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This book includes the most recent developments in securities
regulation in an accessible format. Authoritative coverage includes
the definition of "security," registration and disclosure
obligations under the Securities Act of 1933, exemptions from
registration, reporting obligations under the Securities Exchange
Act of 1934, the proxy rules, tender offer regulation, and civil
liabilities. The book treats broker-dealer regulation, market
regulation, and the administrative role of the SEC, as well as
proxy rules, insider trading, and provides overviews of the
Investment Company Act and the Investment Advisers Act. This 5th
edition updates the 4th edition to include recent SEC rulemaking
including important amendments to exemptions from registration, new
broker-dealer obligations, as well as recent Supreme Court and many
other case law developments.
New book purchase includes complimentary digital access to the
eBook. 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 2022.
New book purchase includes complimentary digital access to the
eBook. 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 2021.
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, the Dodd-Frank
Act as well as the JOBS Act, including the crowdfunding and
expanded Regulation A exemptions.
CasebookPlus Hardbound - New, hardbound print book includes
lifetime digital access to an eBook, with the ability to highlight
and take notes, and 12-month access to a digital Learning Library
that includes self-assessment quizzes tied to this book, leading
study aids, an outline starter, and Gilbert Law Dictionary.
This supplement is designed for a basic business organizations
course focusing on corporations, limited liability companies, and
partnerships. Statutes include up-to-date versions of the Model
Business Corporation Act (along with the official comments) as well
as the Uniform Partnership and Limited Partnership acts. The
supplement also contains the Delaware Corporation Law and
Delaware's Limited Liability Company Act. Selections from the
federal securities laws that are typically covered in the basic
business organizations course are also included. The supplement
also contains some sample corporate documents, including a
certificate of incorporation, bylaws, and minutes. These documents
give the students hands-on exposure to documents talked about in
class. Even with these sample documents and expanded coverage of
the Model Business Corporation Act, the supplement retains a
manageable size.
This Hornbook is a comprehensive secondary source for the study of
Securities Regulation. It also can serve as a lawyer's desk book.
Coverage includes definition of "security," registration and
disclosure obligations under the Securities Act of 1933, exemptions
from registration, reporting obligations under the Securities
Exchange Act of 1934, the proxy rules, tender offer regulation, and
civil liabilities. The book treats broker-dealer regulation, market
regulation, and the administrative role of the SEC, as well as
proxy rules, insider trading, the Investment Company Act and the
Investment Advisers Act. This new edition reflects recent SEC
rulemaking, including important amendments to exemptions from
registration, new broker-dealer obligations, as well as recent
Supreme Court and many other case law developments.
This title is designed to provide an introduction and overview of
broker-dealer regulation in the securities markets. It covers
broker-dealer front office and back office issues as well as market
regulation generally. It gives you an understanding of basic
concepts and the underlying regulatory scheme, providing an
explanation of broker-dealer regulation generally, sales practices,
analysts' conflicts of interest, civil liabilities, and
arbitration. This title also provides an overview of industry
self-regulation under FINRA (the Financial Industry Regulatory
Authority).
The Tenth Edition covers recent developments in the courts and SEC
rulemaking, including 1933 Act registration and broker-dealer
regulation developments. In addition to the leading cases and SEC
developments, the book has been significantly revised for
accessibility, and includes explanatory material to guide the
student through this complex maze of regulation. There are problems
interspersed throughout the book for teachers using the problem
method. The Tenth Edition enables instructors to easily omit or
rearrange material.
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