Author: Thomas Hazen
Publisher: West Academic Publishing
Release Date: 2016-11-21
Selections in the book include the text of basic federal securities laws, related Securities and Exchange Commission (SEC) rules and forms, and other selected related laws and regulations. It is designed as a supplement to securities regulation texts used in law school courses, but it can also serve as a reference for lawyers, securities professionals, and corporate officers. The booklet contains changes made through November 2016.
Author: Thomas Hazen
Publisher: West Academic Publishing
Release Date: 2017-11-20
Selections in the book include the text of basic federal securities laws, related Securities and Exchange Commission (SEC) rules and forms, and other selected related laws and regulations. It is designed as a supplement to securities regulation texts used in law school courses, but it can also serve as a reference for lawyers, securities professionals, and corporate officers. The booklet contains changes made through November 2017.
Release Date: 2006
This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. 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, related federal laws, and state securities laws. Also includes early 2002 amendments to the Securities Act of 1933 and the Securities Exchange Act of 1934. The Revised 2005 Edition of Federal Securities Laws: Selected Statutes, Rules and Forms follows the format of earlier years. Early in 2002 Congress changed fee provisions in Section 6(b) of the Securities Act of 1933 and amended Section 4(b), 13(f), 14(g), and 31 of the Securities Exchange Act of 1934 to address fees and SEC expenditures. Rule 135b of the Securities Act of 1933 was amended as were Regulations S-B and S-K Items 201 and 601. There were several Rules added or amended in the Securities Exchange Act. These included Rules 3a4-2, 3a4-3, 3a4-5, 3a4-6, 3a5-1, 3a55-1, 3a55-2, 3a55-3, 3b-17, 3b-18, 6a-3, 6a-4, 14a-3, 15a-7, 15a-8, 15a-9, 15a-10, 15b2-2, 15b11-1, 17a-3, 17a-4, 17a-25, 17AD-7, 19b-4, 19b-7, and 31-1. In addition, Rule 303 of Regulation ATS was amended as were Item 12 of Form 10-K and Item 11 of Form 10-KSB. There are also amendments to Investment Company Act Rules 2a-7, 5b-3 and 31a-2 as well as Rule 204-2 of the Investment Advisers Act and Rule 202.3 of SEC Rules of Practice.
Author: Stephen Choi
Publisher: Foundation Press
Release Date: 2017-07-12
Receive complimentary lifetime digital access to the eBook with new print purchase. This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act.
Author: Howard M. Friedman
Release Date: 2018-06-01
The undisputed authoritative source on Ohio's blue sky laws, LexisNexis' Ohio Securities Law Handbook 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 selections from Page's Ohio Revised Code Annotated, Legislative Service Commission Bill analyses, Ohio Division of Securities regulations, Ohio Department of Insurance regulations and federal securities laws and regulations.
Author: Майкл Льюїс
Publisher: Family Leisure Club
• 28 тижнів у топі бестселерів The New York Times • Книжка року за рейтингами Amazon, The Economist і Bloomberg 2010 року про новий роман письменника та фінансового журналіста Майкла Льюїса говорила вся Америка. Його «Велику гру на пониження» у потертій обкладинці можна було побачити на автобусній зупинці, у вагоні підземки чи на столику у ресторані швидкого харчування. Бо у кожного американця був знайомий без постійної роботи і грошей, який отримав великий іпотечний кредит. Будинки дорожчали, відсотки по кредитам падали… Інвестиційні банки Уолл-стрит стали схожими на казино. Та це казино помилилось, коли розраховувало свої шанси на виграш. Велика мильна бульбашка мала луснути. Фінансова піраміда мала обвалитися, поховавши під собою віру американців у міць долара... Було досить багато тих, хто передбачав цю катастрофу. Але була і жменька тих, хто ризикнув і, коли світ летів у прірву фінансової кризи, зумів на ній заробити. Великий песиміст і дивак з Уолл-стрит, якого колеги звикли вважали невдахою. Лікар із синдромом Аспергера, якого більше за діагнози вабили колонки цифр фінансової аналітики. Двоє друзів, що заснували інвестиційну компанію у гаражі біля будинку. Вони, а не великі боси з Уолл-стрит зуміли побачити проблему під незвичайним кутом. Поставили на програш. І стали переможцями. Книга «Гра на пониження» отримала звання «Книжка року» в десятках авторитетних рейтингів, а екранізація за участю Бреда Пітта, Раяна Гослінга і Крістіана Бейла номінувався на «Золотий глобус» і «Оскар».
Author: John C. Coffee, Jr.
Release Date: 2009
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 2008 Edition follows the format of earlier years and contains updates through March 1, 2009.
This compilation contains the statutes, rules, materials and forms affecting corporations and other business organizations. The materials are expertly arranged by one of the leading scholars in the field, and intended for law school study. Among the many new features of the 2007 Edition are the following: The recently adopted Revised Uniform Limited Liability Company Act. The path-breaking new North Dakota Publicly Traded Corporations Act. Very extensive revisions of the Model Act. The sweeping revisions of the SEC's rules governing compensation and corporate governance, as well as other important rule changes. The final version of the Restatement Third of Agency. Numerous revisions of the Delaware General Corporation Law. Numerous revisions of the Delaware Limited Liability Company Law.
Author: Gordon Anderson
Publisher: Edward Elgar Publishing
Release Date: 2017-09-29
The contract of employment provides in many jurisdictions the legal foundation for the employment of workers. This book examines how the development of the common law under the influence of contemporary social and economic pressures has caused this contract to evolve.
Publisher: John Wiley & Sons
Release Date: 2017-03-06
Genre: Business & Economics
The go-to guide to acing the Series 4 Exam! The Registered Options Principal Examination (Series 4) was designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firm's options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Supervise the Opening of New Options Accounts; Supervise Options Account Activities; Supervise General Options Trading; Supervise Options Communications; Implement Practices and Adhere to Regulatory Requirements; Supervise Associated Persons and Personnel Management Activities. Created by the experts at the Securities Institute of America, Inc., Wiley Series 4 Exam Review 2017 arms you with what you need to score high on the test. Designed to let 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 4 Exam Review 2017 is your ticket to passing this difficult three-hour test on the first try—with flying colors! Visit www.efficientlearning.com/finra for more information. The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year. Our securities training options include: Onsite classes Private tutoring Classroom training Interactive online video training classes State-of-the-art exam preparation software Printed textbooks Real-time tracking and reporting for managers and training directors As a result, you can choose a securities training solution that matches your skill level, learning style, and schedule. Regardless of the format you choose, you can be sure that our securities training courses are relevant, tested, and designed to help you succeed. It is the experience of our instructors and the quality of our materials that make our courses requested by name at some of the largest financial services firms in the world. To contact The Securities Institute of America, visit us on the web at www.SecuritiesCE.com or call 877-218-1776.