Federal Securities Laws
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Federal Securities Law
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Author : Thomas Lee Hazen
language : en
Publisher:
Release Date : 2011
Federal Securities Law written by Thomas Lee Hazen and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Securities categories.
Federal Securities Law
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Author : Thomas Lee Hazen
language : en
Publisher:
Release Date : 1993
Federal Securities Law written by Thomas Lee Hazen and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1993 with Securities categories.
Consolidating The Administration And Enforcement Of The Federal Securities Laws Within The Securities And Exhange Commission
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Author : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations
language : en
Publisher:
Release Date : 1987
Consolidating The Administration And Enforcement Of The Federal Securities Laws Within The Securities And Exhange Commission written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1987 with Financial institutions categories.
Values In The Marketplace
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Author : James Burk
language : en
Publisher: Walter de Gruyter GmbH & Co KG
Release Date : 2020-01-20
Values In The Marketplace written by James Burk and has been published by Walter de Gruyter GmbH & Co KG this book supported file pdf, txt, epub, kindle and other format this book has been release on 2020-01-20 with Law categories.
No detailed description available for "Values in the Marketplace".
Federal Securities Law
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Author : Thomas Lee Hazen
language : en
Publisher:
Release Date : 2003
Federal Securities Law written by Thomas Lee Hazen and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003 with Law categories.
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.
Informal Corporate Disclosure Under Federal Securities Law 2009
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Author : Ted Trautmann
language : en
Publisher: Wolters Kluwer
Release Date : 2009-04-01
Informal Corporate Disclosure Under Federal Securities Law 2009 written by Ted Trautmann and has been published by Wolters Kluwer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009-04-01 with Reference categories.
Informal Corporate Disclosure Under Federal Securities Law, 2009 Editionexamines the regulation of informal disclosure -- e.g., press releases,speeches, analyst conference calls, webcasts, and investor roadshows -- asdistinguished from formal, highly structured disclosure in SEC filings. Thecoverage includes discussion of federal securities law, rules and courtdecisions; self-regulatory organization rules for listed companies, andstandards of practice prescribed by the National Investor RelationsInstitute (NIRI).This updated 2009 Edition includes:discussion of the SEC's recent guidance on the use of company web sites,including advice on the sufficiency of web site disclosure as a means ofdissemination under Regulation FD (see ¶1002)liability for hyperlinks to third-party information (see ¶1003)issues presented by the use of summaries and overviews (see ¶1004)concerns related to blogs and online discussion forums (see ¶1009)The new 2009 Edition also examines materiality principlesgoverning quantitative financial disclosures, specifically the recommendationsof the SEC Advisory Committee on Improvements to Financial Reporting,or CIFiR (see ¶¶403 and 1102). In addition, the work covers recentSEC Compliance and Disclosure Interpretations on the Form 8-K reportingobligation triggered by disclosure of certain financial information (see¶1105). Finally, the 2009 Edition includes discussion ofnew NIRI standards for quarterly earnings releases (see ¶1103), thetext of selected portions of those standards (see Appendix), and a timelinefor preparing an earnings release (see Appendix).
Federal Securities Law
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Author : Thomas Lee Hazen
language : en
Publisher:
Release Date : 2003-12
Federal Securities Law written by Thomas Lee Hazen and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003-12 with categories.
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.
Federal Securities Laws
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Author :
language : en
Publisher:
Release Date : 2006
Federal Securities Laws written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2006 with Business & Economics categories.
This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. 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, related federal laws, and state securities laws. Also includes early 2002 amendments to the Securities Act of 1933 and the Securities Exchange Act of 1934. The Revised 2005 Edition of Federal Securities Laws: Selected Statutes, Rules and Forms follows the format of earlier years. Early in 2002 Congress changed fee provisions in Section 6(b) of the Securities Act of 1933 and amended Section 4(b), 13(f), 14(g), and 31 of the Securities Exchange Act of 1934 to address fees and SEC expenditures. Rule 135b of the Securities Act of 1933 was amended as were Regulations S-B and S-K Items 201 and 601. There were several Rules added or amended in the Securities Exchange Act. These included Rules 3a4-2, 3a4-3, 3a4-5, 3a4-6, 3a5-1, 3a55-1, 3a55-2, 3a55-3, 3b-17, 3b-18, 6a-3, 6a-4, 14a-3, 15a-7, 15a-8, 15a-9, 15a-10, 15b2-2, 15b11-1, 17a-3, 17a-4, 17a-25, 17AD-7, 19b-4, 19b-7, and 31-1. In addition, Rule 303 of Regulation ATS was amended as were Item 12 of Form 10-K and Item 11 of Form 10-KSB. There are also amendments to Investment Company Act Rules 2a-7, 5b-3 and 31a-2 as well as Rule 204-2 of the Investment Advisers Act and Rule 202.3 of SEC Rules of Practice.
A Fiduciary S Guide To Federal Securities Laws
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Author :
language : en
Publisher: Association
Release Date : 1994
A Fiduciary S Guide To Federal Securities Laws written by and has been published by Association this book supported file pdf, txt, epub, kindle and other format this book has been release on 1994 with Securities categories.
Securities Law Review
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Author :
language : en
Publisher:
Release Date : 1987
Securities Law Review written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1987 with categories.