• Law

Securities Regulation


Author: Stephen Jung Choi,Adam C. Pritchard
Publisher: Aspen Publishers Online
ISBN: 0735565511
Category: Law
Page: 381
View: 3490
Securities Regulation: The Essentials is part of Aspen's new Essentials Series, which takes a "forest rather than the trees" approach to teaching. This concise paperback concentrates on the fundamentals of Securities Regulation and uses a relaxed, personal style to explain them. Suitable for use with any casebook, this text will help students recognize and understand common themes and will precipitate understanding of the topics under discussion. Written by Stephen J. Choi and A.C. Pritchard, two well-regarded young securities regulation scholars in the country today, this outstanding resource: Begins with an introduction to the role of information in the decision making processes of investors, then takes up various topics in securities regulation using the framework developed in the first part of the text Examines the underlying business problems facing issuers and investors in securities regulation Takes a problem-and-solution approach that allows the professor to ask whether the solution currently provided by the law is the best solution and what alternatives should be considered Students will find the nuts-and-bolts approach of Securities Regulation: The Essentials reassuring and illuminating. Require or recommend this straightforward text for use alongside your casebook and watch student comprehension soar.

Securities in a Nutshell


Author: Thomas Lee Hazen,David L. Ratner
Publisher: N.A
ISBN: 9780314172433
Category:
Page: 353
View: 7913

    • Law

Understanding Securities Law


Author: Marc I. Steinberg
Publisher: LexisNexis
ISBN: 0769891241
Category: Law
Page: N.A
View: 9520
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.

    • Law

Examples & Explanations for Securities Regulation


Author: Alan R. Palmiter
Publisher: Wolters Kluwer Law & Business
ISBN: 1454888679
Category: Law
Page: 656
View: 4197
A favorite classroom prep tool of successful students that is often recommended by professors, the Examples & Explanations (E&E) series provides an alternative perspective to help you understand your casebook and in-class lectures. Each E&E offers hypothetical questions complemented by detailed explanations that allow you to test your knowledge of the topics in your courses and compare your own analysis. Here’s why you need an E&E to help you study throughout the semester: Clear explanations of each class topic, in a conversational, funny style. Features hypotheticals similar to those presented in class, with corresponding analysis so you can use them during the semester to test your understanding, and again at exam time to help you review. It offers coverage that works with ALL the major casebooks, and suits any class on a given topic. The Examples & Explanations series has been ranked the most popular study aid among law students because it is equally as helpful from the first day of class through the final exam.

    • Law

The Logic of Securities Law


Author: Nicholas L. Georgakopoulos
Publisher: Cambridge University Press
ISBN: 1108146171
Category: Law
Page: N.A
View: 1625
This book opens with a simple introduction to financial markets, attempting to understand the action and the players of Wall Street by comparing them to the action and the players of main street. Firstly, it explores the definition of a security by its function, the departure from the buyer beware environment of corporate law and the entrance into the seller disclose environment of securities law. Secondly, it shows that the cost of disclosure rules is justified by their capacity to combat irrationalities, fads, and panics. The third section explains how the structure of class actions is designed to improve deterrence. Next it explores the economic harm from insider trading and how the law fights it. In sum, the book shows how all these parts of securities law serve the virtuous cycle from liquidity to accurate prices and more trading and how the great recession showed that our securities regulation reacted mostly adequately to the crisis.

    • Law

Securities Regulation

Cases and Materials, 2018 Supplement
Author: James D. Cox,Robert W. Hillman,Donald C. Langevoort
Publisher: Wolters Kluwer Law & Business
ISBN: 1543803113
Category: Law
Page: 158
View: 7703
Securities Regulation: Cases and Materials, Eighth Edition, 2018 Supplement

    • Business & Economics

The Essentials of Finance and Accounting for Nonfinancial Managers


Author: Edward Fields
Publisher: AMACOM
ISBN: 0814436951
Category: Business & Economics
Page: 336
View: 6134
Numbers don't lie-when you know how to read them. Frustrated by financial statements? Dread the budget process? The Essentials of Finance and Accounting for Nonfinancial Managers is here to help. This new edition of a business classic demystifies finance and accounting and gives managers the tools they need make better decisions. Packed with fresh insights and the latest information on accounting regulations, international accounting practices, and global business trends, the book reveals how to: * Understand the fundamentals of financial analysis, budgeting, and forecasting * Interpret balance sheets, income/cash flow statements, and annual reports * Sift through conflicting data to find the most relevant figures * Locate key information about competitors and suppliers * Analyze variances and calculate break-even points and other vital measures * And much more Expanded case studies and practice exercises reinforce the lessons and let you strengthen your skills. Imagine the impact when you grasp not only what the numbers mean-but how you can use that intelligence to drive your business forward.


    • Business & Economics

Essentials of Personal Financial Planning


Author: Susan M. Tillery,Thomas N. Tillery
Publisher: John Wiley & Sons
ISBN: 1119421209
Category: Business & Economics
Page: 456
View: 1692
ESSENTIALS OF PERSONAL FINANCIAL PLANNING Essentials of Personal Financial Planning was written to challenge the status quo by promoting personal financial planning (PFP) as a profession, not as a sales tool to gather assets under management or facilitate sales of insurance products. The book takes a comprehensive and integrated approach to PFP for accounting students, allowing them to view the profession through the lens of a CPA – with integrity and objectivity. This book systematically introduces the essentials of all the major PFP topics (estate, retirement, investments, insurance, and tax), as well as: The PFP process, concepts and regulatory environment. Professional responsibilities of a CPA personal financial planner and the requirements of the Statement on Standards in PFP Services. Time value of money concepts. The book then builds on these foundational concepts, showing their interconnectivity and professional opportunities, to provide a deeper understanding of PFP and its application. After reading this book, students will be able to apply the knowledge and skills gained from this course to have an immediate and long-term positive impact for themselves and for the clients they serve.

    • Business & Economics

Essential Concepts of Business for Lawyers


Author: Robert J. Rhee
Publisher: Aspen Coursebook
ISBN: 9781454870432
Category: Business & Economics
Page: 480
View: 6896
Revised editon of the author's Essential concepts of business for lawyers, 2012.

    • Business & Economics

The Essential Book of Corporate Governance


Author: G. N. Bajpai
Publisher: SAGE Publications India
ISBN: 9385985205
Category: Business & Economics
Page: 364
View: 4145
This book helps organizations to maximize wealth creation, build enduring relationships with stakeholders and be a net contributor to the economies of operated geographies. Based on extensive research, CXO interviews and case studies, the book assists companies to develop their own governance best practices.

    • Business & Economics

The Legal Environment of Business


Author: Roger E. Meiners,Al H. Ringleb,Frances L. Edwards
Publisher: Cengage Learning
ISBN: 133751604X
Category: Business & Economics
Page: 792
View: 9581
With THE LEGAL ENVIRONMENT OF BUSINESS, 13E readers can enjoy a practical introduction to the structure and function of the legal system from the perspective of the professional non-lawyer. While the authors note the system’s strong legal heritage, the book emphasizes the nuts and bolts of basic legal rules that most significantly impact business today. This popular book adapts a traditional case focus to address the unique needs of future and current business students. Clear, concise coverage of a wide range of timely topics introduces key points of law using business-specific examples and realistic scenarios. The authors’ readable style complements their extensive knowledge of domestic and international business to make this book a favorite among both professionals and learners new to the legal environment. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.

    • Computers

Business Essentials for Strategic Communicators

Creating Shared Value for the Organization and its Stakeholders
Author: M. Ragas,E. Culp
Publisher: Springer
ISBN: 1137385332
Category: Computers
Page: 211
View: 9500
The rise of digital media and the public's demand for transparency has elevated the importance of communication for every business. To have a voice or seat at the table and maximize their full value, a strategic communicator must be able to speak the language and understand business goals, issues, and trends. The challenge is that many communicators don't hold an MBA and didn't study business in college. Business Essentials for Strategic Communicators provides communication professionals and students with the essential 'Business 101' knowledge they need to navigate the business world with the best of them. Readers will learn the essentials of financial statements and terminology, the stock market, public companies, and more--all with an eye on how this knowledge helps them do their jobs better as communication professionals.

    • Law

Regulation of Securities: SEC Answer Book, 5th Edition


Author: Levy
Publisher: Wolters Kluwer Law & Business
ISBN: 1454880376
Category: Law
Page: 1396
View: 5190
Regulation of Securities: SEC Answer Book, Fifth Edition is your complete guide to understanding and complying with the day-to-day requirements of the federal securities laws that affect all public companies. Using a question-and-answer format similar to that which the SEC has embraced, this valuable desk reference provides concise, understandable answers to the most frequently asked compliance questions, and ready access to key statutes, regulations, and court decisions. Designed for both beginners and seasoned professionals, the volume contains approximately 1,400 pages organized in 23 self-contained chapters. Each chapter covers the basics before moving into the nuanced details, meeting the needs of those who seek a general understanding of a topic as well as those grappling directly with critical issues. Twice-yearly supplements keep the book current in this rapidly evolving field. Whether you are a lawyer, accountant, corporate executive, director or investor, you'll be able to quickly find concise answers to essential questions about the Dodd-Frank Act, Exchange Act registration and reporting, executive compensation disclosure, derivatives disclosure, management's discussion and analysis, audit committee responsibilities, Sarbanes-Oxley, electronic filing, interactive financial data, tender offers, proxy solicitations, insider trading, going private transactions, shareholders' rights, SEC investigations, criminal enforcement, securities class actions, and much more!

    • Business & Economics

Essential Strategies for Financial Services Compliance


Author: Annie Mills,Peter Haines
Publisher: John Wiley & Sons
ISBN: 1118906195
Category: Business & Economics
Page: 400
View: 8629
A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.

Securities Regulation Statutory Supplement

2017 Edition
Author: Stephen Choi,Adam Pritchard
Publisher: Foundation Press
ISBN: 9781683286370
Category:
Page: 766
View: 6177
Receive complimentary lifetime digital access to the eBook with new print purchase. This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act.

    • Business & Economics

Essentials of Business Ethics

Creating an Organization of High Integrity and Superior Performance
Author: Denis Collins
Publisher: John Wiley & Sons
ISBN: 9780470486238
Category: Business & Economics
Page: 208
View: 5248
The essential guide to creating an organization ofhigh integrity and superior performance With the high-profile corporate scandals that have taken place in recent years, corporate ethics are more important to a business than ever before. The failure of ethical leadership in an organization is very destructive-it demoralizes the workforce, breeds public distrust, and ultimately results in organizational decay. Based on more than two decades of consulting, teaching, and research, Denis Collins's Essentials of Business Ethics is designed with appreciation for your demanding professional obligations, with easy-to-find, at-your-fingertips information. Its nuts-and-bolts presentation provides you with practical "how-to" examples and best practices on every area of managing ethics inside your organization in a handy, concise format. This brief yet powerful guide presents executives and leaders with timely discussion on: Human nature and unethical behavior in organizations Determining the ethics of job candidates The differences between a Code of Ethics and a Code of Conduct The best practices for managing diversity Using Management-by-Objectives to establish work goals that encourage ethical behavior Performance appraisals that reward ethical behaviors Aligning community outreach with the company's mission and assets Handling the environmental change process How to manage three internal communication mechanisms for employees to report potentially unethical or illegal behaviors: an Ethics & Compliance Office, Ombudsman, and Ethics Hotlines Providing a five-step ethics job-screen process and an ethical decision-making framework, as well as guidelines for conducting a variety of business ethics workshops, Essentials of Business Ethics is the only guide you will need containing all the relevant facts on business ethics, all in one place.

    • Business & Economics

The Fundamental Principles of Financial Regulation


Author: Markus Konrad Brunnermeier,Charles Goodhart,Avinash Persaud,Andrew Crockett,Hyun Shin
Publisher: Centre for Economic Policy research
ISBN: 9780955700972
Category: Business & Economics
Page: 110
View: 6096
"Today's financial regulatory systems assume that regulations which make individual banks safe also make the financial system safe. The eleventh Geneva Report on the World Economy shows that this thinking is flawed. Actions that banks take to make themselves safer can - in times of crisis - undermine the system's stability. The Report argues for a different approach."--P. xvi.

    • Law

Securities Law


Author: Larry D. Soderquist,Theresa A. Gabaldon
Publisher: N.A
ISBN: N.A
Category: Law
Page: 213
View: 2348
Professors Larry D. Soderquist and Theresa A. Gabaldoh have authored a concise, well organized text that provides a solid understanding of the basic securities laws. Terms and concepts are detailed to assist the student in understanding securities law and to make it a vibrant subject for study. Highlights include: What is a Security, World of Securities Law, Business Context of Securities Law, What can be done during Securities Act Registration, How Securities are Registered under the Securities Act, Exemptions from the Registration Requirements, Resales by Security Holders, Liability for Violations of the Securities Act, Commission's General Exemptive Authority and Registration and Periodic Reporting Under the Exchange Act, Proxy Regulation, Tender Offers, Rule 10b-5, Short-swing Trading Under Section 16, Exchange Act Regulation of the Securities Business, International Aspects of Securities Law. As part of our hew Foundation Press Concepts and Insights Series, we are proud to offer professors and students this concise and insightful guide. Book jacket.

Securities Regulation Statutory Supplement


Author: Stephen Choi,Adam Pritchard
Publisher: Foundation Press
ISBN: 9781634606851
Category:
Page: 764
View: 4858
This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act.