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.


ISBN: STANFORD:36105123531332
Release Date: 1999*
Genre: Securities

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.

Anderson s Ohio Annotated Securities Law Handbook 2014 Edition

Author: Howard M. Friedman
Publisher: LexisNexis
ISBN: 9781632805270
Release Date: 2014-09-17
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 volume 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 The eBook versions of this title feature links to Lexis Advance for further legal research options.

Country Experiences in Economic Development Management and Entrepreneurship

Author: Mehmet Huseyin Bilgin
Publisher: Springer
ISBN: 9783319463193
Release Date: 2016-11-09
Genre: Business & Economics

This volume brings together selected papers from the 17th EBES Conference, organized in Venice in winter 2015. The theoretical and empirical papers present the latest research in diverse areas of business, economics, and finance from many different regions. They chiefly focus on the interactions between economic development, entrepreneurship and financial institutions, especially putting the spotlight on cross-country evidence. Topics range from women’s entrepreneurship and economic regulation, to sustainability and climate change. This book provides researchers, professionals, and students a great opportunity to catch up on the latest studies in different fields and empirical findings on many countries and regions.

Securities Litigation

Author: Marc I. Steinberg
ISBN: 1611635756
Release Date: 2016-07-08

Securities Litigation provides an analytical and practical framework addressing the key subjects in the field. In this text, U.S. Supreme Court and lower court cases that cover the key remedial provisions are highlighted, including Sections 11 and 12 of the Securities Act and Section 10(b) of the Securities Exchange Act, as well as alternative federal remedial statutes (such as Sections 14(a) and 18(a) of the 1934 Act) and secondary liability provisions. Integral to this discussion is a thorough treatment of class and derivative actions, with applicable cases and statutes. Government enforcement is also analyzed, with particular focus being given to the SEC and criminal enforcement. In addition, state securities litigation is covered in depth along with professional liability exposure. The text provides a practical and insightful learning experience, complemented by problems and exercises that will enhance students' lawyering skills.

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.

Securities Regulation in a Nutshell

Author: Thomas Hazen
Publisher: West Academic
ISBN: 9781634609463
Release Date: 2016-06-24
Genre: Law

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.

Lawyer s Desk Book

Author: Dana Shilling
Publisher: Wolters Kluwer Law & Business
ISBN: 9781454857389
Release Date: 2015-12-17

Lawyerand’s Desk Book is an extraordinary guide that you canand’t afford to be without. Used by over 150,000 attorneys and legal professionals, this must-have reference supplies you with instant, authoritative legal answers, without exorbitant research fees. Packed with current, critical information, Lawyerand’s Desk Book includes: Practical guidance on virtually any legal matter you might encounter: real estate transactions, trusts, divorce law, securities, mergers and acquisitions, computer law, tax planning, credit and collections, employer-employee relations, personal injury, and more - over 75 key legal areas in all! Quick answers to your legal questions, without having to search stacks of material, or wade through pages of verbiage. Key citations of crucial court cases, rulings, references, code sections, and more. More than 1500 pages of concise, practical, insightful information. No fluff, no filler. Just the facts you need to know. The Lawyer's Desk Book, 2016 Edition incorporates recent court decisions, legislation, and administrative rulings. Federal statutes and revised sentencing guides covered in this edition reflect a growing interest in preventing terrorism, punishing terror-related crimes, and promoting greater uniformity of sentencing. There is also new material on intellectual property law, on legislation stemming from corporate scandals, such as the Sarbanes- Oxley Act, and on legislation to cut individual and corporate tax rates, such as the Jobs and Growth Tax Relief Reconciliation Act. Chapters are in sections on areas including business planning and litigation, contract and property law, and law office issues.

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.