Federal securities law

Author: Thomas Lee Hazen
Publisher: Administrative Office of the US Courts
ISBN: PURD:32754077080889
Release Date: 2003-10-02
Genre: Business & Economics

Provides an introduction and an overview of the securities laws, the laws having to do with investing and investments. This book does not include the texts of the laws.

Federal Securities Laws

Author: John C. Coffee, Jr.
ISBN: 1599418312
Release Date: 2010
Genre: Securities

This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. 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, and related federal laws.

A Fiduciary s guide to federal securities laws

Author: American Bar Association. Committee on Federal Regulation of Securities. Subcommittee on Securities Activities of Banks and Fiduciaries
Publisher: Amer Bar Assn
ISBN: STANFORD:36105061188178
Release Date: 1994-06
Genre: Business & Economics

Essential reading for those who manage trusts or funds that contain securities. Virtually everything one needs to know about registration requirements and compliance guidelines--including how to avoid civil and criminal liabilities--is spelled out in this information-packed resource. Also covered are how to buy, sell and own securities in trust, as well as the problems fiduciaries typically encounter in offering investment or related services.

Understanding Securities Law

Author: Marc I. Steinberg
Publisher: LexisNexis
ISBN: 9781579110338
Release Date: 2009-08-14
Genre: Law

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.

United States Securities Law

Author: James M. Bartos
Publisher: Kluwer Law International B.V.
ISBN: 9789041123626
Release Date: 2006-01-01
Genre: Law

Capital raising, mergers and acquisitions and securities trading around the world often involve some connection with the United States and implicate the US securities laws. United States Securities Law: A Practical Guide ,offers a concise overview of US securities laws from the perspective of a non-US participant. It is written not only for lawyers but for managers, bankers and others with an interest in the topic. This new edition has been significantly updated and expanded, including for the SEC's recent offering reforms and corporate governance developments. Praise for the Second Edition: This book has been a valuable resource in effectively counselling my company in the intricacies of SEC regulation. Jim, with his many years of counselling foreign issuers out of his firms London office, writes with a perspective that is particularly relevant to the needs of foreign companies listed on US exchanges. George Miller, Executive Vice President and General Counsel, Novartis Corporation. A well written and useful primer for those looking for quick, practical answers to real life questions or who wish to understand better the background and rationale to US securities law and regulation. Leland Goss, Managing Director, Credit Suisse. This book really is a practical guide to the US securities laws. It does a great job of explaining the rules and regulations in a way that can be understood by readers that are not themselves US securities lawyers. Peter Castellon, Director andamp; Counsel, Citigroup Corporate andamp; Investment Banking.