Securities Regulation In A Nutshell

Author: Thomas Hazen
Publisher: West Academic
ISBN: 9781683283195
Size: 20.21 MB
Format: PDF, ePub
View: 54

This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.

Investment Adviser Regulation In A Nutshell

Author: Jeffrey Haas
Publisher: West Academic
ISBN: 9781634599887
Size: 11.73 MB
Format: PDF
View: 75

Investment Adviser Regulation in a Nutshell is designed for persons interested in learning the fundamentals of regulation set forth primarily in the Investment Advisers Act of 1940 and the Securities and Exchange Commission rules and regulations. In particular, this book is targeted toward investment advisers and their chief compliance officers. However, those associated with mutual funds, hedge funds, private equity funds, and collateralized debt obligation funds will find it useful as well.

Corporate Finance In A Nutshell

Author: Jeffrey Haas
Publisher: West Academic
ISBN: 9781634598668
Size: 12.51 MB
Format: PDF, Docs
View: 61

This up-to-date and comprehensive title covers the entire field of corporate finance, including the recent changes stemming from the Dodd-Frank Act. In addition to discussing accounting and valuation concepts, it provides extensive coverage of the legal and financial underpinnings of debt securities, preferred and common stock, and derivative instruments (options, forward contracts, futures contracts and swap contracts). It also provides sample valuation problems, answers, and explanations. Written in “plain-English,” you will find the work particularly useful, with or without any business background.

Banking And Financial Institutions Law In A Nutshell 8th

Author: William Lovett
Publisher: West Academic
ISBN: 9781634591089
Size: 10.25 MB
Format: PDF, ePub
View: 44

Authoritative coverage provides a foundation for understanding recent developments in banking and financial institutions. This Nutshell title covers subjects such as increased competition, deregulation, bank and thrift failures, large-scale bailout, and restructuring efforts. Unresolved challenges include budget stimulus, deficits, and renewed supervision by regulators.

Principles Of Securities Regulation Revised

Author: Thomas Hazen
Publisher: West Academic
ISBN: 9781683288381
Size: 12.29 MB
Format: PDF, ePub, Mobi
View: 44

This title includes the most recent developments in securities regulation in an accessible format, including the JOBS Act. Authoritative coverage includes the registration process; exemptions; corporate recapitalizations, reorganizations, and mergers; market manipulation; liabilities; Securities Exchange Act of 1934; jurisdictional aspects; broker-dealer regulation and an overview of investment company regulation. This Revised 4th Edition updates the 4th Edition to include recent legal developments regarding insider trading and SEC administrative proceedings, as well as some editorial revisions.

Securities Litigation And Enforcement In A Nutshell

Author: Donna Nagy
Publisher: West Academic
ISBN: 9781634606288
Size: 11.34 MB
Format: PDF
View: 34

The new Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned more than a decade ago after the accounting and corporate governance scandals at Enron, WorldCom, and other large companies and then continued to expand with the 2008 financial crisis and subsequent legislation, including the Dodd-Frank Act of 2010 and the JOBS Act of 2012. The Nutshell examines private, SEC, and criminal enforcement of the federal securities laws, with an emphasis on the elements that establish securities fraud, and the doctrinal and practical issues that typically emerge in prosecuting or defending such claims. Because it focuses exclusively on securities litigation and enforcement, this Nutshell fills a gap in currently available materials and will be an essential resource not only for law students but also for attorneys (particularly those in large national law firms).