This primer provides a guide to the current version of Article 8 of the Uniform Commercial Code, which governs the ownership and transfer of securities and, to a limited extent, other financial assets. This book also discusses the portions of Article 9 that relate to security interests in these assets. Article 8 is concerned with the settlement of transactions in securities and with certain aspects of the relationships between issuers and investors, intermediaries and those for whom securities accounts are maintained, and sellers or pledgers and their purchasers. A re-release of The ABCs of the UCC Article 8 that first published in 2004.
Managing Securities Fraud Claims: Leading Lawyers on Case Assessment, Enforcement Trends, and Best Practices for an Evolving Regulatory Environment
... Business Stanford University Marc and Eva Stern Professor of Law and Business Columbia University James E. Krier Earl Warren Delano Professor of Law University of Michigan Richard K. Neumann , Jr. Professor of Law Hofstra University ...
1981 ) , cert . denied , — U.S. — , 103 S. Ct . 65 , 74 L. Ed.2d 66 ( 1982 ) . As the district court and all parties seem to ... ( Gartenberg Br . 15 , 23 , 24 ; Merrill Lynch Br . 27 ; Judge Pollack's opinion , 528 F. Supp . at 1047. ) ...
The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment ...
本书共分十一章,主要内容有:中国证券市场的产生及发展阶段;中国证券市场的战略定位;中国证券市场的运作体制;中国证券市场的构成要素;中国证券市场的证券商 ...
证券投资学
仅仅在10天的时间里,全世界损失了上千亿美元;政治和经济格局也为之改变;个人生活和国家的命运被重新界定。到底是谁在掌握着世界市场,本书对此进行了揭示。
Larry D. Soderquist, Stephen Choi, A. C. Pritchard, Theresa A. Gabaldon ... School totept modes and get their especs before the issuer commits to the ffe ering A.C. PRITCHARD Professor of Law University of Michigan Law School Public u .
Implementing the New NYSE/NASDAQ Listing Standards
" ... discusses the tax rules governing a stock sale where: (1) a person sells stock of a parent corporation to its subsidiary (a "parent-subsidiary" stock purchase), and (2) a person controls each of two corporations and sells stock of one ...