Designed specifically for the securities regulation course, this statutory supplement contains all 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. New to the 2022 Edition: Securities Exchange Act of 1934, Section 21: Investigations; Injunctions and Prosecution of Offenses, updated to authorize the Securities Exchange Commission (SEC) to seek disgorgement of unjust enrichment received as the result of certain violations of the Act, rules and regulations thereunder, and SEC cease-and-desist orders. Schedule 14A, Information Required in Proxy Statement pursuant to Section 14(a) of the Securities Exchange Act of 1934, updated to require the use of universal proxy cards in contested elections that include all director nominees up for election at shareholder meetings, as well as to modernize filing fee disclosures and payment methods. Latest updates to statutes, rules, regulations, and forms.
Amendments to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incidents by public companies that are subject to the reporting requirements of the Securities Exchange Act of 1934. Amendments to enhance investor protections in initial public offerings by Special Purpose Acquisition Companies (SPACs). Amendments to modernize and improve disclosure about repurchases of an issuer’s equity securities that are registered under the Exchange Act (Repurchase Rule). Amendments to update Regulation 13D-G to require market participants to provide more timely information on their positions to meet the needs of investors in today’s financial markets. Amendments to the rule under the Investment Company Act of 1940 that addresses certain broad categories of investment company names that are likely to mislead investors about an investment company's investments and risks. Latest updates to statutes, rules, regulations, and forms.
In the midst of globalization, technological change, and economic anxiety, we have deep doubts about how well the task of investor protection is being performed. In the U.S., the focus is on the Securities & Exchange Commission. Part of the explanation is economic and political: the failure to know the right balance between investor protection and capital formation, and the resulting battle among interest groups over their preferred solutions. In Selling Hope, Selling Risk, author Donald C. Langevoort argues that regulation is also frustrated at nearly every turn by human nature, as exhibited both on the buy-side (investors) and sell-side (corporate executives, bankers, stockbrokers). There is plenty of savvy and guile, but also ample hope, fear, ego, overconfidence, social contagion and the like that persistently filter and distort the messages regulators try to send. This book is the first sustained effort to link the key initiatives of securities regulation with our burgeoning awareness in the social sciences of how people and organizations really behave in economic settings. It examines why corporate fraud occurs and how best to deter it and compensate its victims; the search for an edge via insider trading; the disclosure apparatus and its gatekeepers; sales efforts and manipulation in Ponzi schemes, internet scams, private offerings and crowdfunding; and how this all helps explain the recent global financial crisis. It ends by turning these insights back on the task of regulation itself, and the strategies (and frustrations) of making regulation work in a financial world that is at once increasingly sophisticated yet deeply human and incurably flawed.
This statutory supplement, designed to accompany the best-selling casebook by Cox, Hillman, and Langevoort, will bring your teaching materials up to date. This highly effective teaching tool contains judicious coverage of only the statutes, rules, and forms that are the subject of the typical course. The elimination of superfluous material keeps the text to a manageable length.
Amendments to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incidents by public companies that are subject to the reporting requirements of the Securities Exchange Act of 1934. Amendments to enhance investor protections in initial public offerings by Special Purpose Acquisition Companies (SPACs). Amendments to modernize and improve disclosure about repurchases of an issuer’s equity securities that are registered under the Exchange Act (Repurchase Rule). Amendments to update Regulation 13D-G to require market participants to provide more timely information on their positions to meet the needs of investors in today’s financial markets. Amendments to the rule under the Investment Company Act of 1940 that addresses certain broad categories of investment company names that are likely to mislead investors about an investment company's investments and risks. Latest updates to statutes, rules, regulations, and forms.
Suitable for use with SECURITIES REGULATION: Cases and Materials, Third Edition, or any securities regulation casebook, this 2003 Case Supplement covers the most recent cases and materials.
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 Rules
Intellectually satisfying and very teachable, Securities Regulation: Cases andMaterials, Sixth Edition uses well-crafted and interesting problem exercisesto engage students in the theory and applications of securities regulation.
To ensure that you have the most up-to-date and complete materials for your Securities Regulation class, be sure to use this 2008 Case Supplement. Table of Cases: Italics indicate principal cases. American Federation of State, County & Municipal Employees v. American International Group, Inc. Berckeley Investment Group, Ltd. v. Colkitt Chamber of Commerce v. SEC Credit Suisse Sec. (USA) LLC v. Glen Billings Dolphin and Bradbury v. SEC Feder v. Frost Financial Planning Association v. SEC GFL Advantage Fund, Ltd. v. Colkitt Goldstein v. SEC Makor Issues & Rights Ltd. v. Tellabs, Inc. (7th Cir.) Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit Oscar Private Equity Investments v. Allegiance Telecom, Inc. Overton v. Todman & Co. Securities and Exchange Commission v. Kern Securities and Exchange Commission v. Rocklage Securities and Exchange Commission v. Dorozhko Stoneridge Inv. Partners, LLC, Petitioner v. Scientific-Atlanta, Inc. Tellabs, Inc. v. Makor Issues & Rights, Ltd. United States v. Brown United States v. Ebbers United States v. Simon Yung v. Lee
Securities Regulation, 2007 Case Supplement covers: The Ninth Circuit's embrace of scheme liability in Simpson v. AOL Time Warner, Inc. Supreme Court's expansive reading of SLUSA in Dabit The SEC's guidelines for entity fines tested against an interesting new problem to illustrate its application The SEC's new disclosures for executive compensation Judicial developments respecting the scope of private relief for rescission under Exchange Act section 29(b) Brown decision limiting the scope of the mail and wire fraud statutes AFSCME v. AIG
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, Sixth Edition. The 2009 Edition features: The Securities Exchange Act Rules: Rules and Forms Rule 10b-21, naked short sales Rule 12h-6, deregistration of foreign issuers Rule 14a-16, Internet Availability of Proxy Materials Rule 14a-17, internet shareholder forums Section 15A(14), the military sales clause Section 15E, regarding credit rating agencies Rule 17g-1 through 17g-6, new credit rating agency regulations SEC amendment to Rule 146(b)(2), adding new subsection (v) referencing "The Nasdaq Capital Market" The Investment Advisers Act Section 206(4)-8, hedge fund antifraud rule Regulations S-K, S-X, M, SHO, M-A, AC, FD, and G Securities Act of 1933 Rules and Forms SEC Rule 151a, defining the terms "annuity contract" and "optional annuity contract" 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 Rules
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