DEFINITIONS— Continued Director, SEA § 3(a)(7) Equity security, SEA § 3(a)(U), SEA Rule 3all-l Exchange, SEA § 3(a)(1) Foreign securities authority, SEA § 3(a)(50) Futures contract, CEA § 2(a)(1)(A) Government securities broker, ...
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ISBN: STANFORD:36105063864792
Category: Securities
Page:
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Uniform Securities Act (1956) (cont.) ... 4155-4156 unethical practices, 3852 Uniform Securities Act (1985) background, 48-49 conflict of laws, 5208 exemptions, 133-138, 1004 investment advisers, 70-71 mergers and similar transactions, ...
Author: Louis Loss
Publisher: Aspen Publishers
ISBN: UOM:35112203376886
Category: Disclosure of information
Page: 11
View: 868
an aggregate amount of the covered security that equals or, through the purchase of all securities that are part of a ... that is fraudulent, manipulative, or deceptive under the securities laws, or any rule or regulation thereunder.
Author: James D. Cox
Publisher: Aspen Publishers
ISBN: 0735569363
Category: Law
Page: 927
View: 340
Designed specifically For The Securities Regulation course, this statutory supplement contains all of the relevant statutes, rules, and forms needed—in a remarkably concise and uncluttered format. A highly effective teaching tool, it is the ideal complement to any casebook for Securities Regulation, including but not exclusive To The authors’ own Securities Regulation: Cases and Materials, Fifth Edition. the 2007 Edition features: The Securities Exchange Act of 1934: Rules and Forms Rule 14a-16. Internet Availability of Proxy Materials Section 15A(14), The new military sales clause Regulation; S-K, S-X, M, M-A, AC, FD, and G Regulation S-K: Item 308T. Internal Control over Financial Reporting Item 407. Corporate Gove Regulation S-X: Rule 2-02T. Accountants' Reports and Attestation Reports on Management's Assessment of Internal Control Over Financial Reporting Securities Act of 1933 Rules and Forms Rules of Practice and Investigations (Standards of Professional Conduct for Attorneys) Staff Accounting Bulletins Sarbanes-Oxley Act 2002 Investment Advisers Act of 1940 Advisers Act Rules Investment Company Act of 1940 Investment Company Act RulesThese liberalizations of Regulation A should increase its utility, although the new simple registration Form SB-1 which is ... If securities are sold to non-accredited purchasers under Rule 505 or 506, the following information must be ...
Author: David L. Ratner
Publisher:
ISBN: STANFORD:36105061182023
Category: Securities
Page: 1062
View: 452
ished, new arrangements were made by the government to allocate regulatory responsibilities among government departments; ... One theme of the drafts was to bring China's institutional structure of securities regulation close to ...
Author: Sanzhu Zhu
Publisher: Brill Nijhoff
ISBN: STANFORD:36105060782989
Category: Business & Economics
Page: 285
View: 267
A co-publication with Simmonds and Hill In this important study, Dr. Zhu Sanzhu offers a thorough account of the tortuous passage of China from an experimental securities market, subject to regional and local or ministerial regulation, to a full-fledged national securities law. China has conducted its securities experiments within a limited private and quasi-private sector, not linking them, as has been true in Central and Eastern Europe, to the rapid privatisation of the instruments and means of production. The capital markets in China are, for certain actors in the economy, a test of economic performance, economic efficiency, and public confidence. Dr Zhu also provides a translation of the Securities Law of the People's Republic of China along with a glossary of Chinese terms. This volume is an essential resource for all those engaging in business with China or studying the integration of the Chinese economy into the world community. Published under the Transnational Publishers imprint.The term "record date" shall mean the date as of which the record holders of securities entitled to vote at a meeting or by written consent or authorization shall be determined. (i) Record Holder. For purposes of Rule 14c-7, ...
Author: David A. Katz
Publisher:
ISBN: STANFORD:36105061860891
Category: Securities
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View: 123
to research regarding the applicability of State securities or blue sky laws to municipal securities offerings. (3) Disclosure Requirements The laws of all 50 States were reviewed in the limited manner described above to determine which ...
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ISBN: MINN:31951002612738M
Category: Municipal bonds
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View: 567
Petitioner* Have Presented No Reason To Reject Congress's Policy Judgment That Contribution Furthers The Purposes Of The Securities Laws. Petitioners and amicus National Association of Securities and Commercial Law Attorneys ("NASCAT") ...
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Publisher:
ISBN: STANFORD:36105062069492
Category: Securities
Page:
View: 888
... regulatory matters, Railroad Accounting Principles Board proposes 353 Retirement benefits, guidance on employer treatment of ... Task Force on Regulation of Insider Trading releases draft report 544 Uniform Securities Act of 1985, ...
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ISBN: STANFORD:36105061300898
Category: Securities
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View: 244
It is likely that the licensing system will remain central to the regulation of securities intermediaries despite important and potentially far-reaching proposals for reform presently before the Commonwealth Government.
Author: Gordon R. Walker
Publisher: Lbc Information Services
ISBN: STANFORD:36105061974023
Category: Securities
Page: 794
View: 288
Presented as a collection of essays on specific issues of the regulation of dealings in investment securities in Australia & New Zealand, this text provides an analysis of the securities regimes of both countries & discusses securities regulation in the context of information technology, globalisation, share ownership, short selling, insider trading, derivatives, capital raising & fundraising, disclosure rules & due diligence & the regulatory bodies.