Research Handbook on Securities Regulation in the United States PDF Download

Author: Jerry W. Markham
Publisher: Edward Elgar Publishing
ISBN: 1782540075
Category : Business & Economics
Languages : en
Pages : 544

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Book Description
This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute

Author: Robert C. Rosen
Publisher:
ISBN: 9780379208252
Category : International finance
Languages : en
Pages : 0

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Book Description
Definitive and comprehensive, International Securities Regulation is the first treatise on international securities with translations of laws and regulations of 30 jurisdictions entirely in English. This seven-volume set encompasses the complete range of securities topics, including legal systems, securities regulatory schemes, descriptions of public securities markets, and discussions of those regulations regarding substantive securities matters. Lawyers, regulators, and professionals with first-hand, day-to-day experience have written commentary for each jurisdiction. Commentary focuses on each country's legal system, public securities markets, security regulations and implementations, and recent trends and developments.

Author: Gary M. Brown
Publisher:
ISBN: 9781402418969
Category : Going public (Securities)
Languages : en
Pages : 0

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Book Description
In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission's recent enactment of the "proxy access" rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities * Deal effectively with the Securities Act registration process -- focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing * Handle registration and reporting under the Exchange Act -- both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation * Minimize liability risks under the Exchange Act -- by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that * Revised the net worth standard of qualifying as an accredited investor * Increased the SEC's ability to impose penalties in cease-and-desist proceedings * Requires the creation of "claw-back" provisions in listed company compensation plans * Significantly revised "proxy access" and "proxy voting" regulations

Author: William A. Birdthistle
Publisher: Edward Elgar Publishing
ISBN: 1784715050
Category : Business & Economics
Languages : en
Pages : 480

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Book Description
With fifty trillion in worldwide assets, the growth of mutual funds is a truly global phenomenon and deserves a broad international analysis. Local political economies and legal regimes create different regulatory preferences for the oversight of these funds, and academics, public officials, and legal practitioners wishing to understand the global investing environment will require a keen awareness of these international differences. The contributors, leading scholars in the field of investment law from around the world, provide a current legal analysis of funds from a variety of perspectives and using an array of methodologies that consider the large fundamental questions governing the role and regulation of investment funds. This volume also explores the identity and behavior of investors as well as issues surrounding less orthodox funds, such as money market funds, ETFs, and private funds.This Handbook will provide legal and financial scholars, academics, lawyers and regulators with a vital tool for working with mutual funds.

Author: Marc I. Steinberg
Publisher: Law Journal Press
ISBN: 9781588520210
Category : Business & Economics
Languages : en
Pages : 1220

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Book Description
This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.

Author: Daniel F. Spulber
Publisher: MIT Press
ISBN: 9780262192750
Category : Business & Economics
Languages : en
Pages : 720

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Book Description
Regulation and Markets provides the up to date, integrated analysis of regulatory policies and the administrative process that is needed in today's field of regulation economics. The book takes a modern perspective, using the tools of industrial organization and game theory. It is the only unified treatment of the field and combines theoretical models with consideration of public policy issues in the areas of antitrust, price regulation, environmental regulation, product quality, and workplace safety. The discussion considers both the welfare effects of regulation and the institutional aspects of the administrative regulatory process. Developments in the fields of law and political science have been integrated in a rigorous manner into the economic framework.Sections of the book address administrative process and market allocation, competition and pricing under increasing returns to scale, administrative regulation of markets, and antitrust enforcement. The conclusion evaluates regulatory policy and deregulation. Extensive literature citations throughout enhance the books value as a reference.

Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781983741609
Category :
Languages : en
Pages : 40

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Book Description
SECURITIES REGULATION: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority

Author: Sean Griffith
Publisher: Edward Elgar Publishing
ISBN: 1786435349
Category : LAW
Languages : en
Pages : 576

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Book Description
Written by leading scholars and judges in the field, the Research Handbook on Representative Shareholder Litigation is a modern-day survey of the state of shareholder litigation. Its chapters cover securities class actions, merger litigation, derivative suits, and appraisal litigation, as well as other forms of shareholder litigation. Through in-depth analysis of these different forms of litigation, the book explores the agency costs inherent in representative litigation, the challenges of multijurisdictional litigation and disclosure-only settlements, and the rise of institutional investors. It explores how related issues are addressed across the globe, with examinations of shareholder litigation in the United States, Canada, the United Kingdom, the European Union, Israel, and China. This Research Handbook will be an invaluable resource on this important topic for scholars, practitioners, judges and legislators.

Author: Thomas Lee Hazen
Publisher:
ISBN: 9780314269966
Category : Securities
Languages : en
Pages : 0

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Book Description
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.

Author: Thomas Lee Hazen
Publisher:
ISBN: 9780314161826
Category : Securities
Languages : en
Pages : 1913

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Book Description