The Logic Of Securities Law

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The Logic Of Securities Law

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Author : Nicholas L. Georgakopoulos
language : en
Publisher: Cambridge University Press
Release Date : 2017-05-04

The Logic Of Securities Law written by Nicholas L. Georgakopoulos and has been published by Cambridge University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017-05-04 with Business & Economics categories.

This book explains both financial markets and securities regulation in simple yet sophisticated terms.

The Logic Of Securities Law

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Author : Nicholas Leonidas Georgakopoulos
language : en
Publisher:
Release Date : 2017

The Logic Of Securities Law written by Nicholas Leonidas Georgakopoulos and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017 with LAW categories.

This book explains both financial markets and securities regulation in simple yet sophisticated terms.

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. Contributors include: W.A. Birdthistle, M. Bullard, I.H-Y Chiu, B. Clarke, Q. Curtis, D.A. DeMott, J. Fanto, J.E. Fisch, P. Hanrahan, L.P.Q. Johnson, W.A. Kaal, A.K. Krug, A.B. Laby, J.D. Morley, A. Palmiter, I. Ramsay, E.D. Roiter, M. White, D.A. Zetzsche

A History Of Securities Law In The Supreme Court

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Author : A.C. Pritchard
language : en
Publisher: Oxford University Press
Release Date : 2023-03-07

A History Of Securities Law In The Supreme Court written by A.C. Pritchard and has been published by Oxford University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023-03-07 with Law categories.

A History of Securities Law and the Supreme Court explores how the Supreme Court has made (and remade) securities law. It covers the history of the federal securities laws from their inception during the Great Depression, relying on the justices' conference notes, internal memoranda, and correspondence to shed light on how they came to their decisions and drafted their opinions. That history can be divided into five periods that parallel and illustrate key trends of the Court's jurisprudence more generally. The first saw the administration of Franklin Delano Roosevelt--aided by his filling eight seats on the Court-triumph in its efforts to enact the securities laws and establish their constitutional legitimacy. This brought an end to the Court's long-standing hostility to the regulation of business. The arrival of Roosevelt's justices, all committed to social control of finance, ushered in an era of deference to the SEC's expertise that lasted through the 1940s and 1950s. The 1960s brought an era of judicial activism-and further expansion--by the Warren Court, with purpose taking precedence over text in statutory interpretation. The arrival of Lewis F. Powell, Jr. in 1972 brought a sharp reversal. Powell's leadership of the Court in securities law produced a counter-revolution in the field and an end to the SEC's long winning streak at the Court. Powell's retirement in 1987 marked the beginning of the final period of this study. In the absence of ideological consensus or strong leadership, the Court's securities jurisprudence meandered, taking a random walk between expansive and restrictive decisions.

The Oxford Handbook Of Financial Regulation

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Author : Niamh Moloney
language : en
Publisher:
Release Date : 2015

The Oxford Handbook Of Financial Regulation written by Niamh Moloney and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015 with Business & Economics categories.

The financial system and its regulation have undergone exponential growth and dramatic reform over the last thirty years. This period has witnessed major developments in the nature and intensity of financial markets, as well as repeated cycles of regulatory reform and development, often linked to crisis conditions. The recent financial crisis has led to unparalleled interest in financial regulation from policymakers, economists, legal practitioners, and the academic community, and has prompted large-scale regulatory reform. The Oxford Handbook of Financial Regulation is the first comprehensive, authoritative, and state of the art account of the nature of financial regulation. Written by an international team of leading scholars in the field, it takes a contextual and comparative approach to examine scholarly, policy, and regulatory developments in the past three decades. The first three parts of the Handbook address the underpinning horizontal themes which arise in financial regulation: financial systems and regulation; the organization of financial system regulation, including regional examples from the EU and the US; and the delivery of outcomes and regulatory techniques. The final three Parts address the perennial objectives of financial regulation, widely regarded as the anchors of financial regulation internationally: financial stability, market efficiency, integrity, and transparency; and consumer protection. The Oxford Handbook of Financial Regulation is an invaluable resource for scholars and students of financial regulation, economists, policy-makers and regulators.

Securities Regulation

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Author : Louis Loss
language : en
Publisher: Aspen Publishers
Release Date : 2009

Securities Regulation written by Louis Loss and has been published by Aspen Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Business & Economics categories.

"The universally acknowledged work Securities Regulation is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes plus thousands of cases, SEC administrative decisions and letters definitively clarifies such questions as: When does a note fall within the definition of a "security" How have the courts altered the express civil liability provisions of the federal securities laws? Can the SEC impose additional ten-day suspensions on trading without notice? Does scienter include reckless as well as intentional conduct? And countless others, so that you're almost sure to find coverage of the "small point" on which your case may turn."--Publisher's website.

Corporate Finance And The Securities Laws

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Author : Johnson Jr Charles J
language : en
Publisher: Wolters Kluwer Law & Business
Release Date : 2023-12-08

Corporate Finance And The Securities Laws written by Johnson Jr Charles J 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 2023-12-08 with Business & Economics categories.

This Seventh Edition of Corporate Finance and the Securities Laws is about doing deals--transactions in which companies raise funds in the U.S. and international capital markets. We have tried to retain the book's practical orientation, which we believe was responsible for the previous editions' considerable success. We do not intend this book as a complete treatise on the U.S. federal securities laws, nor do we intend it as an investor's or issuer's guide to the capital markets. Rather, we are trying to explain the legal environment in which capital markets transactions take place, just as we are trying to explain the capital markets transactions to which that environment is always trying to adapt. Highlights of the Seventh Edition include: SEC administrative proceedings and SCOTUS decision in Axon Enterprise, Inc. v. FTC and SCOTUS agreement to hear Jarkesy v. SEC Change in SEC personnel's standard disclaimer when making public statements Second Circuit decision in Kirschner holding bank loans not to be securities after SEC's declining to state its views; SEC commissioner's speech raising prospect that bank loans might eventually be treated as securities Digital assets: SEC enforcement proceedings alleging digital assets to be securities for purposes of 1933 Act registration and 1934 Act broker-dealer and securities exchange registration; SEC partial defeat in Ripple litigation in SDNY followed by favorable decision in Terraform less than three weeks later; SEC use of Section 17(b) of 1933 Act to pursue celebrity endorsers of digital assets; prospects for federal legislation Proposed legislation to make electronic delivery the default method of delivering communications required under federal securities laws Amendment of SIFMA model form of agreement among underwriters to authorize syndicate manager or another underwriter to act as ''calculating underwriter'' for purposes of calculating ''probability of default'' under amended Rules 101 and 102 of Regulation M Amendment of SIFMA model form of agreement among underwriters to reflect amendments to FINRA Rule 11880 regarding settlement of syndicate accounts ''T+1'' standard settlement cycle as of May 28, 2024 SEC decision not to extend no-action relief for research providers affected by MiFID II's unbundling rule EU and California climate disclosure requirements' effects on prospective SEC requirements Prospects for use of Artificial Intelligence in due diligence and in SEC staff selection of filings for review SEC approval of rule changes at options exchanges to speed up listing and trading of options on IPO shares SCOTUS decision in Slack Section 11 litigation arising out of Slack's direct listing that a plaintiff under Section 11 must be able to trace his shares to a defective 1933 Act registration statement SEC approval of NYSE and Nasdaq rules to permit more pricing flexibility for ''direct listings'' with a simultaneous sale of securities by the issuer but on condition that the issuer retain an underwriter for the shares to be sold by the issuer SEC enforcement proceedings involving SPACs SEC amendment of Rules 101 and 102 of Regulation M to eliminate exceptions based on credit ratings in favor of exceptions based on a ''probability of default'' standard for fixed income nonconvertible securities and eligibility to use Form SF-3 for ABS SEC adoption of Rule 9j-1 to prohibit fraud, deceit or manipulation related to security-based swaps Second Circuit reversal of class certification in Goldman Sachs litigation under Rule 10b-5 because of ''front-end-back-end genericness gap'' and concurring judge's prediction of confusion as courts ''navigate a materiality-reliance twilight zone'' SCOTUS to review Second Circuit's Moab Partners decision regarding the circumstances under which a failure to comply with Item 303 of SEC's MD&A rules gives rise to liability under Rule 10b-5 Responding to SEC's new rules on reporting material cybersecurity incidents and disclosing cybersecurity risk management processes FASB adoption of ASU No. 2022-04 on disclosure of supplier finance arrangements . SEC amendment of Rule 15b9-1 under the 1934 Act to narrow ability of certain members of national securities exchanges to avoid having to become members of FINRA More court cases in which respondents challenge FINRA's constitutionality SEC issuance of exemption under Rule 15c2-11 for Rule 144A fixed-income securities (including ABS) SEC commissioner's proposal of revisions to Form D to increase its informational content and to require that the form be filed before the commencement of an offering Criticism of Second Circuit's Parkcentral requirement for ''something'' more than a domestic transaction under Morrison Foreign private issuers subject to SEC's new requirements to report information on share repurchases ''Pre-IPO'' convertible debt offerings Regulator-induced write-down of $17 billion of Credit Suisse's Additional Tier 1 capital securities with subsequent litigation and closer scrutiny of asset class President Biden proposal to quadruple excise tax on share repurchases, potential applicability to certain stock-for-stock acquisitions and potential exposure of certain foreign private issuers to excise tax New disclosure requirements about share repurchases Amendments to Rule 10b5-1 as applicable to share repurchases Renewed regulatory focus on broker-dealer and hedge fund compliance with Rule 14e-4 Amendments to Section 242 of Delaware General Corporation Law to facilitate stock splits Eligibility to use Form SF-3 as basis for exception from Regulation M

Securities Finance

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Author : Frank J. Fabozzi
language : en
Publisher: John Wiley & Sons
Release Date : 2005-09-01

Securities Finance written by Frank J. Fabozzi and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2005-09-01 with Business & Economics categories.

In Securities Finance, editors Frank Fabozzi and Steven Mann assemble a group of prominent practitioners in the securities finance industry to provide readers with an enhanced understanding of the various arrangements in the securities finance market. Divided into three comprehensive parts—Securities Lending, Bond Financing via the Repo Market, and Equity Financing Alternatives to Securities Lending—this book covers a wide range of securities finance issues, including alternative routes to the securities lending market, evaluating risks in securities lending transactions, U.S. and European repo markets, dollar rolls and their impact on MBS valuation and strategies, derivatives for financing equity positions and equity repos, and more. Filled with in-depth insight and expert advice, Securities Finance contains the information readers need to succeed in this rapidly expanding market.

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.