Understanding Securities Law

Author: Marc I. Steinberg
Publisher: LexisNexis
ISBN: 0769891241
Format: PDF, Kindle
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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.

Understanding Personal Property Securities Law

Author: Del Cseti
Publisher: Cch Incorporated
ISBN: 9781921948909
Format: PDF, ePub, Docs
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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.

Enforcement of Corporate and Securities Law

Author: Robin Hui Huang
Publisher: Cambridge University Press
ISBN: 1316738507
Format: PDF, Kindle
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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.

Federal Securities Laws 2013 2014

Author: John C. Coffee, Jr.
Publisher: Foundation Press
ISBN: 9781609303327
Format: PDF, ePub, Mobi
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This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Security Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws.

European Securities Law

Author: Raj Panasar
Publisher: OUP Oxford
ISBN: 9780199685608
Format: PDF, ePub, Docs
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This new edition provides the most comprehensive analysis of the regulation and operation of the securities markets in Europe.

Research Handbook on Securities Regulation in the United States

Author: Jerry W. Markham
Publisher: Edward Elgar Publishing
ISBN: 1782540075
Format: PDF, ePub
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This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute

Ohio Annotated Securities Law Handbook

Author: Howard M. Friedman
Publisher: LexisNexis
ISBN: 1522156143
Format: PDF, ePub, Mobi
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The undisputed authoritative source on Ohio's blue sky laws, LexisNexis' Ohio 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.