Publisher: Foundation Press
Release Date: 2007-07-01
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. The 2007 Edition follows the format of earlier years and contains updates through March 1, 2007, including the SEC's new Executive Compensation and Internet Proxy Rules.
Author: Stephen M. Bainbridge
Release Date: 2007
Presenting the history, richness, and texture of important areas of law, this text illustrates the development of securities/insider trading law, with selected cases and in-depth explanations. Insider trading is a central topic in most corporations, business association, and securities regulation classes. For many corporate law students, insider trading is their principal introduction to federal securities law, SEC Rule 10b-5, and economic analysis. As a recommended text, this book addresses the important subject in a readable and authoritative manner. Accessible but sophisticated, it seeks to develop the reader's understanding of the theory and practice of insider trading law.
Author: Michael V. Seitzinger
Release Date: 2007
Genre: Security (Law)
The major federal securities laws may be grouped into two categories according to the time of their passage: the acts passed in the wake of the stock market crash of 1929 and the acts passed later in the twentieth century and in 2002. The acts in the first group include the most important of the federal securities acts: the Securities Act of 1933, which concerns the initial registration of securities, and the Securities Exchange Act of 1934, which requires ongoing disclosure reports. The acts in the second group include laws which specifically prohibit insider trading, restrict the bringing of shareholder derivative suits, and require additional reporting by officers and directors. This report will be updated as warranted.
Author: Thomas Lee Hazen
Publisher: West Academic Publishing
Release Date: 2007-11
This booklet contains the full text of the basic federal securities laws, the principle SEC rules and forms under those laws, and other related laws and regulations. It is designed primarily as a supplement to securities regulation texts used in law school courses. However, it can also serve as a basic reference for lawyers, securities professionals, corporate officers, and others who have occasion to deal with questions of securities law.
Includes: Child Nutriiton Act of 1966; Richard B. Russell National School Lunch Act; Low-Income Home Energy Assistance Act of 1981; Head Start Act; Child Care and Development Block Grant Act of 1990; States Dependent Care Development Grants Act; Community Services Block Grant Program; Child Development Associate Scholarship Assistance Act of 1985; Older Americans Act of 1965; Native Americans Program Act of 1974; Juvenile Justice and Deliquency Prevention Act of 1974, and related laws.
Author: Marc I. Steinberg
Release Date: 2014-04-09
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.
Author: Charles J. Johnson (Jr.)
Publisher: Wolters Kluwer Law & Business
Release Date: 2015-03-06
Genre: Business & Economics
Corporate Finance and the Securities Laws has been winning over practitioners with its clear andquot;how to do itandquot; approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Fifth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace. Written in plain English by two top experts in the field - each with literally hundreds of successful deals under his belt, Corporate Finance and the Securities Laws is the andquot;go toandquot; resource which explains the mechanics of corporate finance together with the statutes that govern each type of deal. You'll receive expert corporate finance analysis, procedural guidance, and practical securities law pointers every step of the way to help you Structure all types of corporate finance deals - from public, private, and offshore offerings to corporate debt restructurings, commercial paper programs, raising capital, and asset-based securities transactions Root out problems before corporate finance deals are put in motion, with heads-up input on securities law prohibited practices, potential liabilities, conflicts of interest, due diligence concerns, and other red-flag issues Shepherd transactions through the corporate finance regulatory process with a clear understanding of applicable statutes and their implications in real-life situations Know what to do when securities law problems crop up - and find clear answers to the countless questions that develop in the course of a corporate finance deal Close deals, raising capital in a timely manner and work shoulder to shoulder with clients to accomplish your corporate finance objectives