Understanding Securities Law

Author: Marc I. Steinberg

Publisher: LexisNexis

ISBN: 0769891241

Category: Law

Page: N.A

View: 7931

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 Personal Property Securities Law

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

Publisher: Cch Incorporated

ISBN: 9781921948909

Category: Law

Page: 255

View: 3463

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.

The Federalization of Corporate Governance

Author: Marc I. Steinberg

Publisher: Oxford University Press

ISBN: 0190876301

Category: Law

Page: 256

View: 3455

This book focuses on the federalization of corporate governance in the United States from both historical and contemporary perspectives. Although the states traditionally have regulated the sphere of corporate governance - encompassing the relations among and between the subject corporation, its directors, its officers, its stockholders, and other stakeholders - federal law today impacts the governance of publicly-traded companies to a greater degree than ever before in U.S. history. This book discusses the evolution and development of corporate governance from a federal law perspective from the commencement of the twentieth century to the present. It examines the tension between state company law and federal law, analyzes the federal historical developments, explains the ramifications of the federal legislation enacted during the past two decades, and recommends corrective measures that should be implemented. The book accordingly provides an original, historical, and contemporary analysis of the federalization of corporate governance - a subject that impacts this country's economic well-being in a very fundamental way.

Australian Personal Property Securities Law

Author: A. J. Duggan,David Brown

Publisher: Butterworth-Heinemann

ISBN: 9780409330328

Category: Personal property

Page: 371

View: 6542

Australian Personal Property Securities Law offers clear and concise commentary on this new legislation - its implementation, implications and impact. Written by distinguished academics and international experts in the area, Australian Personal Property Securities Law provides analytical depth and expert policy understanding, making this an invaluable resource for commercial law students and practitioners alike.

Die Regulierung von Investment Crowdfunding in den USA

Der US-amerikanische CROWDFUND Act im Spannungsfeld von Anlegerschutz und Kapitalzugang

Author: Markus Schuster

Publisher: Nomos Verlag

ISBN: 3845291737

Category: Law

Page: 535

View: 2510

Der CROWDFUND Act fungiert als Rechtsrahmen für das Investment Crowdfunding in den USA. Die Dissertation geht der Frage nach, ob die inhaltliche Ausgestaltung der Regelungen mit den gesetzgeberischen Zielen übereinstimmt. Der Fokus liegt auf der rechtlichen Bewertung und Analyse der Sinnhaftig- und Zweckmäßigkeit der Vorschriften, insbesondere mit Blick auf die intendierte Balance einer effektiven Kapitalmarktregulierung im Spannungsfeld von Anlegerschutz und Kapitalzugang. Ferner werden umfassend die Fragen beantwortet, ob, auf welche Art und Weise und in welchem Umfang die Vorschriften zu einer ausgewogenen Sicherstellung des Anlegerschutzes sowie zu einer Erleichterung des Kapitalzugangs beitragen werden. Die in dem Werk differenzierende Erarbeitung zweckorientierter Lösungsansätze sowie gezielte Änderungsvorschläge de lege ferenda können als möglicher Stimulus und erster Anknüpfungspunkt für eine effektivere Regulierung des Investment Crowdfunding in den USA verstanden werden.

Business Law 2014

Author: Andy Gibson,Douglas Fraser

Publisher: Pearson Higher Education AU

ISBN: 1486010296

Category: Law

Page: 1103

View: 663

Business Law 2014 - Your essential up-to-date business law resource The pace and scope of legislative reform of the law affecting business is increasing. There is a major shift to uniformity across the nation with a corresponding increase in new legislation and significant amendments to existing legislation. Business Law 2014 is a sophisticated and comprehensive text which provides a clear and current appreciation of the main rules and legal principles encountered in a course for non-lawyers. It considers the legal environment in which businesses must operate in all states and territories. With a student-friendly, 4-colour format and a teaching and learning resource package second to none, Business Law 2014 also offers instructors a great opportunity to tailor textbook content to suit the breadth and depth of the areas you wish to teach.

EB-5 and U.S. Securities Law

How to Gain Citizenship Using Private Placements

Author: Douglas Slain

Publisher: Private Placement Publications

ISBN: 1481016652

Category: Business & Economics

Page: 58

View: 7371

The JOBS Act has changed the practice of law relating to EB-5 offerings. Regional Centers and direct investment offerings now have more latitude with respect to general solicitations, although proof of reasonable steps taken to verify accredited investor status must be shown.

Principles of Corporate Finance Law

Author: Eilis Ferran,Look Chan Ho

Publisher: Oxford University Press

ISBN: 0199671346

Category: Law

Page: 477

View: 4675

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.

Wiley Series 63 Exam Review 2015 + Test Bank

The Uniform Securities Examination

Author: The Securities Institute of America, Inc.

Publisher: John Wiley & Sons

ISBN: 1118857089

Category: Business & Economics

Page: 192

View: 9917

The go-to guide to acing the Series 63 Exam! Passing the Uniform Securities Agent State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business within the state. Created by the experts at The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2015 arms you with everything you need to pass this challenging 60-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 63 Exam Review 2015 is your ticket to passing the Series 63 test on the first try—with flying colors!


Eine ökonomische und regulatorische Analyse des LIBOR-Manipulationsskandals

Author: Isabella Brosig

Publisher: N.A

ISBN: 9783848747528


Page: 420

View: 9994

Der LIBOR als "Universalwerkzeug" zur Flexibilisierung von Zinszahlungen beeinflusst Vertrage mit einem ausstehenden Nominalwert von mehr als 300 Bio. US-Dollar weltweit. Die leichte Beeinflussbarkeit der Benchmark, schwere Interessenkonflikte und schwache Unternehmensstrukturen fuhrten zu einem der grossten Manipulationsskandale im Finanzsektor. Seit 1. Januar 2018 wird der wirtschaftlich hoch relevante, bisher aber nur einer Selbstregulierung unterworfene Teil des Finanzsystems, erstmals im Rahmen einer europaischen Verordnung umfassend reguliert. Nach einer okonomischen Analyse von Referenzwerten im ersten Teil der Arbeit und der Erarbeitung von Regulierungs- und Sanktionslucken im zweiten Teil, wird im dritten Teil untersucht, inwiefern die Marktmissbrauchs-Verordnung (EU) 596/2014 und die Benchmark-Verordnung (EU) 2016/1011 die bestehenden Lucken schliesst.

Financial Services and General Government Appropriations for 2016

Hearings Before a Subcommittee of the Committee on Appropriations, House of Representatives, One Hundred Fourteenth Congress, First Session

Author: United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General Government

Publisher: N.A


Category: Administrative agencies

Page: N.A

View: 4032

The Integrated Reporting Movement

Meaning, Momentum, Motives, and Materiality

Author: Robert G. Eccles,Michael P. Krzus

Publisher: John Wiley & Sons

ISBN: 1118993748

Category: Business & Economics

Page: 336

View: 9728

An in-depth, enlightening look at the integrated reportingmovement The Integrated Reporting Movement explores the meaning ofthe concept, explains the forces that provide momentum to theassociated movement, and examines the motives of the actorsinvolved. The book posits integrated reporting as a key mechanismby which companies can ensure their own long-term sustainability bycontributing to a sustainable society. Although integratedreporting has seen substantial development due to the support ofcompanies, investors, and the initiatives of a number of NGOs,widespread regulatory intervention has yet to materialize. Outsideof South Africa, adoption remains voluntary, accomplished viasocial movement abetted, to varying degrees, by market forces. Inconsidering integrated reporting’s current state of play, theauthors provide guidance to ensure wider adoption of the practiceand success of the movement, starting with how companies canimprove their own reporting processes. But the support ofinvestors, regulators, and NGOs is also important. All willbenefit, as will society as a whole. Readers will learn how integrated reporting has evolved over theyears, where frameworks and standards are today, and the practicesthat help ensure effective implementation—including, but notlimited to an extensive discussion of informationtechnology’s role in reporting and the importance ofcorporate reporting websites. The authors introduce the concepts ofan annual board of directors’ “Statement of SignificantAudiences and Materiality” and a “Sustainable ValueMatrix” tool that translates the statement into managementdecisions. The book argues that the appropriate combination ofmarket and regulatory forces to speed adoption will vary bycountry, concluding with four specific recommendations about whatmust be done to accelerate high quality adoption of integratedreporting around the world.

Understanding Bitcoin

Cryptography, Engineering and Economics

Author: Pedro Franco

Publisher: John Wiley & Sons

ISBN: 1119019141

Category: Business & Economics

Page: 288

View: 3167

Discover Bitcoin, the cryptocurrency that has the finance worldbuzzing Bitcoin is arguably one of the biggest developments in financesince the advent of fiat currency. With UnderstandingBitcoin, expert author Pedro Franco provides financeprofessionals with a complete technical guide and resource to thecryptography, engineering and economic development of Bitcoin andother cryptocurrencies. This comprehensive, yet accessible workfully explores the supporting economic realities and technologicaladvances of Bitcoin, and presents positive and negative argumentsfrom various economic schools regarding its continuedviability. This authoritative text provides a step-by-step description ofhow Bitcoin works, starting with public key cryptography and movingon to explain transaction processing, the blockchain and miningtechnologies. This vital resource reviews Bitcoin from the broaderperspective of digital currencies and explores historical attemptsat cryptographic currencies. Bitcoin is, after all, not just adigital currency; it's a modern approach to the secure transfer ofvalue using cryptography. This book is a detailed guide to what itis, how it works, and how it just may jumpstart a change in the waydigital value changes hands. Understand how Bitcoin works, and the technology behind it Delve into the economics of Bitcoin, and its impact on thefinancial industry Discover alt-coins and other available cryptocurrencies Explore the ideas behind Bitcoin 2.0 technologies Learn transaction protocols, micropayment channels, atomiccross-chain trading, and more Bitcoin challenges the basic assumption under which the currentfinancial system rests: that currencies are issued by centralgovernments, and their supply is managed by central banks. To fullyunderstand this revolutionary technology, UnderstandingBitcoin is a uniquely complete, reader-friendly guide.

Transatlantic Whistleblowing

Rechtliche Entwicklung, Funktionsweise und Status quo des Whistleblowings in den USA und seine Bedeutung für Deutschland

Author: Simon Gerdemann

Publisher: Mohr Siebeck

ISBN: 3161559169

Category: Law

Page: 608

View: 4248

English summary: Simon Gerdemann explores the origins, characteristics and ramifications of whistleblowing laws in the United States, analyzes the consequences the current rise and adoption of whistleblowing laws has on European countries like Germany and shows how learning from past experiences in the United States could shape the whistleblowing laws of tomorrow. German description: "Whistleblowing" - wohl kein anderer englischsprachiger Rechtsbegriff kann in den letzten Jahren auf eine vergleichbare Karriere sowohl in der offentlichen Diskussion und internationalen Wirtschaftspraxis als auch der deutschen Rechtswissenschaft und Rechtspolitik zuruckblicken.Simon Gerdemann geht den Ursprungen und Hintergrunden des modernen Whistleblowingrechts in den USA aus historischer, empirischer und rechtsdogmatischer Perspektive auf den Grund. Er zeigt auf, wie Whistleblowing uber Landes- und Rechtsgebietsgrenzen hinweg seinen Weg nach Deutschland gefunden hat, welche aktuellen Folgen seine Diskussion und Adaption fur das deutsche Arbeits-, Gesellschafts-, Datenschutz- und Verwaltungsrecht haben und wie man die Erfahrungswerte aus 150 Jahren der Geschichte des Whistleblowingrechts in den USA nutzen kann, um die Zukunft des Whistleblowings in Deutschland sinnvoll zu gestalten.

Wall Street Poker

Author: Michael Lewis

Publisher: FinanzBuch Verlag

ISBN: 3862485862

Category: Biography & Autobiography

Page: 342

View: 7609

Mit Beginn des Börsenbooms in den 80er Jahren begann der große Traum der Elite-Absolventen renommierter Universitäten: sich im Händlerraum einer großen Investmentgesellschaft der Wall Street vom "Geek" - einem der unterbezahlten, ausgebeuteten Laufburschen - zum bewunderten Star-Händler hochzuarbeiten. Michael Lewis hat die hektische Atmosphäre eines modernen Goldrausches miterlebt. Niemals zuvor haben so viele so unerfahrene 24-Jährige in so kurzer Zeit so viel Geld verdient, wie Lewis und seine Kollegen in den 80er Jahren in New York und London. Niemals zuvor gab es zu dem Marktgesetz, dass jemand nicht mehr herausbekommen wird, als er hineingibt, derart phantastische Ausnahmen. Michael Lewis, ehemaliger Wall-Street-Insider, gewährt in einer authentischen Story tiefe Einblicke hinter die Kulissen des Börsengeschehens. Ein bis zur letzten Seite packendes Buch, das nichts von seiner Aktualität eingebüßt hat.

Federal securities law reporter

federal regulation of securities : laws, regulations, forms, rulings and decisions currently supplemented and indexed

Author: Commerce Clearing House

Publisher: N.A


Category: Business & Economics

Page: N.A

View: 7658