Federal Securities Laws 2013 2014

Author: John C. Coffee, Jr.
Publisher: Foundation Press
ISBN: 1609303326
Release Date: 2013
Genre: Law

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.

Enforcement of Corporate and Securities Law

Author: Robin Hui Huang
Publisher: Cambridge University Press
ISBN: 9781107164994
Release Date: 2017-06-30
Genre: Business & Economics

This book is the first of its kind in focusing on the enforcement of corporate and securities laws, both public and private, a relatively understudied but critically important issue for the development and health of global capital markets. The book has a special focus on the young system coming into being in the People's Republic of China (PRC), but also examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective. This single volume assembles a veritable 'dream team' of contributors who are amongst the very best scholars and legal specialists in the many national jurisdictions covered in the book. Hence, it is of significant value to corporate and securities regulators, judicial officials, prosecutors, litigation specialists, corporate counsel, legal and economic policymakers, scholars, think tanks, students, and investors alike.

Wall Street Potholes

Author: Simon A. Lack
Publisher: John Wiley & Sons
ISBN: 9781119093251
Release Date: 2015-10-05
Genre: Business & Economics

Recognize Wall Street tactics for what they are, and make smarter decisions with your money Wall Street Potholes shares insights into the money management industry, revealing the shady practices that benefit the salesman far more than the client. Bestselling author Simon Lack brings together a team of experienced money managers to give you straight-from-the-source intel, and teach you how to recognize bad advice and when it's better to just walk away. Investors are rightly suspicious that many products are sold more because of the fees they generate than their appropriateness to the client's situation, and that's only the beginning. This book lays it all bare so you can walk into your next deal with your eyes wide open. You'll learn just how big the profit margin is on different products, and why Wall Street intentionally makes things as complicated as possible. You'll learn expert tactics for combatting these practices, so you can avoid buying overpriced products and confidently discriminate against advisors who put their own interests first. For all the volumes of investment advice on the market, dissatisfaction with the financial services industry has never been higher. This book describes the reason for that disconnect, and tells you how to see through the smoke and mirrors to make the best decisions for your money. Discover the profit margin built into some popular products Learn the reason behind bundling and why Wall Street fears comparison shopping Consider the importance of benchmarking, and why so many firms avoid it Become better informed so you can easily recognize poor investment advice If asking questions of your financial advisor only nets more confusion, if you want to have more control over your money, you need a firm grasp of how these firms manipulate your trust. Wall Street Potholes tells you what you need to know to become a smarter investor.

Responsibilities of Corporate Officers and Directors Under Federal Securities Law

Author: CCH Incorporated
Publisher: Aspen Publishers
ISBN: 0808037137
Release Date: 2013-10-15
Genre: Business & Economics

This book alerts board members and management to their personal duties and liabilities under the federal securities laws. From the vast body of federal laws, rules, administrative interpretations, and court decisions dealing with securities offerings and transactions, those of particular interest to corporate officers and directors as individuals are discussed here. The materials focus on the Securities Act of 1933 and the Securities Exchange Act of 1934, pertinent provisions of the Investment Company Act of 1940, and the Sarbanes-Oxley Act of 2002. The 2006-2007 Edition features extensive discussion of the SEC's executive compensation reforms, including: the narrative disclosure piece, "compensation discussion and analysis"; the tabular disclosure requirements of Regulation S-K Item 402; new mandates for reporting executive perks; and expanded disclosure of transactions with related persons. Also new is discussion of changed requirements for the compensation committee report, plurality and majority voting standards, case law developments involving fraud liability, no-action letter guidance on insider short sales, and SEC statements on cooperation during an investigation.

The Deconstruction of Equity

Author: Wolf-Georg Ringe
Publisher: Oxford University Press
ISBN: 9780191034534
Release Date: 2016-09-15
Genre: Law

New investment techniques and new types of shareholder activists are shaking up the traditional ways of equity investment that informs much of our present-day corporate law and governance. Savvy investors such as hedge funds are using financial derivatives, securities lending transactions, and related concepts to decouple the financial risk from shares. This leads to a distortion of incentives and has potentially severe consequences for the functioning of corporate governance and of capital markets overall. Taking stock of the different decoupling strategies that have become known over the past several years, this book then provides an evaluation of each from a legal and an economic perspective. Based on several analytical frameworks, the author identifies the elements of equity deconstruction and demonstrates the consequences for shareholders, outside investors, and capital markets. On this basis, the book makes the case for regulatory intervention, based on three different pillars and comprising disclosure, voting right suspension, and ex-post litigation. The book concludes by developing a concrete, comprehensive proposal on how to address the regulatory problem. Overall, this book contributes to the debate about activist investment and the role of shareholders in corporate governance. At the same time it raises a number of important considerations about the role of equity investment more generally.

Crowdfunding 2020

Author: Michael Gebert
Publisher: BoD – Books on Demand
ISBN: 9783734753862
Release Date: 2015-01-21
Genre: Political Science

Die Crowdfunding Studie 2020 wirft einen Blick in die Zukunft der Crowdfunding-Industrie. Experten geben im Rahmen einer Delphi-Studie eine Einschätzung zur zukünftigen Situation des Crowdfunding in der Schweiz und Deutschland bis 2020, sowie ob sich Crowdfunding bis 2020 zum Komplement oder Substitut für traditionelle Finanzprodukte entwickelt. Die Studie wurde vom Competence Center Crowdsourcing und dem deutschen German Crowdfunding Network durchgeführt.

Anderson s Oh Annotated Securities Law Handbook 2012 2013

Author: Howard M. Friedman
Publisher: LexisNexis
ISBN: 9780327170952
Release Date: 2012-09-14
Genre: Law

The undisputed authoritative source on Ohio's blue sky laws, this set combines the formal requirements and more informal aspects of Ohio securities practice, explaining all aspects of Ohio blue sky practice, from routine registration, exemption, and liability questions to more complex issues involving Ohio's merit requirements. Supplemented annually, it also covers specialized topics, such as Ohio broker-dealer licensing, tender offers, and enforcement issues. Containing materials previously difficult or impossible to obtain, this set provides the full text and discussion of substantial primary source material, including: • Relevant Ohio statutes and rules • Ohio Division of Securities Statements of Policy • Selected federal laws and regulations • Complete official forms • NASAA guidelines and interpretations The handbook is a complete source for all relevant Ohio and federal statutes and rules important to the practice of Ohio securities law including: • Page's Ohio Revised Code Annotated Chapters 1704, 1707, selected provisions of Chapter 1701 and other securities-related statutes • Legislative Service Commission Bill Analyses of selected securities acts • Ohio Division of Securities • Selected Ohio Department of Insurance regulations • Selected federal securities laws and regulations This eBook features links to Lexis Advance for further legal research options.

Budget of the United States Government Appendix Fiscal Year 2014

Author: Executive Office of the President of the United States: Office of Management and Budget
Publisher: Government Printing Office
ISBN: 0160917484
Release Date: 2013-04-10
Genre: Reference

Presents detailed information on individual programs and appropriation accounts that constitute the budget. Includes for each Government department and agency the text of proposed appropriations language, budget schedules for each account, new legislative proposals, and explanations of the work to be performed and the funds needed, and proposed general provisions applicable to the appropriations of entire agencies or groups of agencies.

Product Liability Case Digest 2013 2014 Edition

Author: Scott Baldwin
Publisher: Aspen Publishers Online
ISBN: 9781454809845
Release Date: 2012-12-01
Genre: Law

Here's a unique first-stop research tool that describes all the latest product liability cases by type of case, so you can quickly find key cases and typical issues involving similar products. Completely updated for this 2013-2014 Edition, Product Liability Case Digest covers the full range of products in six main categories: Construction Equipment and Materials Consumer Products Farm Machinery and Products Medical Products Motor Vehicles Workplace Products An invaluable tool for the busy practitioner, Product Liability Case Digest provides an immensely valuable head start to research by helping you quickly identify the most relevant and current decisions likely to affect your product liability case. It will save you incalculable amounts of time and money.

Corporate Finance and the Securities Laws

Author: Charles J. Johnson (Jr.)
Publisher: Wolters Kluwer Law & Business
ISBN: 9781454858393
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

Q A Revision Guide International Law 2013 and 2014

Author: Susan Breau
Publisher: Oxford University Press
ISBN: 9780199661961
Release Date: 2013-01-31
Genre: Law

Q&A International Law offers a lifeline to students revising for exams. It provides clear guidance from an experienced examiner on how best to tackle exam questions, and gives students the opportunity to practise their exam technique and assess their progress.

Business Brokers and Securities Laws

Author: Douglas Slain
Publisher: Private Placement Publications
ISBN: 9781493638857
Release Date: 2014-04-14
Genre: Business & Economics

This Stanford lawyer-authored handbook takes the reader step-by-step through the legal thicket surrounding finders' fees. You learn how to be paid, without needing a securities license, for finding money for someone else.