Sorry. There is no publication related to your searching criteria.
This securities law guide is used by experienced securities lawyers, general practitioners, accountants, investment advisors, and investors.
See Benefits, Topic Areas, Features and Other Formats.
Please complete the form and a STP representative will call or email you back shortly.Thank you!
|Part I: Background||Traces the evolution of the securities laws and their purpose, outlines various securities statutes and the SEC s general rules and regulations, discusses research considerations, describes the SEC s administrative organization and procedures, summarizes approaches taken in state Blue Sky Laws and the limits of state authority over securities, and identifies Dodd-Frank as providing major big name revisions to the 1933 and 1934 Acts|
|Part II: The Regulation of Securities||Explains the present requirements of the Acts and highlights their application to public companies, corporate directors, officers, and insiders, as well as broker-dealers; covers the latest SEC rules and regulations, interpretive releases, and no-action letters, as well as PCAOB rules and judicial decisions that apply, and interprets the regulatory scheme; discusses Dodd-Frank and Sarbanes-Oxley in their entireties|
|Part III: Enforcement of Violations||Analyzes the civil and criminal liability provisions of the two Acts, including those triggering enforcement by SEC and PCAOB, as well as private securities litigation|
|Part IV: International Securities Transactions||Discusses how these laws apply to international securities transactions, such as public offerings to U.S. investors by foreign issuers and public offerings by U.S. issuers to foreign investors|
No features listed.