Understanding Securities Law

Author: Marc I. Steinberg

Publisher: LexisNexis

ISBN: 0769891241

Category: Law

Page: N.A

View: 6291

This Understanding treatise follows a logical sequence of analysis of a securities issue. The author begins by defining a "security" and registration exemptions, and then continues through the process for non-exempt transactions. Understanding Securities Law clearly, thoroughly, and concisely addresses the subjects covered in basic Securities Regulation courses, including: • The definition of securities exemptions from registration; • the registration framework and process; • Sarbanes-Oxley Act; • SEC Securities Act Offering Rules; • Resales and reorganizations; • Due diligence; • Liabilities and remedies; • Affirmative disclosure duties; • Insider trading; • SEC enforcement; and • Professional responsibility. The author also includes a glossary of key terms, statutes, rules, regulations and forms and schedules, and comparative charts synopsizing previously discussed materials. The text covers the regulation of public and privately held companies under the Securities Acts, SEC "fraud" concepts, civil liabilities under the securities laws, and state "Blue Sky" laws. It also discusses the Sarbanes-Oxley legislation, SEC public offering rules, SEC regulations on the resale of securities, and recent federal Supreme Court and appellate court decisions. The eBook version of this title feature links to Lexis Advance for further legal research options.

Understanding Securities Law

Author: Marc I. Steinberg

Publisher: LexisNexis

ISBN: 1579110339

Category: Law

Page: 554

View: 8215

This Understanding treatise follows a logical sequence of analysis of a securities issue. The author begins by defining a "security" and registration exemptions, and then continues through the process for non-exempt transactions. Understanding Securities Law clearly, thoroughly, and concisely addresses the subjects covered in basic Securities Regulation courses, including: • The definition of securities exemptions from registration; • the registration framework and process; • Sarbanes-Oxley Act; • SEC Securities Act Offering Rules; • Resales and reorganizations; • Due diligence; • Liabilities and remedies; • Affirmative disclosure duties; • Insider trading; • SEC enforcement; and • Professional responsibility. The author also includes a glossary of key terms, statutes, rules, regulations and forms and schedules, and comparative charts synopsizing previously discussed materials. The text covers the regulation of public and privately held companies under the Securities Acts, SEC "fraud" concepts, civil liabilities under the securities laws, and state "Blue Sky" laws. It also discusses the Sarbanes-Oxley legislation, SEC public offering rules, SEC regulations on the resale of securities, and recent federal Supreme Court and appellate court decisions.

Securities Law

Author: Larry D. Soderquist,Theresa A. Gabaldon

Publisher: N.A

ISBN: N.A

Category: Law

Page: 213

View: 4623

Professors Larry D. Soderquist and Theresa A. Gabaldoh have authored a concise, well organized text that provides a solid understanding of the basic securities laws. Terms and concepts are detailed to assist the student in understanding securities law and to make it a vibrant subject for study. Highlights include: What is a Security, World of Securities Law, Business Context of Securities Law, What can be done during Securities Act Registration, How Securities are Registered under the Securities Act, Exemptions from the Registration Requirements, Resales by Security Holders, Liability for Violations of the Securities Act, Commission's General Exemptive Authority and Registration and Periodic Reporting Under the Exchange Act, Proxy Regulation, Tender Offers, Rule 10b-5, Short-swing Trading Under Section 16, Exchange Act Regulation of the Securities Business, International Aspects of Securities Law. As part of our hew Foundation Press Concepts and Insights Series, we are proud to offer professors and students this concise and insightful guide. Book jacket.

Securities Regulation

Liabilities and Remedies

Author: Marc I. Steinberg

Publisher: Law Journal Press

ISBN: 9781588520210

Category: Law

Page: 900

View: 6248

This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.

Examples & Explanations for Securities Regulation

Author: Alan R. Palmiter

Publisher: Wolters Kluwer Law & Business

ISBN: 1454847328

Category: Law

Page: 668

View: 1546

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

Securities Regulation in a Nutshell

Author: Thomas Hazen

Publisher: West Academic Publishing

ISBN: 9781683283188

Category:

Page: 449

View: 4885

This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.

Principles of Corporate Finance Law

Author: Eilis Ferran,Look Chan Ho

Publisher: Oxford University Press

ISBN: 0199671354

Category: Law

Page: 477

View: 8852

With the additional contribution of Look Chan Ho, an expert in the field of corporate finance, this thoroughly revised and updated second edition of Ferran's 'Principles of Corporate Finance Law' explores the relationship between law and finance.

Understanding Bankruptcy

Author: Jeff Ferriell,Edward J. Janger

Publisher: LexisNexis

ISBN: 0327182865

Category: Law

Page: 989

View: 9202

This book provides a detailed introduction to bankruptcy and related state and federal debtor-creditor law. It is equally useful in an introductory Creditors' Rights course that emphasizes bankruptcy; a free-standing Bankruptcy course; or an advanced course in Chapter 11 Reorganization. It provides an ample explanation of the issues likely to arise in any of these courses, specifically including issues raised by the Bankruptcy Abuse Prevention and Consumer Protection Act of 2005. It is also a useful and inexpensive single-volume guide for new and experienced bankruptcy practitioners. This eBook features links to Lexis Advance for further legal research options.

International Capital Markets

Law and Institutions

Author: Cally Jordan

Publisher: OUP Oxford

ISBN: 9780199671113

Category: Law

Page: 330

View: 3567

This accessible work provides critical analysis and explains in context the practice and operation of the international capital markets, their regulation and their institutions

Securities Litigation and Enforcement in a Nutshell

Author: Donna Nagy,Gerald Russello,Margaret Sachs

Publisher: West Academic Publishing

ISBN: 9780314287694

Category:

Page: 545

View: 1962

The new Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned more than a decade ago after the accounting and corporate governance scandals at Enron, WorldCom, and other large companies and then continued to expand with the 2008 financial crisis and subsequent legislation, including the Dodd-Frank Act of 2010 and the JOBS Act of 2012. The Nutshell examines private, SEC, and criminal enforcement of the federal securities laws, with an emphasis on the elements that establish securities fraud, and the doctrinal and practical issues that typically emerge in prosecuting or defending such claims. Because it focuses exclusively on securities litigation and enforcement, this Nutshell fills a gap in currently available materials and will be an essential resource not only for law students but also for attorneys (particularly those in large national law firms).

Understanding Property Law

Author: John G. Sprankling

Publisher: LexisNexis

ISBN: 1422498735

Category: Property

Page: 706

View: 9351

U.S. Regulation of Hedge Funds

Author: Douglas L. Hammer,Carolyn S. Reiser,Geoffrey W. Haynes,Neil J. Koren

Publisher: American Bar Association

ISBN: 9781590312971

Category: Law

Page: 405

View: 5715

This authoritative resource surveys federal securities laws and rules applicable to the organization, capitalization and operations of private U.S. domestic investment partnerships that invest and trade mainly in the public securities markets. Includes a detailed index.

The Law of Corporations and Other Business Organizations

Author: Angela Schneeman

Publisher: Cengage Learning

ISBN: 128540176X

Category: Law

Page: 832

View: 1863

THE LAW OF CORPORATIONS AND OTHER BUSINESS ORGANIZATIONS, 6th Edition deciphers the complex substantive and procedural laws surrounding U.S. business entities today. Focusing on corporations, sole proprietorships, partnerships, limited liability partnerships, and limited liability entities, the text explains the law and the theory behind the law while providing practical information that the paralegal can use on the job. Financial structures, securities regulations, mergers, and bankruptcy round out the legal discussions, along with special attention paid to the Uniform Acts and Model Business Corporation Act as revised through 2007, which is the basis for most state business corporation acts in the United States. Special features include cites for state statutes, excerpted cases, sample documents, paralegal profiles, chapter summaries, end-of-chapter exercises, practical advice, and much more. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.

Understanding Personal Property Securities Law

Author: Del Cseti,Mls (Uts) Del Cseti Med,Anne Wardell

Publisher: Cch Incorporated

ISBN: 9781921948909

Category: Law

Page: 255

View: 7265

This book will help you to understand and adopt this critical new law in your workplace. The Personal Properties Securities (PPS) reforms have the potential to touch upon almost all transactions between businesses and between businesses and consumers. The changes involve virtually every transaction with the exception of realty.

Jumpstart Constitutional Law

Reading and Understanding Constitutional Law

Author: Jethro K. Lieberman

Publisher: Wolters Kluwer Law & Business

ISBN: 1454838892

Category: Law

Page: 208

View: 2768

Jumpstart Constitutional Law: Reading and Understanding Constitutional Law Cases, sheds light on the threshold issues and substantive questions common to all constitutional law cases thus bringing everything into focus for the student. Key to constructing cogent answers on a Constitutional Law exam, Jethro K. Lieberman s straightforward approach teaches students how to spot the issues and respond to the relevant questions in any constitutional law case. Features: Perspective A tour of the American Constitution from a bird s-eye view. Understanding threshold issues: Who may decide constitutional disputes? Under what circumstances may a court decide a case? Must the court take and answer a constitutional question in a property case? Identifying substantive issues: determining the scope of govenmental powers; federalism, and the relationship between federal and state powers; and, constitutional restraints that limit the exercise of governmental power. Interpreting the Constitution: using tests to determin the limits of power and the extent of rights; tools of analysis for interpreting the Constitution; and the role of precedent and change. Training real preparation for taking the Constitutional Law exam: a program for effective studying; sample constitutional law exam questions and answers; and exam-taking strategies.

Understanding Company Law

Author: Phillip Lipton,Abraham Herzberg,Michelle Welsh

Publisher: N.A

ISBN: 9780455230054

Category: Corporation law

Page: 987

View: 3538

1. Regulatory framework -- 2. Registration and its effects -- 3. Types of companies -- 4. Constitution and replaceable rules -- 5. The company's relations with outsiders -- 6. Promoters and pre-registration contracts -- 7. Fundraising -- 8. Share capital -- 9. Membership -- 10. Dividends -- 11. Debentures and loan capital -- 12. Directors -- 13. Corporate governance and duties of directors -- 14. Shareholders' meetings -- 15. Financial reporting and disclosure -- 16. Auditors -- 17. Members' remedies -- 18. Takeovers -- 19. Financial services and markets -- 20. Managed investments -- 21. ASIC investigation powers -- 22. Corporate insolvency -- 23. Receivership -- 24. Voluntary liquidation -- 25. Liquidation.