Research Handbook On Securities Regulation In The United States
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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
Research Handbook On Insider Trading
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Author : Stephen M. Bainbridge
language : en
Publisher: Edward Elgar Publishing
Release Date : 2013
Research Handbook On Insider Trading written by Stephen M. Bainbridge 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 2013 with Insider trading in securities categories.
"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.
Capital Markets Handbook
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Author : John C. Burch
language : en
Publisher: Aspen Publishers
Release Date : 2002
Capital Markets Handbook written by John C. Burch 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 Capital market categories.
Capital Markets Handbook, 3rd Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. This single volume reference is user-friendly and an ideal reference for those who are new to capital markets as well as for those who already have had an introduction to this dynamic field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, information, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. Capital Markets Handbook, 3rd Edition includes the following new topics: New Issue Marketing Process Rule 155 - Limited Safe Harbors from Integration Depositary Receipts Guidelines for Initiating Stabilization Registered Direct Offerings, Regulation D Offerings, and Regulation S Offerings Settlement with Selected Dealers Antecedents of Present Day Corporate Structure, Financing, and Accounting Techniques New Appendix: SIA Best Practices for Research
Research Handbook On The Regulation Of Mutual Funds
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Author : William A. Birdthistle
language : en
Publisher: Edward Elgar Publishing
Release Date : 2018-10-26
Research Handbook On The Regulation Of Mutual Funds written by William A. Birdthistle 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 2018-10-26 with Business & Economics categories.
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 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 Representative Shareholder Litigation
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Author : Sean Griffith
language : en
Publisher: Edward Elgar Publishing
Release Date : 2018-11-30
Research Handbook On Representative Shareholder Litigation written by Sean Griffith 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 2018-11-30 with LAW categories.
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
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Author : Larry D. Soderquist
language : en
Publisher: Foundation Press
Release Date : 2006-01-01
Securities Regulation written by Larry D. Soderquist and has been published by Foundation Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2006-01-01 with Securities categories.
Securities Regulation
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Author : United States Government Accountability Office
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2018-01-11
Securities Regulation written by United States Government Accountability Office and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018-01-11 with categories.
SECURITIES REGULATION: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority
Securities Regulation
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Author : Thomas Lee Hazen
language : en
Publisher:
Release Date :
Securities Regulation 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 with Securities categories.
Securities Law And Practice Deskbook
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Author : Gary M. Brown
language : en
Publisher:
Release Date : 2013-01-16
Securities Law And Practice Deskbook written by Gary M. Brown and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-01-16 with Going public (Securities) categories.
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