Securities Law 5th Concepts And Insights Series

Author: Larry Soderquist
Publisher: West Academic
ISBN: 1628102837
Size: 36.35 MB
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The world of securities law is new to most students, and parts of it are especially
new to those who have not taken a course in administrative law. In this chapter
we will explain how the securities laws came about, briefly introduce each of the
New Deal securities statutes, show where to find each type of “law” and
appreciate its place in the hierarchy of regulation, and discuss the special
position of securities lawyers with respect to professional responsibility. We also
will say a brief word ...

Securities Law

Author: Larry D. Soderquist
Publisher: Foundation Press
ISBN: 9781609304690
Size: 45.32 MB
Format: PDF, Mobi
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This concise text provides a basic introduction to securities law. One object of the book is to help struggling students get on track; another is to assist in review and exam preparation.

Inside Counsel Practices Strategies And Insights

Author: Marc Steinberg
Publisher: West Academic
ISBN: 1634593421
Size: 42.99 MB
Format: PDF, ePub, Docs
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“affiliate” of the company (e.g., being a “control” person of the company), then
limitations on the amount of securities that may be sold during any three-month
period will apply.23 260 These rules are rather complicated. In-house securities
lawyers certainly should know these mandates. ... The foregoing discussion
focuses on why non-securities inside lawyers should be aware of some basic key
securities law concepts. Knowledge of these basic principles (e.g., the meaning
of material ...

Insider Trading Law And Policy

Author: Stephen M. Bainbridge
Publisher: Foundation Press
ISBN: 9781609304300
Size: 61.82 MB
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This compact text is for use in law school classes on insider trading, securities regulation, or business associations.

Postgraduate Course In Federal Securities Law

Size: 53.56 MB
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On November 3, 1998, the Commission issued a release that proposed far-
reaching changes to the securities registration system and sought to address the
problems created by the "metaphysics." Release No. ... See this author's article "
The SEC Integration Proposals, " INSIGHTS, January, 1999 at p. 23. ...
SUMMARY OF BASIC CONCEPTS The following is a brief review of some of the
basic Securities Act concepts involved in the staffs analysis of public/private
integration issues.


Size: 36.24 MB
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Conversely, if the "offer" is treated as a private placement of the securities, New
Technology will be obligated to complete the transaction privately and Big Time
would receive restricted securities.6 New Technology, however, may encounter
integration issues that could potentially destroy its private placement exemption.
Historical and Statutory Background In order to understand the rationale behind
the staff's positions, it is important to review some basic securities laws concepts.

Securities Law Handbook

Author: Harold S. Bloomenthal
Size: 14.55 MB
Format: PDF
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10:11 Preemption of state registration of secondary trading Substantially all
states that register securities require registration of securities not previously
registered before the securities can be traded in the state. Although the states
have a variety of exemptions that may be applicable ... 10Keller, Securities
Registration: Basic Securities Act Concepts Revisited, 9 Insights 5 (May 1995);
The Corporate Counsel 6, at 9 (Sept.-Oct. 1994). 11Keller, Securities Registration
: Basic Securities Act ...

Corporate Law

Author: Stephen Bainbridge
Publisher: West Academic
ISBN: 1634600290
Size: 64.90 MB
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The text is highly readable: The style is simple, direct, and reader-friendly. Even when dealing with complicated economic or financial issues, the text seeks to make those issues readily accessible.

Current Developments In Federal Securities Law

Author: American Law Institute-American Bar Association Committee on Continuing Professional Education
Size: 34.99 MB
Format: PDF
View: 1891
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ALI-ABA course of study materials American Law Institute-American Bar
Association Committee on Continuing Professional Education. 3. Then SEC
Chairman Arthur Levitt, ... See this author's article "The SEC Integration
Proposals, " INSIGHTS, January, 1999 at p. 23. Because of the controversy ...
Summary of Basic Concepts The following is a brief review of some of the basic
Securities Act concepts involved in the staffs analysis of public/private integration
issues. A. Offer and Sale 1 .

Law And Corporate Finance

Author: Frank B. Cross
Publisher: Edward Elgar Publishing
ISBN: 9781847205346
Size: 16.40 MB
Format: PDF, ePub
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finance. Chapter 2 demonstrated how traditional economic analysis could justify
various forms of law and regulation, including securities regulation, as advancing
economic efficiency and capital market development. ... The purpose of this
chapter is to explore how these behavioral insights bolster the conclusions
derived in Chapter 2. ... The behavioral insights integrate well with the key
concepts of trust and transaction costs and their influence on efficient economic