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Securities Regulation In A Nutshell

Author : Thomas Hazen
ISBN : 9781634609463
Genre : Law
File Size : 83. 55 MB
Format : PDF, ePub, Mobi
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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.

Securities Regulation In A Nutshell

Author : Thomas Hazen
ISBN : 9781683283195
Genre : Law
File Size : 61. 91 MB
Format : PDF, ePub, Docs
Download : 469
Read : 1008

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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.

Broker Dealer Regulation In A Nutshell

Author : Thomas Hazen
ISBN : 9781683289739
Genre : Law
File Size : 28. 67 MB
Format : PDF, ePub
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This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).

Securities Litigation And Enforcement In A Nutshell

Author : Donna Nagy
ISBN : 9781634606288
Genre : Law
File Size : 26. 89 MB
Format : PDF, Kindle
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The new Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned more than a decade ago after the accounting and corporate governance scandals at Enron, WorldCom, and other large companies and then continued to expand with the 2008 financial crisis and subsequent legislation, including the Dodd-Frank Act of 2010 and the JOBS Act of 2012. The Nutshell examines private, SEC, and criminal enforcement of the federal securities laws, with an emphasis on the elements that establish securities fraud, and the doctrinal and practical issues that typically emerge in prosecuting or defending such claims. Because it focuses exclusively on securities litigation and enforcement, this Nutshell fills a gap in currently available materials and will be an essential resource not only for law students but also for attorneys (particularly those in large national law firms).

Understanding Securities Law

Author : Marc I. Steinberg
ISBN : 9781579110338
Genre : Law
File Size : 84. 47 MB
Format : PDF, ePub
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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.

Securities Regulation

Author : Alan R. Palmiter
ISBN : 9780735565357
Genre : Law
File Size : 66. 66 MB
Format : PDF, Mobi
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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.

Advanced Legal Research Exercise Manual

Author : Kathleen A. Portuán Miller
ISBN : 0766820246
Genre : Business & Economics
File Size : 38. 66 MB
Format : PDF, ePub, Docs
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"Advanced Legal Research Exercise Manual" offers comprehensive instruction on how to conduct legal research in a variety of fields, including medicine, business, bankruptcy and the Internet. In this regard, the material is widely applicable to anyone interested in or required to engage in legal research. Each chapter contains an introduction, an overview and exercises intended to inspire a better understanding of the subject matter.ALSO AVAILABLE - INSTRUCTOR SUPPLEMENT:Instructor's Guide (ISBN# 0-7668-2025-4). Call Customer Support to Order.

Securities Regulation In A Nutshell

Author : David L. Ratner
ISBN : 031415518X
Genre : Law
File Size : 50. 56 MB
Format : PDF, Kindle
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Acquire an understanding of the basic content and organization of federal and state securities law. Authoritative summary covers the essential background and current status of each major area, while keeping details and citations to a minimum. Discusses the regulations governing public offerings, public companies, securities businesses, and investment companies. Also explores sanctions, civil liabilities, and extraterritorial application.

Privacy Law In A Nutshell

Author : John T. Soma
ISBN : 0314181342
Genre : Law
File Size : 68. 51 MB
Format : PDF
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Soma and Rynerson review the historical roots of privacy and examine each of the U.S. privacy statutes and regulations in this excellent introductory guide to the legal privacy world.

International Taxation In A Nutshell

Author : Richard L. Doernberg
ISBN : 031419424X
Genre : Law
File Size : 55. 83 MB
Format : PDF, ePub
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Offers a concise exposition of the United States tax laws involved in international business and investment transactions.

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