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Capital markets & securities law & regulation

See below for a selection of the latest books from Capital markets & securities law & regulation category. Presented with a red border are the Capital markets & securities law & regulation books that have been lovingly read and reviewed by the experts at Lovereading. With expert reading recommendations made by people with a passion for books and some unique features Lovereading will help you find great Capital markets & securities law & regulation books and those from many more genres to read that will keep you inspired and entertained. And it's all free!

Fuller: The Law and Practice of International Capital Markets

Fuller: The Law and Practice of International Capital Markets

Author: Geoff Fuller Format: Hardback Release Date: 25/03/2020

This title offers comprehensive coverage of the key areas within capital markets including securitisation, guarantees, capital adequacy, Islamic finance, prospectuses, liability management, covenants, tax and legal opinions. It explains transaction structures, the relevant documents and how statutes and case law impact on them. Using a practical and accessible approach to the subject, it also benefits from a clause-by-clause analysis of key documents and structures. The Fourth edition has been fully updated to explain the impact of the Prospectus Directive (PD11)& MiFID 11 & MiFIR. New for this edition: * Private placements * Retail Bonds * Green Bonds * Governing Law, Choice of Jurisdiction & Arbitration provisions * EU Proposals for Capital Markets Union * Project Bonds * Differences & considerations in relation to emerging market issuers and sovereign issues. Updated to reflect changes in market practice & transaction structures since 2012, this title includes the latest developments to regulation of PRIIPs, the implementation of CDR4 & Capital Requirements Regulation, also the Bail-in provisions of the Recovery & Resolution Directive.

Regulation of Commodities Trading

Regulation of Commodities Trading

This book is the first to draw together the numerous different regulations which affect how commodities are traded in the EU. Having long been a largely deregulated industry, intense scrutiny in the aftermath of the global financial crisis has left commodities trading subject to a raft of harmonized regulations, many of which have yet to be finalized. Regulation of both the physical and the financial commodities markets is undergoing significant change and participants and their advisors are struggling to understand the changes in each jurisdiction as well as the cross-border implications. The book pulls together these various pieces of EU legislation and examines how they influence the way that commodities are traded in Europe. It also provides coverage of regulation at domestic level in key jurisdictions active in the marketplace, namely the UK, USA, Switzerland, and Singapore. Divided into eight sections, the book includes analysis of the commodities trading houses (including their motives and methods), the main trading venues, trading practices, and potential illicit practices and market abuses. Each section has a detailed transnational component in which the position in each specific jurisdiction is explained, drawing parallels and setting out the differences between these countries. This extremely topical publication is an essential reference work for all those advising on or researching the increasingly complex and globalized field of commodities trading.

Securities Regulation, Cases and Materials

Securities Regulation, Cases and Materials

Author: Thomas Hazen Format: Paperback / softback Release Date: 01/02/2020

Problem supplement for use with Hazen's Securities Regulation: Cases and Materials, 9th Edition.

Securities Litigation and Enforcement, Cases and Materials

Securities Litigation and Enforcement, Cases and Materials

Author: Donna Nagy, Richard Painter, Margaret Sachs Format: Hardback Release Date: 01/02/2020

This casebook focuses on federal securities litigation and enforcement, an area of law that encompasses private litigation, Securities & Exchange Commission (SEC) enforcement, criminal enforcement by the Department of Justice (DOJ), and securities arbitration. The fourth edition incorporates developments since 2011. These include the Jumpstart Our Business Startups (JOBS) Act of 2012 as well as numerous major Supreme Court decisions that appear as principal cases - Salman v. United States; Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund; Halliburton Co. v. Erica P. John Fund, Inc. (Halliburton II); Chadbourne & Parke LLP v. Troice, and Amgen, Inc. v. Conn. Ret. Plans & Trust Funds.

Securities Regulation in a Nutshell

Securities Regulation in a Nutshell

Author: Thomas Hazen Format: Paperback / softback Release Date: 01/02/2020

This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.

High Court Case Summaries on Securities Regulation, Keyed to Cox

High Court Case Summaries on Securities Regulation, Keyed to Cox

Author: Academic West Format: Paperback / softback Release Date: 30/01/2020

This High Court: Securities Regulations (keyed to the Cox textbook) provides case summaries on securities regulation law, examining procedural basis, facts, issues, decisions, and rationale. Convenient memory aids include headnotes, instant facts, black-letter rules, case vocabulary, and graphics. Each chapter begins with an introduction of its concepts presented in simple terms, and an alphabetical table of cases is provided.

Securities Regulation, Selected Statutes, Rules and Forms, 2020 Edition

Securities Regulation, Selected Statutes, Rules and Forms, 2020 Edition

Author: Thomas Lee Hazen Format: Paperback / softback Release Date: 30/01/2020

Federal Securities Laws Selected Statutes, Rules, and Forms, 2019-2020 Edition

Federal Securities Laws Selected Statutes, Rules, and Forms, 2019-2020 Edition

Author: John C. Coffee Jr, Hillary A. Sale, Charles K. Whitehead Format: Paperback / softback Release Date: 30/01/2020

This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised.

Securities Regulation Statutory Supplement, 2018 Edition

Securities Regulation Statutory Supplement, 2018 Edition

Author: Stephen Choi, A.C. Pritchard Format: Paperback / softback Release Date: 26/01/2020

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.

The Law of Securities Regulation

The Law of Securities Regulation

Author: Thomas Hazen Format: Hardback Release Date: 23/01/2020

Revised to reflect the SEC's the Dodd-Frank and JOBS Acts as well as recent Supreme Court and other case law developments, this Hornbook is totally up to date. It is a comprehensive secondary source for the study of Securities Regulation. Coverage includes definition of security, registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities. The book treats broker-dealer regulation, market regulation, and the administrative role of the SEC, as well as proxy rules, insider trading, the Investment Company Act and the Investment Advisers Act. The up-to-date discussion of market regulation includes discussion of the role of FINRA, the successor to the regulatory arms of the New York Stock Exchange and the National Association of Securities Dealers.

Securities Regulation, 2018 Case Supplement

Securities Regulation, 2018 Case Supplement

Author: John C. Coffee Jr, Hillary A. Sale, Charles Whitehead Format: Paperback / softback Release Date: 22/01/2020

This supplement brings the principal text current with recent developments in the law.

Transparency of Stock Corporations in Europe Rationales, Limitations and Perspectives

Transparency of Stock Corporations in Europe Rationales, Limitations and Perspectives

Author: Professor Vassilios Tountopoulos Format: Hardback Release Date: 12/12/2019

This edited collection explores transparency as a key regulatory strategy in European business law. It examines the rationales, limitations and further perspectives on transparency that have emerged in various areas of European law including corporate law, capital markets law and accounting law, as well as other areas of law relevant for European (listed) stock corporations. This book presents a clear and accurate picture of the recent reforms in the European transparency regime. In doing so it endorses a multi-dimensional notion of transparency, highlighting the need for careful consideration and contextualisation of the transparency phenomenon. In addition, the book considers relevant enforcement mechanisms and discusses the implications of disparate enforcement concepts in European law from both the private and public law perspectives. Written by a team of distinguished contributors, the collection offers a comprehensive analysis of the European transparency regime by discussing the fundamentals of transparency, the role of disclosure in European business law, and related enforcement questions.