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Securities Regulation

Securities Regulation Author Stephen Jung Choi
ISBN-10 9780735565517
Release 2008
Pages 381
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Securities Regulation: The Essentials is part of Aspen's new Essentials Series, which takes a "forest rather than the trees" approach to teaching. This concise paperback concentrates on the fundamentals of Securities Regulation and uses a relaxed, personal style to explain them. Suitable for use with any casebook, this text will help students recognize and understand common themes and will precipitate understanding of the topics under discussion. Written by Stephen J. Choi and A.C. Pritchard, two well-regarded young securities regulation scholars in the country today, this outstanding resource: Begins with an introduction to the role of information in the decision making processes of investors, then takes up various topics in securities regulation using the framework developed in the first part of the text Examines the underlying business problems facing issuers and investors in securities regulation Takes a problem-and-solution approach that allows the professor to ask whether the solution currently provided by the law is the best solution and what alternatives should be considered Students will find the nuts-and-bolts approach of Securities Regulation: The Essentials reassuring and illuminating. Require or recommend this straightforward text for use alongside your casebook and watch student comprehension soar.



Securities regulation in a nutshell

Securities regulation in a nutshell Author David L. Ratner
ISBN-10 STANFORD:36105044610900
Release 1982
Pages 322
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Securities regulation in a nutshell has been writing in one form or another for most of life. You can find so many inspiration from Securities regulation in a nutshell also informative, and entertaining. Click DOWNLOAD or Read Online button to get full Securities regulation in a nutshell book for free.



Examples Explanations for Securities Regulation

Examples   Explanations for Securities Regulation Author Alan R. Palmiter
ISBN-10 9781454888673
Release 2017-04-28
Pages 656
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A favorite classroom prep tool of successful students that is often recommended by professors, the Examples & Explanations (E&E) series provides an alternative perspective to help you understand your casebook and in-class lectures. Each E&E offers hypothetical questions complemented by detailed explanations that allow you to test your knowledge of the topics in your courses and compare your own analysis. Here’s why you need an E&E to help you study throughout the semester: Clear explanations of each class topic, in a conversational, funny style. Features hypotheticals similar to those presented in class, with corresponding analysis so you can use them during the semester to test your understanding, and again at exam time to help you review. It offers coverage that works with ALL the major casebooks, and suits any class on a given topic. The Examples & Explanations series has been ranked the most popular study aid among law students because it is equally as helpful from the first day of class through the final exam.



Understanding Securities Law

Understanding Securities Law Author Marc I. Steinberg
ISBN-10 9780769891248
Release 2014-04-09
Pages
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This Understanding treatise follows a logical sequence of analysis of a securities issue. The author begins by defining a "security" and registration exemptions, and then continues through the process for non-exempt transactions. Understanding Securities Law clearly, thoroughly, and concisely addresses the subjects covered in basic Securities Regulation courses, including: • The definition of securities exemptions from registration; • the registration framework and process; • Sarbanes-Oxley Act; • SEC Securities Act Offering Rules; • Resales and reorganizations; • Due diligence; • Liabilities and remedies; • Affirmative disclosure duties; • Insider trading; • SEC enforcement; and • Professional responsibility. The author also includes a glossary of key terms, statutes, rules, regulations and forms and schedules, and comparative charts synopsizing previously discussed materials. The text covers the regulation of public and privately held companies under the Securities Acts, SEC "fraud" concepts, civil liabilities under the securities laws, and state "Blue Sky" laws. It also discusses the Sarbanes-Oxley legislation, SEC public offering rules, SEC regulations on the resale of securities, and recent federal Supreme Court and appellate court decisions. The eBook version of this title feature links to Lexis Advance for further legal research options.



Securities Regulation in a Nutshell

Securities Regulation in a Nutshell Author David L. Ratner
ISBN-10 031415518X
Release 2005-01-01
Pages 346
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Acquire an understanding of the basic content and organization of federal and state securities law. Authoritative summary covers the essential background and current status of each major area, while keeping details and citations to a minimum. Discusses the regulations governing public offerings, public companies, securities businesses, and investment companies. Also explores sanctions, civil liabilities, and extraterritorial application.



Securities Regulation

Securities Regulation Author James D. Cox
ISBN-10 9781454885665
Release 2016-11-08
Pages 1200
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The national reputation of the authors, their balance of practice and doctrine, and a highly teachable structure have all made Securities Regulation: Cases and Materials the best-selling text in the field. Applauded for excellent coverage of the 1934 and 1935 Acts, the text remains sophisticated yet not intimidating. Modular chapters adapt to a variety of teaching styles, giving the instructor flexibility in course design. Well-written, interesting problems expose students to theory as well as the practical issues that impact investors. New to the Eighth Edition: The casebook fully integrates all the newly adopted exemptions such as Regulation A, Crowdfunding, and the newly enacted resale exemption Section 4(a)(7) along with problems developed to illustrate their operation Complete reworking of exemption chapter, including new material and problems on Regulation A+, Crowdfunding, and relaxation of solicitation restrictions for certain Rule 506 offerings Examines market developments such as Unicorns and the disappearance of listings in the U.S. and abroad Changes in underwriting processes with emphasis given to role of research reports in promoting public offerings Compete treatment of the Supreme Court’s 2014 Halliburton decision, and the post-Halliburton developments on proving price distortion and pleading loss causation Thorough treatment of the Supreme Court’s Omnicare decision on liability for statements of opinion Materials and problems on proxy regulation, particularly in the aftermath of the Walmart case under Rule 14a-8 Materials on insider trading tipper-tippee liability in the aftermath of Newman and Salman Contemporary problems facing hedge funds, investment advisers and mutual funds New material on post-Morrision developments affecting extraterritorial application of securities laws New material and problems on real estate as securities including the Ninth Circuit's Salameh decision



Essential Strategies for Financial Services Compliance

Essential Strategies for Financial Services Compliance Author Annie Mills
ISBN-10 9781118906194
Release 2015-10-08
Pages 400
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A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.



Essentials of the Dodd Frank Act

Essentials of the Dodd Frank Act Author Sanjay Anand
ISBN-10 9781118028339
Release 2011-02-01
Pages 185
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An executive overview of the new Financial Regulations Act This book provides an executive summary of the newly passed Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act. One of the first books to provide an executive summary from a compliance perspective Presents responsibilities of senior level executives regarding this new Act Reveals what has changed within the regulatory environment Provides tips and techniques throughout Describing the government regulation of securities, securities markets, and securities transactions in the United States, this timely book succinctly defines, describes, and explains domestic securities regulation for compliance officers, accountants, and broker-dealers.



Essential Concepts of Business for Lawyers

Essential Concepts of Business for Lawyers Author Robert J. Rhee
ISBN-10 1454870435
Release 2016
Pages 480
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Revised editon of the author's Essential concepts of business for lawyers, 2012.



Fundamentals of Securities Regulation

Fundamentals of Securities Regulation Author
ISBN-10 9780735541993
Release
Pages
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Fundamentals of Securities Regulation has been writing in one form or another for most of life. You can find so many inspiration from Fundamentals of Securities Regulation also informative, and entertaining. Click DOWNLOAD or Read Online button to get full Fundamentals of Securities Regulation book for free.



Business Essentials for Strategic Communicators

Business Essentials for Strategic Communicators Author M. Ragas
ISBN-10 9781137385338
Release 2014-12-17
Pages 211
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The rise of digital media and the public's demand for transparency has elevated the importance of communication for every business. To have a voice or seat at the table and maximize their full value, a strategic communicator must be able to speak the language and understand business goals, issues, and trends. The challenge is that many communicators don't hold an MBA and didn't study business in college. Business Essentials for Strategic Communicators provides communication professionals and students with the essential 'Business 101' knowledge they need to navigate the business world with the best of them. Readers will learn the essentials of financial statements and terminology, the stock market, public companies, and more--all with an eye on how this knowledge helps them do their jobs better as communication professionals.



Personal Financial Planning

Personal Financial Planning Author AICPA
ISBN-10 9781945498237
Release 2017-04-03
Pages 456
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This book takes a comprehensive and integrated approach to personal financial planning for accounting students, allowing them to view the personal financial planning profession through the lens of a CPA – with integrity and objectivity. It is part of a turnkey curriculum that centers on a single graduate-level course systematically introducing the essentials of all the major topics of personal financial planning (estate, retirement, investments, insurance, and tax), showing their interconnectivity and professional opportunities. Students will be able to apply the knowledge and skills gained from this course to have an immediate and long-term positive impact for themselves and for the clients they will serve.



Sustainability

Sustainability Author Scott T. Young
ISBN-10 9781412982849
Release 2012-12-05
Pages 416
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Sustainability: Essentials for Business is the first survey text of its kind to offer a comprehensive treatment of the relationship between business and sustainability. The book begins with a macro perspective of the renewable resources such as air, water, forests, energy, etc. This discussion provides a starting point for the students unfamiliar with this sphere, so that the later chapters on environmental challenges can be framed within an appropriate context. The book then segues into the micro issues by shifting toward stakeholder interests and choices. Here, the chapters explore the various stakeholders involved - from organizations to consumers to non-governmental organizations, etc. The third section of the book aims to present business solutions designed to address and promote sustainability. This section will also discuss transparent and voluntary reporting along with the standards. The last section of the book concludes with ideas and questions about moving towards a sustainable future.



Securities Regulation Statutory Supplement

Securities Regulation Statutory Supplement Author Stephen Choi
ISBN-10 163460685X
Release 2016-07-29
Pages 764
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This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act.



Securities Regulation

Securities Regulation Author Marc I. Steinberg
ISBN-10 1588520218
Release 2017-12-28
Pages 900
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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.



Essentials of Business Ethics

Essentials of Business Ethics Author Denis Collins
ISBN-10 0470486236
Release 2009-04-08
Pages 208
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The essential guide to creating an organization ofhigh integrity and superior performance With the high-profile corporate scandals that have taken place in recent years, corporate ethics are more important to a business than ever before. The failure of ethical leadership in an organization is very destructive-it demoralizes the workforce, breeds public distrust, and ultimately results in organizational decay. Based on more than two decades of consulting, teaching, and research, Denis Collins's Essentials of Business Ethics is designed with appreciation for your demanding professional obligations, with easy-to-find, at-your-fingertips information. Its nuts-and-bolts presentation provides you with practical "how-to" examples and best practices on every area of managing ethics inside your organization in a handy, concise format. This brief yet powerful guide presents executives and leaders with timely discussion on: Human nature and unethical behavior in organizations Determining the ethics of job candidates The differences between a Code of Ethics and a Code of Conduct The best practices for managing diversity Using Management-by-Objectives to establish work goals that encourage ethical behavior Performance appraisals that reward ethical behaviors Aligning community outreach with the company's mission and assets Handling the environmental change process How to manage three internal communication mechanisms for employees to report potentially unethical or illegal behaviors: an Ethics & Compliance Office, Ombudsman, and Ethics Hotlines Providing a five-step ethics job-screen process and an ethical decision-making framework, as well as guidelines for conducting a variety of business ethics workshops, Essentials of Business Ethics is the only guide you will need containing all the relevant facts on business ethics, all in one place.



Securities Regulation Statutory Supplement

Securities Regulation Statutory Supplement Author Stephen Choi
ISBN-10 1683286375
Release 2017-07-12
Pages 766
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Receive complimentary lifetime digital access to the eBook with new print purchase. This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act.