Research Handbook On Securities Regulation In The United States PDF Download

Are you looking for read ebook online? Search for your book and save it on your Kindle device, PC, phones or tablets. Download Research Handbook On Securities Regulation In The United States PDF full book. Access full book title Research Handbook On Securities Regulation In The United States.

Research Handbook on Securities Regulation in the United States

Research Handbook on Securities Regulation in the United States
Author: Jerry W. Markham
Publisher: Edward Elgar Publishing
Total Pages: 563
Release: 2014-07-31
Genre: Business & Economics
ISBN: 1782540075

Download Research Handbook on Securities Regulation in the United States Book in PDF, ePub and Kindle

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


Research Handbook on the Regulation of Mutual Funds

Research Handbook on the Regulation of Mutual Funds
Author: William A. Birdthistle
Publisher: Edward Elgar Publishing
Total Pages: 480
Release: 2018-10-26
Genre: Business & Economics
ISBN: 1784715050

Download Research Handbook on the Regulation of Mutual Funds Book in PDF, ePub and Kindle

With fifty trillion in worldwide assets, the growth of mutual funds is a truly global phenomenon and deserves a broad international analysis. Local political economies and legal regimes create different regulatory preferences for the oversight of these funds, and academics, public officials, and legal practitioners wishing to understand the global investing environment will require a keen awareness of these international differences. The contributors, leading scholars in the field of investment law from around the world, provide a current legal analysis of funds from a variety of perspectives and using an array of methodologies that consider the large fundamental questions governing the role and regulation of investment funds. This volume also explores the identity and behavior of investors as well as issues surrounding less orthodox funds, such as money market funds, ETFs, and private funds.This Handbook will provide legal and financial scholars, academics, lawyers and regulators with a vital tool for working with mutual funds.


Securities Act Handbook

Securities Act Handbook
Author:
Publisher: Aspen Publishers
Total Pages: 1452
Release: 2010
Genre: Business & Economics
ISBN:

Download Securities Act Handbook Book in PDF, ePub and Kindle

Virtually the entire library of U.S. securities laws and regulations in a single-source format is now available from Aspen Publishers. The Securities Act Handbook includes U.S. securities acts and SEC regulations, rules, and key forms. Provided in a sturdy ring binder format, the Securities Act Handbook is divided into 29 sections with color-coded tabs. The Securities Act Handbook is the perfect one-volume desk reference with snap-out sections for easy copying. Swamped by SEC Regulations? The pressures won't ease anytime soon. For the foreseeable future, you and your clients can expect to be swamped by new requirements unleashed by Sarbanes-Oxley and other federal actions, while at the same time facing tougher SEC scrutiny and enforcement. Eliminate Hours of Research Arm yourself, right now, with the best primary reference tool available. For securities law, that means the HANDBOOK binder or the RED BOX booklet set. These one-source libraries organize U.S. securities, regulations, rules, and key forms into quick-reference formats for maximum working speed and efficiency. The Changes are Tracked for You Each classic format (binder or box) comes with a bimonthly update service, which automatically integrates new sections and revises old ones accordingly. No more delays, gaps, or outdated documents. You'll finally own a superbly organized library of U.S. securities law that's current and complete. Have this quick and ready now for the regulatory pressures ahead. The Definitive Reference Tools For Anyone Dealing With U.S. Securities Law Every newly issued rule and regulation is automatically integrated into your reference set, with sections revised accordingly. Saves staff time, while eliminating delays, downloads, and outdated rules. You'll be able to turn to a single reference source for newly issued rules and regulations pertaining to: New certification requirements for CEOs and CFOs Additional criminal liabilities for executive officers New requirements for attorneys Restrictions on loans to executive officers The Public Company Accounting Oversight Board New whistleblower protections Accelerated reporting requirements Areas of increased SEC oversight Expanded document retention provisions Extended statutes of limitations and much more!


Securities Law and Practice Deskbook

Securities Law and Practice Deskbook
Author: Gary M. Brown
Publisher:
Total Pages: 0
Release: 2013-01-16
Genre: Going public (Securities)
ISBN: 9781402418969

Download Securities Law and Practice Deskbook Book in PDF, ePub and Kindle

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


Research Handbook on Corporate Crime and Financial Misdealing

Research Handbook on Corporate Crime and Financial Misdealing
Author: Jennifer Arlen
Publisher: Edward Elgar Publishing
Total Pages: 392
Release: 2018
Genre:
ISBN: 1783474475

Download Research Handbook on Corporate Crime and Financial Misdealing Book in PDF, ePub and Kindle

Jennifer Arlen brings together 13 original chapters by leading scholars that examine how to deter corporate misconduct through public enforcement and private interventions. Scholars from a variety of disciplines present both theoretical and empirical analyses of organizational and individual liability for corporate crime, liability for foreign corruption, securities fraud enforcement, compliance, corporate investigations, and whistleblowing. This Research Handbook also highlights promising avenues for future research.


Research Handbook on Representative Shareholder Litigation

Research Handbook on Representative Shareholder Litigation
Author: Sean Griffith
Publisher: Edward Elgar Publishing
Total Pages: 576
Release: 2018-11-30
Genre: LAW
ISBN: 1786435349

Download Research Handbook on Representative Shareholder Litigation Book in PDF, ePub and Kindle

Written by leading scholars and judges in the field, the Research Handbook on Representative Shareholder Litigation is a modern-day survey of the state of shareholder litigation. Its chapters cover securities class actions, merger litigation, derivative suits, and appraisal litigation, as well as other forms of shareholder litigation. Through in-depth analysis of these different forms of litigation, the book explores the agency costs inherent in representative litigation, the challenges of multijurisdictional litigation and disclosure-only settlements, and the rise of institutional investors. It explores how related issues are addressed across the globe, with examinations of shareholder litigation in the United States, Canada, the United Kingdom, the European Union, Israel, and China. This Research Handbook will be an invaluable resource on this important topic for scholars, practitioners, judges and legislators.


Securities Regulation

Securities Regulation
Author: Thomas Lee Hazen
Publisher:
Total Pages: 1913
Release:
Genre: Securities
ISBN: 9780314161826

Download Securities Regulation Book in PDF, ePub and Kindle


Securities Regulation

Securities Regulation
Author: Stephen Jung Choi
Publisher:
Total Pages: 856
Release: 2008
Genre: Business & Economics
ISBN:

Download Securities Regulation Book in PDF, ePub and Kindle

This casebook seeks to make both securities markets and securities regulation accessible and manageable, helping students to master the basic principles and structure of securities regulation and enabling them to begin their careers as corporate lawyers with confidence.


Global Securities Litigation and Enforcement

Global Securities Litigation and Enforcement
Author: Pierre-Henri Conac
Publisher: Cambridge University Press
Total Pages: 1363
Release: 2019-01-03
Genre: Law
ISBN: 1108577423

Download Global Securities Litigation and Enforcement Book in PDF, ePub and Kindle

Global Securities Litigation and Enforcement provides a clear and exhaustive description of the national regime for the enforcement of securities legislation in cases of misrepresentation on financial markets. It covers 29 jurisdictions worldwide, some of them are important although their law is not well known. It will be an invaluable resource for academics and students of securities litigation, as well as for lawyers, policy-makers and regulators. The book also provides a comprehensive contribution debate on whether public or private enforcement is preferable in terms of development of securities markets. It will appeal to those interested in the legal origins theory and in comparative securities law, and shows that the classification of jurisdictions within legal families does not explain the differences in legal regimes. While US securities law often serves as a model for international convergence, some of its elements, such as securities class actions, have not been adopted worldwide.


Research Handbook on Insider Trading

Research Handbook on Insider Trading
Author: Stephen M. Bainbridge
Publisher: Edward Elgar Publishing
Total Pages: 0
Release: 2013
Genre: Insider trading in securities
ISBN: 9781782544814

Download Research Handbook on Insider Trading Book in PDF, ePub and Kindle

"The Handbook begins with a section devoted to legal issues surrounding the US's ban on insider trading, which is one of the oldest and most energetically enforced in the world. Using this section as a foundation, contributors go on to discuss several specific court cases as well as important developments in empirical research on the subject. The Handbook concludes with a section devoted to international perspectives, providing insight into insider trading laws in China, Japan, Australia, New Zealand, the United Kingdom and the European Union." -- Back cover.