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Author : John Buretta,David M. Stuart,Lindsay J. Timlin
Publisher : Unknown
Page : 206 pages
File Size : 40,8 Mb
Release : 2020
Category : Securities
ISBN : 1838625976
Author : James M. Bartos,Jim Bartos
Publisher : Kluwer Law International B.V.
Page : 326 pages
File Size : 53,5 Mb
Release : 2006-01-01
Category : Law
ISBN : 9789041123626
Capital raising, mergers and acquisitions and securities trading around the world often involve some connection with the United States and implicate the US securities laws. United States Securities Law: A Practical Guide ,offers a concise overview of US securities laws from the perspective of a non-US participant. It is written not only for lawyers but for managers, bankers and others with an interest in the topic. This new edition has been significantly updated and expanded, including for the SEC's recent offering reforms and corporate governance developments. Praise for the Second Edition: This book has been a valuable resource in effectively counselling my company in the intricacies of SEC regulation. Jim, with his many years of counselling foreign issuers out of his firms London office, writes with a perspective that is particularly relevant to the needs of foreign companies listed on US exchanges. George Miller, Executive Vice President and General Counsel, Novartis Corporation. A well written and useful primer for those looking for quick, practical answers to real life questions or who wish to understand better the background and rationale to US securities law and regulation. Leland Goss, Managing Director, Credit Suisse. This book really is a practical guide to the US securities laws. It does a great job of explaining the rules and regulations in a way that can be understood by readers that are not themselves US securities lawyers. Peter Castellon, Director andamp; Counsel, Citigroup Corporate andamp; Investment Banking.
Author : Marcus Best,Jean-Luc Soulier
Publisher : Unknown
Page : 0 pages
File Size : 47,5 Mb
Release : 2015
Category : Effectenhandel
ISBN : 9041154426
Numerous changes, large and small, in securities laws and regulations in many jurisdictions necessitate periodic new editions of this unique and much-relied-upon source of information for global investors. In this fourth edition, the goal is again to provide a comprehensive, reliable and up-to-date guide to the relevant issues encountered in the issue and offering of cross-border securities in the most significant financial markets. Since its first edition, the ‘International Securities Law Handbook’ has answered the need for a user-friendly source of information covering the most significant jurisdictions. Now fully updated and with first-time contributions from Chile, Colombia, Italy, Poland, Russia and Thailand, this invaluable reference presents the key elements of securities law and regulations in 39 jurisdictions. Country chapters, each written by a local expert in securities law, appear alphabetically. Each jurisdiction is presented in a consistent format, covering the topics most relevant to overseas investors and their advisers, so that information on specific issues can be easily found and compared from country to country.
Author : Michael Müller
Publisher : GRIN Verlag
Page : 51 pages
File Size : 47,8 Mb
Release : 2011-10-05
Category : Law
ISBN : 9783656020943
Seminar paper from the year 2011 in the subject Law - Comparative Legal Systems, Comparative Law, The University of Texas at Austin, language: English, abstract: Money makes the world go round. If not a truism, at least it holds for financial markets. The amount of capital traded thereupon outreaches human imagination by far. At the same time, financial markets create specific dangers for their participants. These dangers are essentially predicated upon information asymmetries between companies as capital seekers and investors as capital providers. The traditional approach to eliminate these information asymmetries is by regulation rather than leaving the solution to the market mechanism . Thus, financial markets are regulated markets. The means of such regulation are usually twofold. First, capital seekers are imposed upon a duty to disclose material information. Secondly, if they do not sufficiently comply with this duty, sanctions are imposed. This, of course, poses the question of who can enforce these legal rules. The answer is twofold. Some rules create private causes of action enabling the impaired party to seek relief with the courts. Others provide for enforcement by an administrative agency. This, however, raises the question which agency is called to perform this task. Traditionally, the answer has been easy as financial markets used to be national markets. Consequently, pursuant to traditional concepts of sovereignty in international law, each country could and would determine the competent agency. Regulation was and still mainly is national. Meanwhile, globalization and the revolution in telecommunication technology have blurred the borderlines between originally separated financial markets. Financial markets are now becoming international markets. This reveals an incongruity. Although financial markets are international markets, they are nationally regulated. One might suggest implementing an international regulation to avoid this discrepancy and, indeed, such aspirations can be found to a certain extent. However, on a global stage a uniform regulatory system seems highly unrealistic. Thus, it still falls to national regulators to meet the challenges by the internationalization of financial markets. This paper intends to explore how the United States and Germany grapple with this issue by analyzing the ambit of international enforcement jurisdiction in securities law.
Author : Robert Charles Rosen,Gordon R. Walker,James D. Cox,Ian M. Ramsay
Publisher : Oxford University Press, USA
Page : 0 pages
File Size : 51,6 Mb
Release : 1996
Category : Securities
ISBN : 0379010178
This four-volume set focuses exclusively on the markets of the Pacific Rim. A perfect solution for practitioners and executives who need securities information for this area of the world, thispractical guide offers in-depth analysis and expansive commentary by experts in the field of securities law in Pacific Rim jurisdictions. Exact translations of all important regulations and laws areincluded, allowing all jurisdictions with difficult-to-source or impossible-to- find English translations to be covered fully.
Author : Marc I. Steinberg,Franklin Gevurtz,Eric C. Chaffee
Publisher : West Academic Publishing
Page : 0 pages
File Size : 49,8 Mb
Release : 2013
Category : Securities
ISBN : 0314278710
This book is part of the Global Issues Series. Each book in this series contains materials designed to facilitate the introduction of international, transnational and comparative law issues into basic law school courses. The goal of this series is to ensure that all law school graduates have sufficient familiarity with the growing impact of non-domestic sources of law, and the growing potential for transnational legal transactions and disputes, to function in an era of increasing globalization. In addition, introduction of international, transnational and comparative law materials can enhance the students understanding of domestic law. The philosophy behind this series may be best summarized by Justice Stephen G. BreyerÆs statement that ôThis world we live in is a world where it is out of date to teach foreign law in a course called Foreign Law.ö Book jacket.
Author : James Bartos
Publisher : Springer
Page : 296 pages
File Size : 51,5 Mb
Release : 2002-10-11
Category : Business & Economics
ISBN : STANFORD:36105060303810
In an increasingly global world, capital raising, securities trading and mergers and acquisitions often involve some connection with the United States and implicate the U.S. securities laws. United States Securities Law: A Practical Guide, offers a concise overview of the law and practice of issuing securities, listings, takeovers and the securities markets in the United States from the perspective of a non-U.S. participant. Originally published in 1992, this new edition has been significantly expanded and updated. The book is intended primarily for managers, financial intermediaries, lawyers and others seeking an overview of the topic. It offers a combination of practical insight and precise analysis.
Author : David M. Stuart
Publisher : Unknown
Page : 128 pages
File Size : 42,8 Mb
Release : 2020
Category : Corporate governance
ISBN : 1402436068
Author : David M. Stuart
Publisher : Unknown
Page : 0 pages
File Size : 54,6 Mb
Release : 2015-08-07
Category : Corporation law
ISBN : 140242471X
SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
Author : James M. Bartos
Publisher : Unknown
Page : 324 pages
File Size : 47,6 Mb
Release : 2006
Category : Electronic
ISBN : 9041131108
Capital raising, mergers and acquisitions and securities trading around the world often involve some connection with the United States and implicate the US securities laws. United States Securities Law: A Practical Guide, offers a concise overview of US.
Author : United States. Securities and Exchange Commission. Division of Enforcement
Publisher : Unknown
Page : 144 pages
File Size : 43,7 Mb
Release : 2008
Category : Corporation law
ISBN : STANFORD:36105063760578
Author : Anonim
Publisher : Aspen Law & Business Publishers
Page : 254 pages
File Size : 46,9 Mb
Release : 2002
Category : Business & Economics
ISBN : STANFORD:36105063201763
Author : David L. Johnston,Kathleen Doyle Rockwell,Cristie Ford,LEXIS-NEXIS (Firme)
Publisher : Unknown
Page : 128 pages
File Size : 55,7 Mb
Release : 2014
Category : Corporations
ISBN : 0433461225
Author : Alan R. Palmiter
Publisher : Unknown
Page : 564 pages
File Size : 42,9 Mb
Release : 2005
Category : Securities
ISBN : STANFORD:36105064207009
Students depend on Securities Regulation: Examples & Explanations because it gives them what they need: - coverage of key concepts, such as public offerings, exemptions from registration, liability in securities offerings, materiality, definition of security, securities fraud, insider trading, SEC enforcement, and cross-border regulation - Examples and Explanations approach that reinforces learning by combining textual material with well-written examples, questions, and explanations - assistance in navigating a complex subject, beginning with clear delineations of the basic concepts of securities regulation and then applying the concepts in specific areas - numerous examples drawn from newsworthy events - content corresponds to the topics in the leading casebooks - sound and logical organization moves from major themes to specifics - clear and straightforward writing style The Third Edition keeps pace with developments in the law: - Sarbanes-Oxley Act with comprehensive overview and developments, including new problems - new SEC rules on expanded risk disclosure, company certifications, and lawyer up the ladder reporting - new material on IPO abuses: spinning, flipping, gun-jumping - new NYSE and NASDAQ rules on corporate governance listing standards and stock analysts - new and updated cases - new and revised examples
Author : Louis Loss
Publisher : Aspen Publishers
Page : 820 pages
File Size : 51,8 Mb
Release : 2009
Category : Business & Economics
ISBN : STANFORD:36105064149326
"The universally acknowledged work Securities Regulation is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes plus thousands of cases, SEC administrative decisions and letters definitively clarifies such questions as: When does a note fall within the definition of a "security" How have the courts altered the express civil liability provisions of the federal securities laws? Can the SEC impose additional ten-day suspensions on trading without notice? Does scienter include reckless as well as intentional conduct? And countless others, so that you're almost sure to find coverage of the "small point" on which your case may turn."--Publisher's website.