Examples Explanations For Securities Regulation

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Examples Explanations For Securities Regulation

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Author : Alan R. Palmiter
language : en
Publisher: Aspen Publishing
Release Date : 2021-08-10

Examples Explanations For Securities Regulation written by Alan R. Palmiter and has been published by Aspen Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-08-10 with Law categories.

Informal and student-friendly, this best-selling study guide—also used by Wall Street lawyers and SEC staffers as a reference book—gives an overview of federal securities regulation and illustrates the topic with practical applications. Examples & Explanations: Securities Regulation, Eighth Edition combines clear introductions with examples and explanations that allow students to test their understanding of concepts and practice applying the law to fact patterns—many drawn from actual events in the securities markets. New to the Eighth Edition: Updates on U.S. capital formation in public and private securities markets, with a focus on trends in IPOs, going-private transactions, and private placements New materials on the treatment of “autonomous business” forms and crypto-currencies (including gaming tokens) under the federal securities law Trends in the use of Reg D, Reg A+, and Reg CF over the past several years, given recent amendments to these registration exemptions under the Securities Act of 1933 The timeliness of Section 11 suits under the Securities Act of 1933, as interpreted by the Supreme Court in CALPERS v. ANZ Securities, Inc. (2017) The preemption of state court class actions under the Securities Act of 1933 and the right of defendants to remove such actions to federal court, as interpreted by the Supreme Court in Cyan, Inc. v. Beaver County Employees Retirement Fund (2018) The securities-fraud liability of a securities rep, who disseminated false information provided to him by a superior, as interpreted by the Supreme Court in Lorenzo v. SEC (2019) Lower court application of the “personal benefit” analysis in Salman v. United States (2016) to quid pro quo tips of inside information to family and friends Updates on judicial and SEC enforcement of the federal securities laws—in particular, the use of disgorgement and civil penalties in the sale of nonexempt, unregistered securities The timeliness of disgorgement sanctions in SEC enforcement actions, as interpreted by the Supreme Court in Kokesh v. SEC (2017) The proper appointment of SEC administrative law judges and their authority to impose sanctions in SEC administrative enforcement actions, as interpreted by the Supreme Court in Lucia v. SEC (2018) The availability of Dodd-Frank whistleblower protection to a company executive who reported a possible securities violation within his company but not to the SEC, as interpreted by the Supreme Court in Digital Realty Trust, Inc. v. Somers (2018) The requirement of individualized showings of “domestic transactions” in a securities fraud class action brought against a foreign company whose securities traded on U.S. and foreign markets Professors and students will benefit from: A study guide that introduces students to the subject’s clubbish vocabulary, identifies its important principles, and reveals its layered structure. Chapters in which, after sketching the key concepts of U.S. securities regulation, give students a chance to compare their responses to concrete examples with the book’s detailed explanations. The text includes new and updated charts on: Shareholdings in the US securities markets Capital formation through public and private offerings Actual use of the various registration exemptions The updated examples and explanations include new questions on: “Autonomous business” forms and crypto-currencies Section 11 class actions brought in state court Fraudulent statements “made” by securities professionals Insider trading tips to friends and family Availability of disgorgement sanctions in SEC enforcement actions

Securities Regulation

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Author : Alan R. Palmiter
language : en
Publisher: Aspen Publishers
Release Date : 2002

Securities Regulation written by Alan R. Palmiter and has been published by Aspen Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 2002 with Securities categories.

When students discover SECURITIES REGULATION: Examples & Explanations, they have finally located a study guide that illustrates the practical applications of the law. When instructors examine this powerful paperback, they recognize the work of an outstanding scholar with a gift for bringing synthesis and insight to a traditionally difficult area. Now, For its Second Edition, this consise guide continues to offer fully updated coverage in the effective format that has earned so many loyal users: provides an overview of the key concepts of Securities Regulation and discusses the complex law that regulate them uses numerous events, such as the initial public offering of Microsoft stock And The emergence of securities trading and disclosure on the Internet reviews the International approach to Securities Regulation to mirror the realities of practice reinforces learning through carefully chosen examples and explanations Completely revised for its Second Edition, The text now features: new coverage of the Internet and its effect on Securities Regulation complete updating of the law, including recent court cases and SEC releases and rules stylistic changes to conform To The SEC's highly successful 'plain English' initiative

Securities Regulation

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Author : Alan R. Palmiter
language : en
Publisher: Wolters Kluwer Law & Business
Release Date : 2011

Securities Regulation written by Alan R. Palmiter and has been published by Wolters Kluwer Law & Business this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Securities categories.

Informal and student-friendly, Securities Regulation

Examples Explanations For Securities Regulation

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Author : Alan R. Palmiter
language : en
Publisher: Wolters Kluwer
Release Date : 2021-08-10

Examples Explanations For Securities Regulation written by Alan R. Palmiter and has been published by Wolters Kluwer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-08-10 with Law categories.

Informal and student-friendly, this best-selling study guide—also used by Wall Street lawyers and SEC staffers as a reference book—gives an overview of federal securities regulation and illustrates the topic with practical applications. Examples & Explanations: Securities Regulation, Eighth Edition combines clear introductions with examples and explanations that allow students to test their understanding of concepts and practice applying the law to fact patterns—many drawn from actual events in the securities markets. New to the Eighth Edition: Updates on U.S. capital formation in public and private securities markets, with a focus on trends in IPOs, going-private transactions, and private placements New materials on the treatment of “autonomous business” forms and crypto-currencies (including gaming tokens) under the federal securities law Trends in the use of Reg D, Reg A+, and Reg CF over the past several years, given recent amendments to these registration exemptions under the Securities Act of 1933 The timeliness of Section 11 suits under the Securities Act of 1933, as interpreted by the Supreme Court in CALPERS v. ANZ Securities, Inc. (2017) The preemption of state court class actions under the Securities Act of 1933 and the right of defendants to remove such actions to federal court, as interpreted by the Supreme Court in Cyan, Inc. v. Beaver County Employees Retirement Fund (2018) The securities-fraud liability of a securities rep, who disseminated false information provided to him by a superior, as interpreted by the Supreme Court in Lorenzo v. SEC (2019) Lower court application of the “personal benefit” analysis in Salman v. United States (2016) to quid pro quo tips of inside information to family and friends Updates on judicial and SEC enforcement of the federal securities laws—in particular, the use of disgorgement and civil penalties in the sale of nonexempt, unregistered securities The timeliness of disgorgement sanctions in SEC enforcement actions, as interpreted by the Supreme Court in Kokesh v. SEC (2017) The proper appointment of SEC administrative law judges and their authority to impose sanctions in SEC administrative enforcement actions, as interpreted by the Supreme Court in Lucia v. SEC (2018) The availability of Dodd-Frank whistleblower protection to a company executive who reported a possible securities violation within his company but not to the SEC, as interpreted by the Supreme Court in Digital Realty Trust, Inc. v. Somers (2018) The requirement of individualized showings of “domestic transactions” in a securities fraud class action brought against a foreign company whose securities traded on U.S. and foreign markets Professors and students will benefit from: A study guide that introduces students to the subject’s clubbish vocabulary, identifies its important principles, and reveals its layered structure. Chapters in which, after sketching the key concepts of U.S. securities regulation, give students a chance to compare their responses to concrete examples with the book’s detailed explanations. The text includes new and updated charts on: Shareholdings in the US securities markets Capital formation through public and private offerings Actual use of the various registration exemptions The updated examples and explanations include new questions on: “Autonomous business” forms and crypto-currencies Section 11 class actions brought in state court Fraudulent statements “made” by securities professionals Insider trading tips to friends and family Availability of disgorgement sanctions in SEC enforcement actions

Securities Regulation

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Author : Alan R. Palmiter
language : en
Publisher:
Release Date : 2005

Securities Regulation written by Alan R. Palmiter and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2005 with Securities categories.

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

Securities Regulation

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Author : Stephen Jung Choi
language : en
Publisher:
Release Date : 2008

Securities Regulation written by Stephen Jung Choi and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Business & Economics categories.

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.

Research Handbook On Securities Regulation In The United States

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Author : Jerry W. Markham
language : en
Publisher: Edward Elgar Publishing
Release Date : 2014-07-31

Research Handbook On Securities Regulation In The United States written by Jerry W. Markham and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-07-31 with Business & Economics categories.

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

Securities Regulation

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Author : James D. Cox
language : en
Publisher: Aspen Publishers
Release Date : 2008-07-16

Securities Regulation written by James D. Cox and has been published by Aspen Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008-07-16 with categories.

To ensure that you have the most up-to-date and complete materials for yourSecurities Regulation class, be sure to use this 2008 Case Supplement.Table of Cases:Italics indicate principal cases.American Federation of State, County & Municipal Employees v. AmericanInternational Group, Inc. Berckeley Investment Group, Ltd. v.ColkittChamber of Commerce v. SECCredit Suisse Sec. (USA) LLC v. Glen BillingsDolphin and Bradbury v. SEC Feder v. FrostFinancial Planning Association v. SECGFL Advantage Fund, Ltd. v. ColkittGoldstein v. SECMakor Issues & Rights Ltd. v. Tellabs, Inc. (7th Cir.) Merrill Lynch, Pierce, Fenner & Smith, Inc. v.Dabit Oscar Private Equity Investments v.Allegiance Telecom, Inc. Overton v. Todman & Co.Securities and Exchange Commission v. Kern Securities and Exchange Commission v.RocklageSecurities and Exchange Commission v. DorozhkoStoneridge Inv. Partners, LLC, Petitioner v. Scientific-Atlanta, Inc. Tellabs, Inc. v. Makor Issues & Rights, Ltd. United States v. BrownUnited States v. EbbersUnited States v. SimonYung v. Lee

Understanding Securities Law

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Author : Marc I. Steinberg
language : en
Publisher: LexisNexis/Matthew Bender
Release Date : 2007

Understanding Securities Law written by Marc I. Steinberg and has been published by LexisNexis/Matthew Bender this book supported file pdf, txt, epub, kindle and other format this book has been release on 2007 with Business & Economics categories.

Securities Regulation

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Author : Alan R. Palmiter
language : en
Publisher: Examples & Explanations
Release Date : 2014

Securities Regulation written by Alan R. Palmiter and has been published by Examples & Explanations this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014 with Law categories.

A favorite among successful students, and often recommended by professors, the unique Examples & Explanations series gives you extremely clear introductions to concepts followed by realistic examples that mirror those presented in the classroom throughout the semester. Use at the beginning and midway through the semester to deepen your understanding through clear explanations, corresponding hypothetical fact patterns, and analysis. Then use to study for finals by reviewing the hypotheticals as well as the structure and reasoning behind the accompanying analysis. Designed to complement your casebook, the trusted Examples & Explanations titles get right to the point in a conversational, often humorous style that helps you learn the material each step of the way and prepare for the exam at the end of the course. The unique, time-tested Examples & Explanations series is invaluable to teach yourself the subject from the first day of class until your last review before the final. Each guide: helps you learn new material by working through chapters that explain each topic in simple language challenges your understanding with hypotheticals similar to those presented in class provides valuable opportunity to study for the final by reviewing the hypotheticals as well as the structure and reasoning behind the corresponding analysis quickly gets to the point in conversational style laced with humor remains a favorite among law school students is often recommended by professors who encourage the use of study guides works with ALL the major casebooks, suits any class on a given topic provides an alternative perspective to help you understand your casebook and in-class lectures