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Author : Allan H. Pessin
Publisher : Irwin Professional Publishing
Page : 488 pages
File Size : 43,9 Mb
Release : 1990
Category : Business & Economics
ISBN : UOM:35128000998243
Author : Québec (Province). Autorité des marchés financiers
Publisher : Unknown
Page : 128 pages
File Size : 53,9 Mb
Release : 2006
Category : Communication in financial institutions
ISBN : 2550478827
Author : Steven Mark Levy
Publisher : Aspen Publishers
Page : 840 pages
File Size : 49,9 Mb
Release : 2001
Category : Business & Economics
ISBN : STANFORD:36105060999773
The Regulation of Securities: SEC Compliance and Practice, 2003 Edition is a comprehensive guide to understanding and complying with the day-to-day requirements of the federal securities laws. Using a question and answer format similar to that which the SEC has embraced, this guide provides public corporations, lawyers, and accountants, As well as company officers, directors, and large shareholders with straightforward answers To The most frequently asked questions on securities regulation, and convenient access To The relevant rules, procedures, caselaw, and forms. The 2003 Edition significantly expands and updates the previous Edition and includes chapters on: Introduction to securities regulation, including the modernized EDGAR system Periodic reporting under sections 13(a) and 15 (d) Reporting of beneficial ownership under sections 13(d) and 13(g) Insider reporting under section 16(a) Short-swing trading and exemptions under section 16(b) Tender offer disclosure requirements Proxy solicitations under section 14(a) Securities fraud under Rule 10b-5 Use of electronic media Selling restricted and control securities under Rule 144 Private resales to institutional investors under Rule 144A Going private transactions under Rule 13e-3 and a special supplement on Sarbanes-Oxley and related developments!
Author : Mark R. Gillen
Publisher : Unknown
Page : 1101 pages
File Size : 44,6 Mb
Release : 2019
Category : Securities
ISBN : 0779891457
Author : WEST GROUP
Publisher : Unknown
Page : 516 pages
File Size : 49,9 Mb
Release : 2009
Category : Law
ISBN : 031490414X
Author : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher : Unknown
Page : 318 pages
File Size : 40,6 Mb
Release : 1974
Category : Securities
ISBN : OSU:32437122282813
Author : Securities Compliance Index
Publisher : Unknown
Page : 507 pages
File Size : 55,9 Mb
Release : 2012
Category : Securities
ISBN : 1432789619
Introducing the Securities Compliance Index, your go-to resource for securities regulatory information all within one unified source. Digitized version available at www.securitiescomplianceindex.com.
Author : Jeffrey G. MacIntosh,Christopher C. Nicholls
Publisher : Unknown
Page : 434 pages
File Size : 47,5 Mb
Release : 2002
Category : Business & Economics
ISBN : STANFORD:36105063711365
Canadian securities law comprises a unique mix of enduring basic principles and constantly-changing technical details. This new book provides a solid introduction to both; it looks at securities law topics--including definitions, the public and exempt markets for securities, insider trading, and continuous disclosure--and larger public policy issues.
Author : David M. Stuart
Publisher : Unknown
Page : 128 pages
File Size : 44,5 Mb
Release : 2020
Category : Corporate governance
ISBN : 1402436068
Author : Steven Mark Levy
Publisher : Wolters Kluwer
Page : 1686 pages
File Size : 42,8 Mb
Release : 2011-01-01
Category : Law
ISBN : 9781454805434
Regulation of Securities: SEC Answer Book, Fourth Edition is your complete guide to understanding and complying with the day-to-day requirements of the federal securities laws that affect all public companies. Using a question-and-answer format similar to that which the SEC has embraced, this valuable desk reference provides concise, understandable answers to the most frequently asked compliance questions, and ready access to key statutes, regulations, and court decisions. Designed for both beginners and seasoned professionals, the volume contains approximately 1,400 pages organized in 23 self-contained chapters. Each chapter covers the basics before moving into the nuanced details, meeting the needs of those who seek a general understanding of a topic as well as those grappling directly with critical issues. Twice-yearly supplements keep the book current in this rapidly evolving field. Whether you are a lawyer, accountant, corporate executive, director or investor, youand’ll be able to quickly find concise answers to essential questions about the Dodd-Frank Act, Exchange Act registration and reporting, executive compensation disclosure, derivatives disclosure, managementand’s discussion and analysis, audit committee responsibilities, Sarbanes-Oxley, electronic filing, interactive financial data, tender offers, proxy solicitations, insider trading, going private transactions, shareholdersand’ rights, SEC investigations, criminal enforcement, securities class actions, and much more!
Author : Gary M. Brown
Publisher : Unknown
Page : 0 pages
File Size : 50,8 Mb
Release : 2013-01-16
Category : Going public (Securities)
ISBN : 1402418965
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 : Dennis Campbell,Robert Solomon
Publisher : BRILL
Page : 296 pages
File Size : 42,8 Mb
Release : 2021-09-13
Category : Law
ISBN : 9789004479531
With this valuable text securities lawyers from the world's major trading nations offer valuable insights into the workings and legal underpinnings of global securities markets. They examine listing requirements for various stock exchanges and markets, the globalization of mutual funds, the impact of offshore funds, Internet and public offerings, planning and distribution of private securities, requirements for public offerings, disclosure and compliance requirements across international markets, and a great deal more. Published under the Transnational Publishers imprint.
Author : David M. Stuart
Publisher : Unknown
Page : 800 pages
File Size : 50,8 Mb
Release : 2017-08-07
Category : Law
ISBN : 1402428510
This title provides essential insight into the practices and procedures of the SEC. and provides sophisticated insight on the complex and extensive body of federal securities laws.
Author : Marc I. Steinberg
Publisher : Law Journal Press
Page : 1220 pages
File Size : 47,5 Mb
Release : 1984
Category : Business & Economics
ISBN : 1588520218
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 : Sean D Sadler
Publisher : CCH Canadian Limited
Page : 3411 pages
File Size : 51,9 Mb
Release : 2006
Category : Securities
ISBN : 1553675983