The Federal Securities Exchange Act of 1934
Author | : Edward N. Gadsby |
Publisher | : |
Total Pages | : |
Release | : 1967 |
Genre | : Securities |
ISBN | : |
Download The Federal Securities Exchange Act of 1934 Book in PDF, ePub and Kindle
Are you looking for read ebook online? Search for your book and save it on your Kindle device, PC, phones or tablets. Download Federal Securities Laws PDF full book. Access full book title Federal Securities Laws.
Author | : Edward N. Gadsby |
Publisher | : |
Total Pages | : |
Release | : 1967 |
Genre | : Securities |
ISBN | : |
Author | : Thomas Lee Hazen |
Publisher | : |
Total Pages | : 210 |
Release | : 2011 |
Genre | : Securities |
ISBN | : |
Author | : Marc I. Steinberg |
Publisher | : LexisNexis/Matthew Bender |
Total Pages | : 554 |
Release | : 2007 |
Genre | : Business & Economics |
ISBN | : |
Author | : Thomas Lee Hazen |
Publisher | : |
Total Pages | : 132 |
Release | : 1993 |
Genre | : Securities |
ISBN | : |
Author | : Gary M. Brown |
Publisher | : |
Total Pages | : 0 |
Release | : 2013-01-16 |
Genre | : Going public (Securities) |
ISBN | : 9781402418969 |
In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations
Author | : JOHN C. COFFEE. SALE JR. (HILLARY A.. WHITEHEAD, CHARLES K.) |
Publisher | : Foundation Press |
Total Pages | : 2447 |
Release | : 2020-12-18 |
Genre | : Securities |
ISBN | : 9781647080709 |
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, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. It contains many changes from the prior year's version, including: Amendments to Regulation A; Amendments to Regulation C; Amendments to Regulation S-K; Amendments to Regulation S-X; Amendments to Regulation S-T; Amendments to Regulation 12B; Amendments to Regulation 14A; Amendments to Regulation NMS; New Securities Act Rule 163B allowing issuer communications with certain investors prior to or following the filing of a registration statement; New Securities Act Rule 13-01 and Rule 13-02 regarding financial disclosure requirements for cer¬tain guarantors and issuers of guaranteed securities; New Exchange Act Rule 15Fi-3 and Rule 15Fi-4 regarding risk mitigation techniques for security based swap portfolios; and Rule 15Fi-5 regarding security-based swap trading relationship documentation; New Exchange Act Rule 18a-5 through Rule 18a-9 regarding recordkeeping and reporting require¬ments for certain security-based swap dealers and major security-based swap participants; New Investment Company Act Rule 6c-11 regarding exchange-traded funds; Amendments to various forms. This edition has a cutoff date of September 4, 2020. Certain changes will not be effective until after the cutoff date for this edition; those effective dates are set forth in the accompanying footnotes. The effective date for certain other changes will be determined based on when they are published in the Federal Register. Those effective dates are not yet set as of the cutoff date for this edition. The text for those changes is based on the original SEC-published releases.
Author | : Thomas Lee Hazen |
Publisher | : American Bar Association |
Total Pages | : 0 |
Release | : 2011 |
Genre | : Law |
ISBN | : 9781616320973 |
The book is designed to provide an understanding of the federal securities laws; emphasizing those areas of the law that are likely to be confronted in a general or corporate practice, while giving some coverage to market regulation, broker-dealers, and the regulation of investment companies and investment advisers.
Author | : United States |
Publisher | : |
Total Pages | : 2 |
Release | : 1984 |
Genre | : Insider trading in securities |
ISBN | : |
Author | : Thomas Lee Hazen |
Publisher | : |
Total Pages | : 0 |
Release | : 2003 |
Genre | : Law |
ISBN | : 9780756738464 |
This monograph by the Federal Judicial Center provides an introduction to & overview of the complexities of litigation involving the federal securities laws, with an emphasis on the issues that are most likely to arise in litigation: basic registration, disclosure, & antifraud provisions. Chapters: Introduction: The Federal Securities Laws, the Securities & Exchange Commission (SEC), Sources of Litigation, Self-Regulation, & Private Remedies; Scope & Reach of the Securities Laws; Regulating the Distribution of Securities -- the Securities Act of 1933; Regulating Issuers, Securities Professionals, & the Securities Markets -- The Securities Exchange Act of 1934; Appendix: Statutory Conversion Charts; For Further Reference; & Table of Cases.
Author | : Alan R. Palmiter |
Publisher | : |
Total Pages | : 564 |
Release | : 2005 |
Genre | : Securities |
ISBN | : |
Students depend on Securities Regulation: Examples & Explanations because it gives them what they need: - coverage of key concepts, such as public offerings, exemptions from registration, liability in securities offerings, materiality, definition of security, securities fraud, insider trading, SEC enforcement, and cross-border regulation - Examples and Explanations approach that reinforces learning by combining textual material with well-written examples, questions, and explanations - assistance in navigating a complex subject, beginning with clear delineations of the basic concepts of securities regulation and then applying the concepts in specific areas - numerous examples drawn from newsworthy events - content corresponds to the topics in the leading casebooks - sound and logical organization moves from major themes to specifics - clear and straightforward writing style The Third Edition keeps pace with developments in the law: - Sarbanes-Oxley Act with comprehensive overview and developments, including new problems - new SEC rules on expanded risk disclosure, company certifications, and lawyer up the ladder reporting - new material on IPO abuses: spinning, flipping, gun-jumping - new NYSE and NASDAQ rules on corporate governance listing standards and stock analysts - new and updated cases - new and revised examples