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Securities Regulation in Cyberspace, Third Edition
  • Author : Howard M. Friedman
  • Publisher : Aspen Publishers Online
  • Release Date : 2004
  • Category: Law
  • Pages : 934
  • ISBN Code: 0735554218

Summary: Securities Regulation in Cyberspace analyzes the interweaving of technology And The securities laws. The author provides an in-depth review of the tremendous impact technological advancements such as the Internet have had, and will continue to have, On securities regulation. The book covers electronic delivery of disclosure, both in securities offerings and to satisfy ongoing Exchange Act obligations, and discusses the state and federal regulation of offering of securities electronically, both domestically and internationally. Designed for readers seeking a comprehensive, integrated guide To The innovative legal challenges of raising capital, maintaining investor relations and trading securities online, both the novice And The expert are shown how to use Internet technology in corporate financing, securities trading, and investor relations. The book examines in detail major areas of interest and more: Securities Act compliance in online offerings Electronic delivery of SEC documents Private placement and direct public offerings through the Internet Blue sky laws in cyberspace Investor relations on the WWW Internet marketing of mutual funds Proxy statements and annual meetings in an electronic era Tender offers and takeovers using Internet technology Securities fraud in cyberspace Brokerage firmsiquest; use of Internet technology Investment advisors online

ABA Journal
  • Author : N.A
  • Publisher : Unknown
  • Release Date : 1980-12
  • Category:
  • Pages : 114
  • ISBN Code: N.A

Summary: The ABA Journal serves the legal profession. Qualified recipients are lawyers and judges, law students, law librarians and associate members of the American Bar Association.

Securities Regulation
  • Author : Marc I. Steinberg
  • Publisher : Law Journal Press
  • Release Date : 2019-12-28
  • Category: Law
  • Pages : 1484
  • ISBN Code: 9781588520210

Summary: 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.

The Rise of Mutual Funds
  • Author : Matthew P. Fink
  • Publisher : Oxford University Press
  • Release Date : 2010-12-27
  • Category: Business & Economics
  • Pages : 360
  • ISBN Code: 0199798893

Summary: In 1940 few Americans had heard of mutual funds. Today U.S. mutual funds are the largest financial industry in the world, with over 88 million shareholders and over $11 trillion in assets. New and updated to reflect the crash of 2008, Matthew Fink's latest book, The Rise of Mutual Funds: An Insider's View, Second Edition describes the developments that have produced mutual funds' long history of success. Among these developments are: * formation of the first mutual funds in the roaring 20s * how the 1929 stock market crash, a disaster for most financial institutions, spurred the growth of mutual funds * establishment in 1934, over FDR's objection, of the United States Securities and Exchange Commission, the federal agency that regulates mutual funds * enactment of the Revenue Act of 1936, the tax law that saved mutual funds from extinction * passage of the Investment Company Act of 1940, the "constitution" of the mutual fund industry * the creation in 1972 of money market funds, which totally changed the mutual fund industry and the entire U.S. financial system *enactment of the Employee Retirement Income Security Act of 1974, which created Individual Retirement Accounts * the accidental development of 401(k) plans, which have revolutionized the way Americans save for retirement * the 2003 trading abuses, the greatest scandal ever in the history of the mutual fund industry Many events have never been discussed in detail; others have been discussed in works on other subjects. This is the first book that pulls together the many strands of mutual funds' unique history, written by an expert who draws on forty years of personal experience in the fund industry.

Comparative Law Yearbook of International Business
  • Author : Dennis Campbell
  • Publisher : Kluwer Law International B.V.
  • Release Date : 2003-12-01
  • Category: Law
  • Pages : 464
  • ISBN Code: 9041122222

Summary: The 2003 volume of the Comparative Law Yearbook of International Business deals with a variety of topics in the field of commercial law. These range from mergers in Nigeria and joint ventures in Thailand and Hungary to the fight against corruption on an international level, as well as corporate fraud in the United States, with attention being focused upon the new Sarbanes-Oxley Act of 2002. Some authors have dealt with subjects that involve finance, such as foreign investment in e-commerce in China, employees' stock purchases and option plans in the United States, pension funds in Nigeria and preferential tax regimes in Madeira. There is also a review of the Agreement on Trade-Related Investment Measures. Other popular areas of commercial law that are covered in this volume include consumer protection in Bulgaria and alternative dispute resolution. Arbitration in Paraguay is discussed, along with the conducting of mediation by legal professionals. In addition, European Union law arises in relation to the likelihood of association, with another chapter detailing the economic association between Mexico and the European Union. The Commentators in this book are leading professionals in their respective fields and the interesting mix of topics should be of value to those involved in business in the international arena and their legal advisers.

Comparative Survey of Securities Laws
  • Author : International Bar Association Staff
  • Publisher : Springer Science & Business Media
  • Release Date : 2013-06-29
  • Category: Law
  • Pages : 230
  • ISBN Code: 9401743649

Summary: The Section on Business Law of the International Bar Association is greatly indebted to the Editor, J. Michael Robinson and to John Gauntlett, the Chairman of the Committee on Issues and Trading in Securities, and his Vice Chairmen, Blaise Pasztory, Robert Briner and the members of the Committee who have contributed, for their joint efforts in preparing this ftrst book of their committee. It will make a valuable addition to the libraries of all practising lawyers because it has been written by practising lawyers, with the knowledge and experience of their own daily work and the understanding of what a practi tioner is looking for. I am confident that this book will prove of real assistance to practitioners world-wide, as have previous publications of other Committees of the Section on Business Law. I wish it great success. I hope that you may wish to join the Section on Business Law and thereby make contact and work with lawyers with similar interests in commercial law. WALTER OPPENHOF Chairman of the Section on Business Law XI Editor's Introduction I have great pleasure in presenting reports from fourteen countries. In the best tradition of many institutions of higher learning which trace their origins to some medieval ale house, this project has its genesis in a bar.

Life at the Center
  • Author : Roberta S. Karmel
  • Publisher : Practising Law Inst
  • Release Date : 2014
  • Category: History
  • Pages : 1535
  • ISBN Code: 9781402423024

Summary: Roberta S. Karmel has been at the center of U.S. securities regulation throughout her distinguished career as a Securities and Exchange Commission (SEC) Commissioner, a practitioner, an attorney in the enforcement division of the SEC New York Regional Office, a public director of the New York Stock Exchange, and a prominent academic who has taught in the U.S. and abroad. In PLI's new book, Life at the Center: Reflections on Fifty Years of Securities Regulation, Professor Karmel addresses the key regulatory issues confronting the SEC over the past fifty years. The book is a compilation, with current commentary, of 190 New York Law Journal columns she wrote between 1982 and 2014, and excerpts from law review articles on related topics. She has written a current introduction for each chapter and provided context for the choice of each law review article excerpt. Life at the Center is an invaluable guide to understanding the issues faced by the SEC, the choices available to it, and the actions taken, as well as its relationships with other regulatory agencies. It brings the unique perspective of a distinguished scholar, author, and participant in SEC regulatory issues. According to Professor Karmel, many of the securities regulation controversies discussed in Life at the Center have not been resolved, or, if resolved temporarily, have resurfaced in a new form.In the introductory first chapter, Professor Karmel, the first female Commissioner of the SEC, discusses her career and her early writings at the SEC. She then provides an overview of the SEC's jurisdiction and programs, increased enforcement authority, pre-emption and regulatory competition.The following chapters each focus on a specific regulatory subject:* Corporate Governance* Regulation of Financial Institutions* Corporation Finance Policies* International Securities Regulation* Market Structure and Regulation* Insider Trading, Short-Swing Profits and Tender Offers* Gatekeepers In addition, Professor Karmel includes a chapter compiling her commentary on Supreme Court cases. Drawing on her wealth of experience and insightful observations, Professor Karmel, in the final chapter of Life at the Center, points to the future and provides ten principles on how to improve financial regulation in the United States. Life at the Center: Reflections on Fifty Years of Securities Regulation is an invaluable commentary on ongoing securities regulation in the United States.

Regulation of Securities, Markets, and Transactions
  • Author : Patrick S. Collins
  • Publisher : John Wiley & Sons
  • Release Date : 2011-01-14
  • Category: Business & Economics
  • Pages : 384
  • ISBN Code: 9781118008560

Summary: 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 : Joseph R. Lanciano,Michael F. Farrell,Arthur E. Reed,Paul DeBole
  • Publisher : Lambers CPA Review
  • Release Date : 2007-01-28
  • Category: Business & Economics
  • Pages : N.A
  • ISBN Code: 9781892115768

Summary: Volume Two of the Lambers CPA Review series covers the Regulation section of the computer-based CPA Exam. Coverage of federal income taxes as well as Business Law are included. Text material, examples and practice questions and solutions are contained in each chapter.

Securities Regulation
  • Author : Aspen Publishers
  • Publisher : Aspen Publishers Online
  • Release Date : 2009-09
  • Category: Law
  • Pages : 137
  • ISBN Code: 073557880X

Summary: 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

Securities Regulation
  • Author : Alan R. Palmiter
  • Publisher : Aspen Publishers Online
  • Release Date : 2008
  • Category: Law
  • Pages : 584
  • ISBN Code: 073556535X

Summary: 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 .

Securities Regulation
  • Author : James D. Cox,Donald C. Langevoort
  • Publisher : Aspen Publishers
  • Release Date : 2019-07-22
  • Category: Law
  • Pages : 1168
  • ISBN Code: 1543812759

Summary: Designed specifically for the Securities Regulation course, this statutory supplement contains all the relevant statutes, rules, and forms needed—in a remarkably concise and uncluttered format. A highly effective teaching tool, it is the ideal complement to any casebook for Securities Regulation, including but not exclusive to the authors’ own Securities Regulation: Cases and Materials, Ninth Edition (forthcoming November 2019). New to the 2019 Edition: New Rule 15l-1 Regulation Best Interest has been added Thoroughly updated to reflect numerous changes made by the SEC to modernize and simplify disclosure requirements for public companies, investment advisers, and investment companies facilitate the disclosure of information to investors simplify compliance without significantly altering the total mix of information provided to investors.

Securities Regulations
  • Author : Alan R. Palmiter
  • Publisher : Aspen Publishers
  • Release Date : 1998
  • Category: Securities
  • Pages : 415
  • ISBN Code: N.A

Summary: 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.

Risk Arbitrage
  • Author : Guy Wyser-Pratte
  • Publisher : John Wiley and Sons
  • Release Date : 2009-01-20
  • Category: Business & Economics
  • Pages : 304
  • ISBN Code: 9780470442913

Summary: Originally published in 1982, Risk Arbitrage has become a classic on arbitrage strategies by the "dean of the arbitrage community." It provides an overview of risk arbitrage, how it has been used over the centuries and particularly in modern markets, with a focus on merger arbitrage. From average expected returns to turning a position, cash tender offers, exchange offers, recapitalizations, spinoffs, stub situations, limited risk arbitrage, and corporate freeze-ins, the book provides a step by step walk through of a world of arb strategies illuminated by real world examples and case studies.

International Competitiveness in Financial Services
  • Author : Marvin H. Kosters,A.H. Meltzer
  • Publisher : Springer Science & Business Media
  • Release Date : 1991-02-28
  • Category: Business & Economics
  • Pages : 253
  • ISBN Code: 9780792391487

Summary: financial markets suggests that factors such as differences in capital requirements, limi tations on size or on the range of financial activities in which firms can engage, govern ment guarantee arrangements for deposits or payments, and reporting or disclosure requirements can have important effects on the efficiency of industrial and commercial firms and thus on the international competitive positions of major sectors of the U.S. economy. Regulatory and tax policies must therefore take into account effects on inter national competitive positions in addition to domestic concerns. The articles in this issue analyze differences in market organization and regulation across countries and examine how efficiency in producing financial services is influenced by these differences. These articles were presented and discussed at a conference sponsored by the Amer ican Enterprise Institute in Washington, D.C., on May 31 and June 1, 1990. This confer ence on International Competitiveness in Financial Services brought to the attention of Washington policy officials these analyses by leading scholars in finance. Publication of these studies and critiques in the Journal of Financial Services Research is intended to stimulate further interest in research on these important issues.

Law, Corporate Governance and Partnerships at Work
  • Author : Mr Anthony O'Donnell,Ms Meredith Jones,Ms Shelley Marshall,Professor Ian Ramsay,Professor Richard Mitchell
  • Publisher : Ashgate Publishing, Ltd.
  • Release Date : 2013-02-28
  • Category: Business & Economics
  • Pages : 242
  • ISBN Code: 140949781X

Summary: This book examines how businesses manage their labour systems, and particularly how they manage the complex interaction of factors which give rise to instances of 'partnership' style relations between businesses and their employees. The book draws from the literature concerning 'Varieties of Capitalism' (VoC) and the different institutional and regulatory designs inherent in different types of political economy. The book is informed by a new and extensive set of empirical data from Australia that examines the activities of national and multinational business corporations, their outlooks and relationships with stakeholders, and relates these to new and evolving theoretical frameworks based in political economy and law. The book places the Australian regulatory model within this international debate, and assesses the extent to which the system does or does not fit into the general categorisation created in the VoC literature.

Regulation of Securities: SEC Answer Book, 5th Edition
  • Author : Levy
  • Publisher : Wolters Kluwer Law & Business
  • Release Date : 2016
  • Category: Corporate governance
  • Pages : 1396
  • ISBN Code: 1454880376

Summary: Regulation of Securities: SEC Answer Book, Fifth Edition is your complete guide to understanding and complying with the day-to-day requirements of the federal securities laws that affect all public companies. Using a question-and-answer format similar to that which the SEC has embraced, this valuable desk reference provides concise, understandable answers to the most frequently asked compliance questions, and ready access to key statutes, regulations, and court decisions. Designed for both beginners and seasoned professionals, the volume contains approximately 1,400 pages organized in 23 self-contained chapters. Each chapter covers the basics before moving into the nuanced details, meeting the needs of those who seek a general understanding of a topic as well as those grappling directly with critical issues. Twice-yearly supplements keep the book current in this rapidly evolving field. Whether you are a lawyer, accountant, corporate executive, director or investor, you'll be able to quickly find concise answers to essential questions about the Dodd-Frank Act, Exchange Act registration and reporting, executive compensation disclosure, derivatives disclosure, management's discussion and analysis, audit committee responsibilities, Sarbanes-Oxley, electronic filing, interactive financial data, tender offers, proxy solicitations, insider trading, going private transactions, shareholders' rights, SEC investigations, criminal enforcement, securities class actions, and much more!

Securities Regulation
  • Author : John C. Coffee,Hillary A. Sale
  • Publisher : Foundation Press
  • Release Date : 2009
  • Category: Law
  • Pages : 1569
  • ISBN Code: N.A

Summary: This casebook provides the tools for the study of the law of securities regulation. This edition has been extensively revised and reorganized. Topics covered include the Sarbanes-Oxley Act, the competitiveness of the U.S. capital markets, and the affect of globalization on the world's security markets. It includes a new chapter on shareholder voting and updated coverage of SEC enforcement actions and criminal liability, as well as state securities law, international issues, and the regulation of investment companies.

Representing High-tech Companies
  • Author : Gary M. Lawrence,Carl Baranowski
  • Publisher : Law Journal Press
  • Release Date : 1999
  • Category: Law
  • Pages : 1506
  • ISBN Code: 9781588520852

Summary: This book discusses financing and documenting joint ventures and early-stage strategic partnerships; devising workable nondisclosure agreements and managing an intellectual property portfolio.

Regulatory Convergence in EU Securities Regulation
  • Author : Iris H.-Y. Chiu
  • Publisher : Kluwer Law International B.V.
  • Release Date : 2008-01-01
  • Category: Law
  • Pages : 323
  • ISBN Code: 9041126686

Summary: Offers a new approach to the legal issues raised by the drive for convergence in securities regulation. The author offers an informed and insightful examination of the implications for regulatory and policy design if regulatory convergence were to be rigorously implemented.

International Securities Regulation
  • Author : Robert Charles Rosen
  • Publisher : Unknown
  • Release Date : 1993-01-01
  • Category: Securities.
  • Pages : 1500
  • ISBN Code: 9780379208276

Summary: With the globalization of world capital markets, this reference tool is an invaluable source for all securities industry professionals. This set acts as an instant-access guide to all of the pertinent information concerning the rules and regulations of the world's 49 major stock exchanges.Each chapter provides the breadth of information needed to confidently research, list, and trade securities worldwide. Each stock exchange includes an expansive commentary, a list of key contacts and chief officers, the types of instruments traded, tax and capital gains information, and much more.This set is an asset not only for the legal practitioner but also for executives, fund managers, and other securities industry professionals.

Corporate Finance and the Securities Laws
  • Author : Charles J. Johnson,Joseph McLaughlin
  • Publisher : Aspen Publishers
  • Release Date : 2006-01-01
  • Category: Business & Economics
  • Pages : N.A
  • ISBN Code: 0735563101

Summary: Corporate Finance and the Securities Laws has been winning over practitioners with its clear "how to do it" approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Fourth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace. Written in plain English by two top experts in the field - each with literally hundreds of successful deals under his belt, Corporate Finance and the Securities Laws is the "go to" resource which explains the mechanics of corporate finance together with the statutes that govern each type of deal. You'll receive expert corporate finance analysis, procedural guidance, and practical securities law pointers every step of the way to help you Structure all types of corporate finance deals - from public, private, and offshore offerings to corporate debt restructurings, commercial paper programs, raising capital, and asset-based securities transactions Root out problems before corporate finance deals are put in motion, with heads-up input on securities law prohibited practices, potential liabilities, conflicts of interest, due diligence concerns, and other red-flag issues Shepherd transactions through the corporate finance regulatory process with a clear understanding of applicable statutes and their implications in real-life situations Know what to do when securities law problems crop up - and find clear answers to the countless questions that develop in the course of a corporate finance deal Close deals, raising capital in a timely manner and work shoulder to shoulder with clients to accomplish your corporate finance objectives

International Banking Regulation:Law, Policy and Practice
  • Author : George Walker
  • Publisher : Kluwer Law International B.V.
  • Release Date : 2001-12-06
  • Category: Law
  • Pages : 622
  • ISBN Code: 904119794X

Summary: This work offers a comprehensive examination of the development and structure of the provisions for the control of international financial markets. It explores the background to the major financial crises of the late 20th-century and the nature of the global response.

Securities Regulation
  • Author : Stephen Jung Choi,Adam C. Pritchard
  • Publisher : Aspen Publishers Online
  • Release Date : 2008
  • Category: Law
  • Pages : 381
  • ISBN Code: 0735565511

Summary: 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.

Securities Regulation in Australia and New Zealand
  • Author : Gordon R. Walker,Brent Fisse
  • Publisher : Oxford University Press, USA
  • Release Date : 1994
  • Category: Corporation law
  • Pages : 909
  • ISBN Code: N.A

Summary: The regulation of securities markets is a survival issue for island nations such as Australia and New Zealand which require foreign investment for economic growth. This timely book covers all aspects of securities regulation--from the physical markets and the operation of the Stock Exchanges to the workings of the Securities Commissions. It should be of interest to legal practitioners, accountants, and persons involved in finance.