[PDF] Understanding Securities Law eBook

Author : Marc I. Steinberg
Publisher : Oxford University Press
Page : 361 pages
File Size : 44,63 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"--

Author : Nicholas L. Georgakopoulos
Publisher : Cambridge University Press
Page : 215 pages
File Size : 29,39 MB
Release : 2017-05-04
Category : Law
ISBN : 1108146171

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This book opens with a simple introduction to financial markets, attempting to understand the action and the players of Wall Street by comparing them to the action and the players of main street. Firstly, it explores the definition of a security by its function, the departure from the buyer beware environment of corporate law and the entrance into the seller disclose environment of securities law. Secondly, it shows that the cost of disclosure rules is justified by their capacity to combat irrationalities, fads, and panics. The third section explains how the structure of class actions is designed to improve deterrence. Next it explores the economic harm from insider trading and how the law fights it. In sum, the book shows how all these parts of securities law serve the virtuous cycle from liquidity to accurate prices and more trading and how the great recession showed that our securities regulation reacted mostly adequately to the crisis.

Author : Marc I. Steinberg
Publisher : Law Journal Press
Page : 1220 pages
File Size : 43,71 MB
Release : 1984
Category : Business & Economics
ISBN : 9781588520210

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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 : Thomas Lee Hazen
Publisher : West Group Publishing
Page : 1194 pages
File Size : 31,15 MB
Release : 2002
Category : Business & Economics
ISBN :

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"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.

Author : Alan R. Palmiter
Publisher :
Page : 564 pages
File Size : 37,68 MB
Release : 2005
Category : Business & Economics
ISBN :

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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 : James D. Cox
Publisher :
Page : 194 pages
File Size : 28,21 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.