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Understanding Securities Law

Author : Marc I. Steinberg
ISBN : 9780769891248
Genre : Law
File Size : 54.91 MB
Format : PDF, Mobi
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This Understanding treatise follows a logical sequence of analysis of a securities issue. The author begins by defining a "security" and registration exemptions, and then continues through the process for non-exempt transactions. Understanding Securities Law clearly, thoroughly, and concisely addresses the subjects covered in basic Securities Regulation courses, including: • The definition of securities exemptions from registration; • the registration framework and process; • Sarbanes-Oxley Act; • SEC Securities Act Offering Rules; • Resales and reorganizations; • Due diligence; • Liabilities and remedies; • Affirmative disclosure duties; • Insider trading; • SEC enforcement; and • Professional responsibility. The author also includes a glossary of key terms, statutes, rules, regulations and forms and schedules, and comparative charts synopsizing previously discussed materials. The text covers the regulation of public and privately held companies under the Securities Acts, SEC "fraud" concepts, civil liabilities under the securities laws, and state "Blue Sky" laws. It also discusses the Sarbanes-Oxley legislation, SEC public offering rules, SEC regulations on the resale of securities, and recent federal Supreme Court and appellate court decisions. The eBook version of this title feature links to Lexis Advance for further legal research options.
Category: Law

Understanding Personal Property Securities Law

Author : Del Cseti
ISBN : 1921948906
Genre : Law
File Size : 60.84 MB
Format : PDF
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This book will help you to understand and adopt this critical new law in your workplace. The Personal Properties Securities (PPS) reforms have the potential to touch upon almost all transactions between businesses and between businesses and consumers. The changes involve virtually every transaction with the exception of realty.
Category: Law

European Securities Law

Author : Raj Panasar
ISBN : STANFORD:36105134518294
Genre : Law
File Size : 74.48 MB
Format : PDF, Kindle
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'European Securities Law' is a guide to the law and regulations which govern the European securities market. It discusses practical application of the key EU directives within the context of corporate transactions, as well as the legal issues which arise as a result of the differences in implementation between member states.
Category: Law

Corporate Finance And The Securities Laws

Author : Charles J. Johnson (Jr.)
ISBN : 9781454858393
Genre : Business & Economics
File Size : 59.17 MB
Format : PDF, Docs
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Corporate Finance and the Securities Laws has been winning over practitioners with its clear andquot;how to do itandquot; approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Fifth 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 andquot;go toandquot; 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
Category: Business & Economics

Ohio Annotated Securities Law Handbook 2017 Edition

Author : Howard M. Friedman
ISBN : 9781522134930
Genre : Law
File Size : 36.7 MB
Format : PDF, Mobi
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The undisputed authoritative source on Ohio's blue sky laws, Ohio Annotated Securities Law Handbook combines the formal requirements and more informal aspects of Ohio securities practice, explaining all aspects of Ohio blue sky practice, from routine registration, exemption, and liability questions to more complex issues involving Ohio's merit requirements. Supplemented annually, it also covers specialized topics, such as Ohio broker-dealer licensing, tender offers, and enforcement issues. Containing materials previously difficult or impossible to obtain, this set provides the full text and discussion of substantial primary source material, including: • Relevant Ohio statutes and rules • Ohio Division of Securities Statements of Policy • Selected federal laws and regulations • Complete official forms • NASAA guidelines and interpretations The handbook volume is a complete source for all relevant Ohio and federal statutes and rules important to the practice of Ohio securities law including selections from Page's Ohio Revised Code Annotated, Legislative Service Commission Bill analyses, Ohio Division of Securities regulations, Ohio Department of Insurance regulations and federal securities laws and regulations.
Category: Law

Enforcement Of Corporate And Securities Law

Author : Robin Hui Huang
ISBN : 9781107164994
Genre : Business & Economics
File Size : 28.65 MB
Format : PDF
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This book is the first of its kind in focusing on the enforcement of corporate and securities laws, both public and private, a relatively understudied but critically important issue for the development and health of global capital markets. The book has a special focus on the young system coming into being in the People's Republic of China (PRC), but also examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective. This single volume assembles a veritable 'dream team' of contributors who are amongst the very best scholars and legal specialists in the many national jurisdictions covered in the book. Hence, it is of significant value to corporate and securities regulators, judicial officials, prosecutors, litigation specialists, corporate counsel, legal and economic policymakers, scholars, think tanks, students, and investors alike.
Category: Business & Economics

Core Statutes On Company Law 2014 15

Author : Cowan Ervine
ISBN : 9781137433480
Genre : Law
File Size : 64.19 MB
Format : PDF, Kindle
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The Palgrave Core Statutes series is designed to meet the needs of today's law students. Compiled by experienced lecturers, each title contains the essential materials needed at LLB level (and, where applicable, on GDL/CPE courses) and is easy to use under exam conditions and in the lecture hall. This new edition of core statutes on company law contains essential material up to June 2014.
Category: Law

Informal Corporate Disclosure Under Federal Securities Law 2009

Author : Ted Trautmann
ISBN : 9780808021582
Genre : Reference
File Size : 58.80 MB
Format : PDF, ePub
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Informal Corporate Disclosure Under Federal Securities Law, 2009 Edition examines the regulation of informal disclosure -- e.g., press releases, speeches, analyst conference calls, webcasts, and investor roadshows -- as distinguished from formal, highly structured disclosure in SEC filings. The coverage includes discussion of federal securities law, rules and court decisions; self-regulatory organization rules for listed companies, and standards of practice prescribed by the National Investor Relations Institute (NIRI). This updated 2009 Edition includes: discussion of the SEC's recent guidance on the use of company web sites, including advice on the sufficiency of web site disclosure as a means of dissemination under Regulation FD (see ¶1002) liability for hyperlinks to third-party information (see ¶1003) issues presented by the use of summaries and overviews (see ¶1004) concerns related to blogs and online discussion forums (see ¶1009) The new 2009 Edition also examines materiality principles governing quantitative financial disclosures, specifically the recommendations of the SEC Advisory Committee on Improvements to Financial Reporting, or CIFiR (see ¶¶403 and 1102). In addition, the work covers recent SEC Compliance and Disclosure Interpretations on the Form 8-K reporting obligation triggered by disclosure of certain financial information (see ¶1105). Finally, the 2009 Edition includes discussion of new NIRI standards for quarterly earnings releases (see ¶1103), the text of selected portions of those standards (see Appendix), and a timeline for preparing an earnings release (see Appendix).
Category: Reference