notes 1. The following rules relate solely to the ...

Author: Thomas Lee Hazen

Publisher: West Group

ISBN: 0314161821

Category: Law

Page: 1913

View: 769

This booklet contains the full text of the basic federal securities laws, the principle SEC rules and forms under those laws, and other related laws and regulations. It is designed primarily as a supplement to securities regulation texts used in law school courses. However, it can also serve as a basic reference for lawyers, securities professionals, corporate officers, and others who have occasion to deal with questions of securities law.
Categories: Law

Securities Regulations for the District of Columbia

Securities Regulations for the District of Columbia

Eighty-seventh Congress, Second Session, on Discussion of the Securities
Regulations for the District of Columbia. ... The creation of a strong District “blue
sky” administration would help plug the existing gap in securities regulation,
Virginia ...

Author: United States. Congress. House. Committee on Interstate and Foreign Commerce

Publisher:

ISBN: LOC:0018702061A

Category: Securities

Page: 59

View: 721

Categories: Securities

Securities Regulation

Securities Regulation

Author: David L. Ratner

Publisher:

ISBN: STANFORD:36105043513485

Category: Securities

Page: 1062

View: 145

Categories: Securities

The Advantage of Competitive Federalism for Securities Regulation

The Advantage of Competitive Federalism for Securities Regulation

The current approach toward U.S. securities regulation by the Securities and Exchange Commission should be revamped by implementing a regime of competitive federalism.

Author: Roberta Romano

Publisher: American Enterprise Institute

ISBN: 0844741736

Category: Business & Economics

Page: 301

View: 193

The current approach toward U.S. securities regulation by the Securities and Exchange Commission should be revamped by implementing a regime of competitive federalism.
Categories: Business & Economics

The Law of Securities Regulation

The Law of Securities Regulation

The Fifth Edition of Professors Hazen's Hornbook has been revised to reflect the SEC's offering reform introduced in late 2005 and also recent Supreme Court developments. Professor Hazen's Hornbook now is totally up to date.

Author: Thomas Lee Hazen

Publisher: West Academic

ISBN: STANFORD:36105064134195

Category: Law

Page: 927

View: 441

The Fifth Edition of Professors Hazen's Hornbook has been revised to reflect the SEC's offering reform introduced in late 2005 and also recent Supreme Court developments. Professor Hazen's Hornbook now is totally up to date. The Revised Fifth Edition is a comprehensive secondary source for any course in Securities Regulation. Coverage includes definition of ?security,? registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, civil liabilities. The book also focuses on broker-dealer regulation, market regulation, and the administrative role of the Securities and Exchange Commission. The book also covers the securities law issues such as the proxy rules and insider trading that are covered in basic courses on corporations and business associations. In addition, the Investment Company Act and Investment Advisers Act are also covered making the book suitable for advanced courses in securities regulation as well. The Hornbook contains footnotes to resources that will aid students in further research and also is organized in the same manner as the six volume Practitioner's edition in order to facilitate easy cross reference.
Categories: Law

Private Litigation Under the Federal Securities Laws

Private Litigation Under the Federal Securities Laws

See 2 L . Loss & J . Seligman , Securities Regulation 792 - 801 ( 1989 & 1992
Ann . Supp . ) . The mandatory disclosure sygtem has performed a significant role
in maintaining investor confidence in the securities markets and deterring ...

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities

Publisher:

ISBN: STANFORD:36105015937993

Category: Class actions (Civil procedure)

Page: 888

View: 587

Categories: Class actions (Civil procedure)