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Enforcement of Corporate and Securities Law

Author : Robin Hui Huang
Publisher : Cambridge University Press
Page : 553 pages
File Size : 15,12 MB
Release : 2017-09-28
Category : Law
ISBN : 1316738507

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This book assembles the world's most authoritative specialists for a comparative analysis of the enforcement of corporate and securities laws in thirteen national jurisdictions. It examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective.

The Law Of Corporate Securities As Decided In The Federal Courts

Author : Gasper Christopher Clemens
Publisher : Legare Street Press
Page : 0 pages
File Size : 17,82 MB
Release : 2023-07-18
Category :
ISBN : 9781020181399

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A comprehensive study of corporate securities law in the United States, 'The Law of Corporate Securities' examines landmark cases and legal principles that shape the regulation of financial markets and corporate governance. From the Securities Act of 1933 to recent Supreme Court decisions, this book offers essential insights for lawyers, investors, and policymakers alike. This work has been selected by scholars as being culturally important, and is part of the knowledge base of civilization as we know it. This work is in the "public domain in the United States of America, and possibly other nations. Within the United States, you may freely copy and distribute this work, as no entity (individual or corporate) has a copyright on the body of the work. Scholars believe, and we concur, that this work is important enough to be preserved, reproduced, and made generally available to the public. We appreciate your support of the preservation process, and thank you for being an important part of keeping this knowledge alive and relevant.

A History of Securities Law in the Supreme Court

Author : A. C. Pritchard
Publisher : Oxford University Press
Page : 385 pages
File Size : 42,44 MB
Release : 2023
Category : Securities
ISBN : 0197665918

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A History of Securities Law and the Supreme Court explores how the Supreme Court has made (and remade) securities law. It covers the history of the federal securities laws from their inception during the Great Depression, relying on the justices' conference notes, internal memoranda, and correspondence to shed light on how they came to their decisions and drafted their opinions. That history can be divided into five periods that parallel and illustrate key trends of the Court's jurisprudence more generally. The first saw the administration of Franklin Delano Roosevelt--aided by his filling eight seats on the Court-triumph in its efforts to enact the securities laws and establish their constitutional legitimacy. This brought an end to the Court's long-standing hostility to the regulation of business. The arrival of Roosevelt's justices, all committed to social control of finance, ushered in an era of deference to the SEC's expertise that lasted through the 1940s and 1950s. The 1960s brought an era of judicial activism-and further expansion--by the Warren Court, with purpose taking precedence over text in statutory interpretation. The arrival of Lewis F. Powell, Jr. in 1972 brought a sharp reversal. Powell's leadership of the Court in securities law produced a counter-revolution in the field and an end to the SEC's long winning streak at the Court. Powell's retirement in 1987 marked the beginning of the final period of this study. In the absence of ideological consensus or strong leadership, the Court's securities jurisprudence meandered, taking a random walk between expansive and restrictive decisions.

Rethinking Securities Law

Author : Marc I. Steinberg
Publisher : Oxford University Press
Page : 361 pages
File Size : 22,40 MB
Release : 2021
Category : Law
ISBN : 0197583148

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"This book focuses on a very timely and important subject that merit s comprehensive analysis: "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--

Securities Regulation

Author : James D. Cox
Publisher :
Page : 194 pages
File Size : 16,39 MB
Release : 2006
Category : Business & Economics
ISBN :

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Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more.

A History of Securities Law in the Supreme Court

Author : A.C. Pritchard
Publisher : Oxford University Press
Page : 385 pages
File Size : 41,76 MB
Release : 2023-03-07
Category : Law
ISBN : 0197665934

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A History of Securities Law and the Supreme Court explores how the Supreme Court has made (and remade) securities law. It covers the history of the federal securities laws from their inception during the Great Depression, relying on the justices' conference notes, internal memoranda, and correspondence to shed light on how they came to their decisions and drafted their opinions. That history can be divided into five periods that parallel and illustrate key trends of the Court's jurisprudence more generally. The first saw the administration of Franklin Delano Roosevelt--aided by his filling eight seats on the Court-triumph in its efforts to enact the securities laws and establish their constitutional legitimacy. This brought an end to the Court's long-standing hostility to the regulation of business. The arrival of Roosevelt's justices, all committed to social control of finance, ushered in an era of deference to the SEC's expertise that lasted through the 1940s and 1950s. The 1960s brought an era of judicial activism-and further expansion--by the Warren Court, with purpose taking precedence over text in statutory interpretation. The arrival of Lewis F. Powell, Jr. in 1972 brought a sharp reversal. Powell's leadership of the Court in securities law produced a counter-revolution in the field and an end to the SEC's long winning streak at the Court. Powell's retirement in 1987 marked the beginning of the final period of this study. In the absence of ideological consensus or strong leadership, the Court's securities jurisprudence meandered, taking a random walk between expansive and restrictive decisions.

Securities Regulation

Author : James D. Cox
Publisher :
Page : 1192 pages
File Size : 36,38 MB
Release : 2004
Category : Business & Economics
ISBN :

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Keeping pace with the many changes in the area, Securities Regulation: Cases and Materials, Fourth Edition, introduces a wealth of new material in the same highly flexible structure that earned its position as the bestseller in the field. the authors keep their book challenging yet teachable by: Mixing doctrine and professional judgments. Offering maximum flexibility for instructors through the use of modular chapters. Effective use of the problem method to expose students to both theory and practice issues. Writing in a readable, straightforward style that is sophisticated, but not intimidating. Offering an annual case supplement keyed To The book, which includes high-quality coverage of the 1933 and 1934 Acts, As well as, An introduction To The 1940's Acts. New material in the Fourth Edition responds to developments in the law and facilitates student understanding: New Chapter on Financial Reporting emphasizes the procedures and substantive standards added by Sabanes-Oxley and recent SEC actions and explores the critical role of auditors and 'generally accepted auditing standards' Exploration of the 'fairly presents' requirement that is now part of the executive certification requirements for reports filed with the SEC. Important discussion of the new Sarbanes-Oxley developments that were designed to enhance the integrity of the reporting system. Review of the extensive SEC rules adopted in the wake of Sarbanes-Oxley. Relocation of the chapter on Materiality To The middle of the book. Condensed introductory chapter that eliminates material on technology and globalization. New treatment of the burgeoning behavioral economics literature on investor heuristics in addressing risky and complex choices. Major new cases: In the matter of W.R. Grace & Co.., Caiola v. Citibank, N.A., Cendant Corporation Securities Litigation, Cedric Kushner Promotions, Ltd. V. King, Gallagher v. Abbott Laboratories, Inc., KPMG, LLP v. SEC, Razorfish, Inc. Securities Litigation, SEC v. ETS Payphones, Inc., SEC v. GLT Dain Rauscher, SEC v. Zandford.

Companies and Securities Law

Author : Paul Redmond
Publisher : Lawbook Company
Page : 882 pages
File Size : 45,94 MB
Release : 2008
Category : Corporation law
ISBN : 9780455225067

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COMPANIES AND SECURITIES LAW: COMMENTARY AND MATERIALS, 5th Edition is shaped by the belief that the study of the subject requires not only an understanding of technical statute and case law but also awareness of underpinning values, policies and theories, and of social and historical contexts. The corporation has become the principal vehicle for business operations and capital accumulation in most developed countries, and one of the primary subjects of superannuation fund investment. This corporate ascendancy raises distinctive social as well as legal issues. This edition continues the broad perspective of previous editions by combining substantial commentary with carefully selected material demonstrating the application of legal principles and the ideas and policies shaping legal regulation. Readers will gain an understanding of the practical operation of companies and securities law principles as well as of intellectual and policy foundations. This new edition incorporates recent legal developments, including the Simpler Regulatory System amendments and the substantial body of judicial decision and interpretation in key areas. The pace of change in corporate law matches that of the dynamic economy and society that it serves.