The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) invocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. This book focuses on "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. In 1978, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection.

Rethinking Securities Law

Steinberg, Marc I.

Business

Oxford University Press

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; andProfessional 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.

Understanding Securities Law

Lexis Nexis/Matthew Bender

Lawyering and Ethics for the Business Attorney (American Casebooks)

Ethics & Professional Responsibility

Thomson/West

This book is a timely and useful supplement to such basic courses as Professional Responsibility, business enterprises, and even commercial law. It may also be assigned in such classes as securities regulation, business/corporate ethics, and inside counsel. Indeed, a course in ethics for the business attorney may adopt this book as its primary source. The book uses the problem method to provide a concrete mode of analysis. This method works nicely to bring reality to the scene and energize the students. Rather than discussing abstract issues in a vacuum, the problem method in this setting enables students to apply the book's materials to real situations. The book contains material devoted, for example, to the following subjects: 1) the role of the business lawyer; 2) identifying counsel's client; 3) client-fraud dilemmas; 4) conflicts of interest; 5) role of in-house counsel; 6) related party transactions; 7) internal investigations; and 8) basics of business practice.

Lawyering and Ethics for the Business Attorney (American Casebook Series)

West Group

Here, at last, is a clear, practical guide on what's legal and what isn't in insider trading. It's the only book that gives you everything you need to: * Identify every potential source of insider trading liability * Deter inadvertent violations with an effective compliance program * Raise powerful defenses to government and private actions formations and transactions . . . with comprehensive, up-to-date coverage and analysis of such significant aspects as government enforcement, which private plaintiffs can sue, and transnational transactions. You'll find more information-and more readily usable strategy-than in any other source on the subject. In one convenient volume Insider Trading shows you all the ways to avoid liability exposure under all applicable law, including: * The recent Supreme Court case United States v. O'Hagan * Federal mail and wire fraud statutes * Section 10(b) and Section 16(b) * Bilateral treaties and SEC memoranda with 21 foreign jurisdictions * Transnational transactions * State law pitfalls Wang and Steinberg also give you compliance strategies, with sample policies and procedures, and effective defenses against government and private actions.

Insider Trading

Wang, William K. S.

Little,Brown & Co

Securities Regulation (Analysis and Skills Series)

Business & Money

Economics

Understanding Securities Law (Casebook Skills Series)

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:
<li>The definition of securities exemptions from registration;</li>
<li>the registration framework and process;</li>
<li>Sarbanes-Oxley Act;</li>
<li>SEC Securities Act Offering Rules;</li>
<li>Resales and reorganizations;</li>
<li>Due diligence;</li>
<li>Liabilities and remedies;</li>
<li>Affirmative disclosure duties;</li>
<li>Insider trading;</li>
<li>SEC enforcement; and</li>
<li>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.
</li>

Understanding Securities Law (Understanding Series)

Lexis Pub.

Securities Regulation (Casebook Series)

Understanding Securities Law: 4th edition

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