Principles and Practice of Securities Regulations in Singapore
Author: Hans Tjio
Publisher:
Published: 2017
Total Pages: 703
ISBN-13: 9789814770446
DOWNLOAD EBOOK →Lanterna Rally
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Principles of Securities Regulation
Author: Thomas Lee Hazen
Publisher: West Academic Publishing
Published: 2009
Total Pages: 0
ISBN-13: 9780314187994
DOWNLOAD EBOOK →Hazen's Principles of Securities Regulation provides authoritative coverage of the most recent developments in securities regulation in an accessible format. Topics include: The registration process Exemptions Corporate recapitalizations, reorganizations, and mergers Market manipulation Liabilities Securities Exchange Act of 1934 Jurisdictional aspects Broker-dealer regulation and the new Financial Industry Regulatory Authority Regulation of investment companies
The Law of Securities Regulation
Author: Thomas Lee Hazen
Publisher: West Group Publishing
Published: 2002
Total Pages: 1194
ISBN-13:
DOWNLOAD EBOOK →"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.
Securities Regulation 2008
Author: Larry D. Soderquist
Publisher: Foundation Press
Published: 2008-07
Total Pages: 0
ISBN-13: 9781599415192
DOWNLOAD EBOOK →This is the 2008 Supplement updating the 6th Edition of Soderquist and Gabaldon's Securities Regulation casebook.
Securities Regulation
Author: Alan R. Palmiter
Publisher:
Published: 2005
Total Pages: 564
ISBN-13:
DOWNLOAD EBOOK →Students 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 offerings, materiality, definition of security, securities fraud, insider trading, SEC enforcement, and cross-border regulation - Examples and Explanations approach that reinforces learning by combining textual material with well-written examples, questions, and explanations - assistance in navigating a complex subject, beginning with clear delineations of the basic concepts of securities regulation and then applying the concepts in specific areas - numerous examples drawn from newsworthy events - content corresponds to the topics in the leading casebooks - sound and logical organization moves from major themes to specifics - clear and straightforward writing style The Third Edition keeps pace with developments in the law: - Sarbanes-Oxley Act with comprehensive overview and developments, including new problems - new SEC rules on expanded risk disclosure, company certifications, and lawyer up the ladder reporting - new material on IPO abuses: spinning, flipping, gun-jumping - new NYSE and NASDAQ rules on corporate governance listing standards and stock analysts - new and updated cases - new and revised examples
Principles of Financial Regulation
Author: John Armour
Publisher: Oxford University Press
Published: 2016
Total Pages: 698
ISBN-13: 0198786476
DOWNLOAD EBOOK →The financial crisis of 2007-9 revealed serious failings in the regulation of financial institutions and markets, and prompted a fundamental reconsideration of the design of financial regulation. As the financial system has become ever-more complex and interconnected, the pace of evolution continues to accelerate. It is now clear that regulation must focus on the financial system as a whole, but this poses significant challenges for regulators. Principles of Financial Regulation describes how to address those challenges. Examining the subject from a holistic and multidisciplinary perspective, Principles of Financial Regulation considers the underlying policies and the objectives of regulation by drawing on economics, finance, and law methodologies. The volume examines regulation in a purposive and dynamic way by framing the book in terms of what the financial system does, rather than what financial regulation is. By analysing specific regulatory measures, the book provides readers to the opportunity to assess regulatory choices on specific policy issues and encourages critical reflection on the design of regulation.
SECURITIES REGULATION, CASES AND ANALYSIS.
Author: STEPHEN J.. PRITCHARD CHOI (A.C.)
Publisher:
Published: 2024
Total Pages: 0
ISBN-13: 9781636592718
DOWNLOAD EBOOK →Indonesia
Author: International Monetary Fund
Publisher: International Monetary Fund
Published: 2012-07-18
Total Pages: 69
ISBN-13: 1475504950
DOWNLOAD EBOOK →This paper discusses implementation of the International Organization of Securities Commissions (IOSCO) objectives and principles of securities regulation in Indonesia. The Capital Markets and Financial Institutions Supervisory Agency (BAPEPAM-LK) has taken impressive steps to increase the transparency of regulation and to institute a comprehensive operational program that meets international norms and Indonesia’s understanding of best practices. This paper reveals that the regulatory framework, regulatory powers, and requirements pertaining to the securities regulator are highly transparent. The roles of the regulators and supervisors are also clearly defined.
Rethinking Securities Law
Author: Marc I. Steinberg
Publisher: Oxford University Press
Published: 2021
Total Pages: 361
ISBN-13: 0197583148
DOWNLOAD EBOOK →"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. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--
Japan
Author: International Monetary Fund
Publisher: International Monetary Fund
Published: 2012-08-10
Total Pages: 107
ISBN-13: 1475506449
DOWNLOAD EBOOK →This report analyzes the functioning of the legal and regulatory framework for the securities market in Japan. The Financial Services Agency (FSA) enjoyed specific powers with respect to the various security laws and regulations laid down by the International Organization of Securities Commission (IOSCO). The FSA has been authorized to bring about certain changes, to implement new principles, and to develop new frameworks to ensure and strengthen the smooth functioning of supervision and investigation. It is also necessary to identify and assess risks to determine FSA intervention.
