Understanding Securities Law
- ISBN-10
- 0769891241
- ISBN-13
- 9780769891248
- Series
- Understanding Securities Law
- Category
- Law
- Language
- English
- Published
- 2014-04-09
- Publisher
- LexisNexis
- Author
- Marc I. Steinberg
Description
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.
Get the book
Other editions
Similar books
-
Understanding the Securities Laws
By Larry D. SoderquistUnderstanding the Securities Laws
-
Securities Law
By Theresa A. Gabaldon, Larry D. SoderquistFor Introduction to Programming (CS1) and other more intermediate courses covering programming in C++. Also appropriate as a supplement for upper-level courses where the instructor uses a book as a...
-
Rethinking Securities Law
By Marc I. Steinberg"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.
-
Securities Regulation: Liabilities and Remedies
By Marc I. SteinbergPaine Webber , Inc. , [ 1992 Transfer Binder ) CCH Fed . Sec . L. Rep . q 96,997 ( E.D. Pa . 1992 ) ; Wood & Locker , Inc. v . Doran and Associates , 708 F. Supp . 684 ( W.D. Pa . 1989 ) ; Hill v . Dyer , 521 F. Supp .
-
Understanding the Securities Laws
Understanding the Securities Laws
-
The Law of Securities Regulation
By Thomas Lee Hazen"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--Page ix.
-
Understanding Securities Law and Regulation in Zambia: Commentary and Legislation
By Kenneth K. Mwenda, Evance KalulaUnderstanding Securities Law and Regulation in Zambia: Commentary and Legislation
-
Examples & Explanations for Securities Regulation
By Alan R. PalmiterThus, so long as Irene and Irwin expect to make together more than $300,000 this year, they seem to fit under the dollar thresholds as of 2020. Under the current Reg D, the size of their investment is irrelevant. See Securities Act Rel.
-
Understanding the Securities Laws, 1997
Understanding the Securities Laws, 1997
-
Securities Regulation: Examples and Explanations
By Alan R. PalmiterStudents 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...