Securities Regulation

Author: Stephen Jung Choi
Publisher: Aspen Publishers Online
ISBN: 0735565511
Format: PDF, Kindle
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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.

Cengage Advantage Books Business Law Today The Essentials Text and Summarized Cases

Author: Roger LeRoy Miller
Publisher: Cengage Learning
ISBN: 1305856538
Format: PDF, ePub, Mobi
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Interesting, clear, and applied, BUSINESS LAW TODAY, THE ESSENTIALS: TEXT AND SUMMARIZED CASES, 11E is a concise guide to the law and what it means in the business world -- from contracts and secured transactions to warranties and government regulations. Easy to understand with an engaging writing style that is matched by vibrant visuals, BUSINESS LAW TODAY: THE ESSENTIALS includes coverage of contemporary topics that impact not only the business world, but also the reader’s personal life. The book examines timely issues, such as the financial crisis and its impact on business law, identity theft, immigration law, and diversity issues. Fascinating features and intriguing cases highlight the practicality of the concepts highlighted in the book. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.

Essentials of the Dodd Frank Act

Author: Sanjay Anand
Publisher: John Wiley & Sons
ISBN: 1118028333
Format: PDF, ePub
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An executive overview of the new Financial Regulations Act This book provides an executive summary of the newly passed Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act. One of the first books to provide an executive summary from a compliance perspective Presents responsibilities of senior level executives regarding this new Act Reveals what has changed within the regulatory environment Provides tips and techniques throughout Describing the government regulation of securities, securities markets, and securities transactions in the United States, this timely book succinctly defines, describes, and explains domestic securities regulation for compliance officers, accountants, and broker-dealers.

Essentials of Business Law and the Legal Environment

Author: Richard Mann
Publisher: Cengage Learning
ISBN: 113318863X
Format: PDF
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ESSENTIALS OF BUSINESS LAW AND THE LEGAL ENVIRONMENT, 11TH EDITION gives your students a complete understanding of business law and today’s legal environment with a reader-focused, straightforward approach. Cases are carefully summarized and integrated in order to present both recent legal issues and landmark court decisions in a way that minimizes legal jargon. This edition thoroughly addresses a broad variety of key subjects and ethical issues while covering all business law topics required for success on today’s CPA exam. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.

Paralegal Professional

Author: Thomas F. Goldman
Publisher: Pearson
ISBN: 0134139585
Format: PDF, Docs
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This is the eBook of the printed book and may not include any media, website access codes, or print supplements that may come packaged with the bound book. For courses in Paralegal Studies. Build a strong foundation in Paralegal Studies Since the publication of the First Edition of The Paralegal Professional : The Essentials , the paralegal profession plays an increasingly more important role in the delivery of legal services. The Paralegal Professional : The Essentials provides students with the conceptual knowledge, analytical skills, and firm understanding of ethical issues they need to succeed as paralegals in today’s legal environment. The book is shaped by insights of real legal professionals with whom paralegals work to offer relevant information for use in the workplace. The text illuminates specific tasks and roles paralegals will play in the workplace to fully prepare them to enter the field. The Fifth Edition builds a foundation of knowledge which students can augment as they work towards a profession in the field of law.

The Essentials of Finance and Accounting for Nonfinancial Managers

Author: Edward Fields
Publisher: AMACOM
ISBN: 081441625X
Format: PDF, ePub, Mobi
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Based on the bestselling AMA seminar, a nuts-and-bolts guide to the dollars-and-cents issues that drive your organization! As a department manager, the last thing you want to think about is numbers. But the truth is, that’s the only thing your executives and senior managers are thinking about so it’s crucial to understand key financial information like balance sheets, income statements, cash flow statements, budgets and forecasts, and annual reports. With over 40,000 copies sold, The Essentials of Finance and Accounting for Nonfinancial Managers has long provided readers with insight into the financial fundamentals. It demystifies the role accounting and finance play in a corporation, demonstrates how financial decisions reflect business goals, and shows how managers can connect corporate financial information directly to their own strategies and actions. Now revised to reflect new accounting and financial standards, the second edition includes: Strategies for getting your share of the budget • New case studies and practice sessions • An explanation of Sarbanes-Oxley and its relevance to nonfinancial managers • How to manage cash flow in tough times • Fraud detection tools • An expanded glossary including up-to-the-minute business concepts and terminology • And more

Securities Law

Author: Christopher C. Nicholls
Publisher:
ISBN: 9781552214701
Format: PDF
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"Much has changed, in the markets and in the world over the decade and a half since the first edition. There have also been vast changes in many of the details of the Canadian securities regulatory environment. Nevertheless, the central themes, topics and structure of securities regulation endure, and so the basic organization of the book is largely unchanged from the first edition. It begins with a very broad general overview of the Canadian capital markets and instruments in Chapter 1 aimed at readers with little or no prior business background. Chapters 2 and 3 then introduce the most fundamental definitions and concepts in Canadian securities law and sketch out the institutional framework within which Canadian securities laws and regulations are promulgated and administered. The chapters that follow, as in the first edition, deal with most of the principal topics covered in a law school course in securities regulation, including the regulatory regime governing dealers, advisers and other registrants (Chapter 4), public offerings (Chapter 6), exempt distributions (Chapter 7), insider reporting and prohibited insider trading (Chapter 8), continuous disclosure (Chapter 9), take-over and issuer bids (Chapter 10), and securities law enforcement (Chapter 11). A new chapter on the history of securities regulation has been added to this edition (Chapter 5), and a host of new, and still developing topics in securities regulation are discussed in Chapter 12, including changes that occurred after the earlier chapters of the book were completed. The status of the nascent Canadian co-operative capital markets regulatory system is among the issues canvassed in Chapter 12, an important and potentially transformative development on which the final word has not yet been written."--

Pass the Sie

Author: Robert Walker
Publisher:
ISBN: 9780998517674
Format: PDF, Docs
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The Securities Industry Essentials Exam is an exciting, new development from the industry regulator known as FINRA. Historically, those who wanted to become securities agents had to be hired by a broker-dealer before taking a license exam. Now, with the implementation of the Securities Industry Essentials (SIE) Exam, those interested in entering the industry can take a securities license exam on their own. Then, after being hired by a member firm, these individuals will take a top-off exam, such as the Series 6 or Series 7, to complete their FINRA licensing requirements. The results of the SIE are good for four years. Therefore, an individual can take the exam long before he chooses his career path and begins his job search in the financial services industry. Those who have passed the Securities Industry Essentials (SIE) Exam are presumed to have an advantage over other candidates, as they have shown initiative and already cleared one hurdle in the process of getting a candidate registered with FINRA and the state securities regulators. This book follows the Securities Industry Essentials (SIE) Exam Outline provided by FINRA. There are four sections of the FINRA outline, which is why this book, also, has four chapters. Chapter 1 covers primary offerings of securities, such as IPOs or initial public offerings. Types of broker-dealer businesses and their basic financial and regulatory requirements are explored. Finally, we look in some detail at basic economic factors affecting securities investments, including inflation, interest rates, and the business cycle. The largest chapter, Chapter 2, is called "Understanding Products and Their Risks." Here, we explore insurance and securities products in detail, following with a detailed examination of investment risks related to various investment approaches. Annuities, corporate bonds, Treasuries, municipal securities, common stock, preferred stock, and derivatives are all discussed in detail in this chapter. Chapter 3 examines customer accounts, trading securities, and FINRA regulations of agents. The last chapter, Chapter 4, focuses on the regulation of the securities industry. Here, we explore federal securities legislation as well as FINRA in detail. After each chapter, you will take a chapter review exercise, and then a chapter review quiz. At the end of the four chapters, you will find two full-length practice exams, 75 questions each. A detailed glossary follows the practice exams. Finally, an index of frequently used terms is found at the end of the manual. The authors of Examzone textbooks have helped thousands pass the Series 6, 7, 24, 63, 65, 66, and 99 exams over the past 18 years. We're now excited to help you pass the Securities Industry Essentials Exam. This test will open doors for your career as was never-before possible. Once you pass this test, we look forward to helping you pass the Series 7 and Series 6 once you enter the securities industry.