Securities Law
The Scope of Federal Securities Law Liability for Corporate Transactions
... The Scope of Federal Securities Law Liability for Corporate Transactions SMU Law Review Volume 33 | Issue 5 Article 2 1979 The Scope of Federal Securities Law Liability for Corporate Transactions Larr[.] ...
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Securities Regulation Ninth Circuit Declines to Follow Narrow Presentation of Novel Insider Trading Interpretation Issued by Second Circuit Securities Law "Experts"
... Securities Regulation Ninth Circuit Declines to Follow Narrow Presentation of Novel Insider Trading Interpretation Issued by Second Circuit Securities Law "Experts" SMU Law Review Volume 69 | Issue 1[.] ...
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Midwest Securities Law Institute Fall 2016
... the securities division at the ...a securities attorney. Securities law is very complicated and you're not just starting one business, you're starting ...
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COMMENTS TO THE NEW SECURITIES LAW
... Mexican Securities Law regarding companies who cur- rently have their securities listed in the Mexican Stock Exchange, as well as with respect to the introduction of new provisions that promote the ...
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Selecting Targets and Shaping Strategy in Corporate Take Overs: Securities Law Considerations
... Selecting Targets and Shaping Strategy in Corporate Take Overs Securities Law Considerations SMU Law Review Volume 24 | Issue 4 Article 4 1970 Selecting Targets and Shaping Strategy in Corporate Take[.] ...
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Enhancing the Deterrent Effect of Anti-Fraud Measures in Thai Securities Law and Compliance Procedures
... regime. At the moment, the available forms of administrative sanction are a suspension and a revocation of brokerage licence. Before 2011, a reprimand and a probationary order were also available as less severe sanctions ...
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Life Settlements: Tax, Accounting, and Securities Law Issues
... “Life Insurance Long View – Life Settlements Need Not Be Unsettling”, Bernstein Research Call (3/4/05). “Another frequently discussed challenge is a natu- ral comparison to the rather ugly history of the viaticals ...
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Midwest Securities Law Institute Transcript, Fall 2015
... prepared they were. So some of our findings were that most of the firms we went, we went to about one hundred firms, most of them have been the subject of a cyber related incident. And over half of the firms received ...
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Midwest Securities Law Institute Transcript, Fall 2014
... The challenge you have, as I said, though, is that there’s always been this [interpretation] under 3(a)(11) the SEC has that’s very confusing that says yes, you can do general solicitation under 3(a)(11); there’s no ...
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Franchise Regulation under the California Corporate Securities Law
... In conjunction with the elements of active participation, an agreement to provide goods and services, and the existence of risk capital, it should also be necessary to[r] ...
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FINAL STATEMENT OF REASONS FOR RULE CHANGES UNDER THE CORPORATE SECURITIES LAW OF 1968
... the Securities and Exchange Commission (SEC) approved an exemption from registration for Canadian broker-dealers in regard to transactions involving self-administered, tax- advantaged retirement accounts of ...
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Advanced Securities Law
... A prospectus is the final document released by an issuing company to the public. Investors in the public rely on this document to determine whether to invest in the issuing company and to what extent. The Companies Act ...
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MAGNA Registration Rules According to Securities Law, Chapter A: Commentary
... (e) "Site Entrance" will appear on the entrance screen to the reporting site and an authorized electronic signatory will can press on it to enter the site, the system will iden[r] ...
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The Saudi Securities Law: Regulation of the Tadawul Stock Market, Issuers, and Securities Professionals under the Saudi Capital Market Law of 2003
... sell securities with prior knowledge that a substantially similar order has been made, in terms of size, price and ...listed securities while they are actively ...
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The Myth of Protecting the Public Interest: The Case of the Missing Mandate in Federal Securities Law
... Since its creation in 1934 the SEC has “‘outsourced’ its statutory authority to promulgate financial accounting rules applicable to companies that must make financial disclosures under the federal securities ...
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U.S. Securities Law Briefing
... selling Securities, with respect to positions in these derivatives contracts that are created after the announcement of the tender offer in question, as well as such hedging and covering activates with respect to ...
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Securities Law Bulletin
... e) a significant shareholder based on post-conversion beneficial ownership of the reporting issuer’s securities. A person or company is a significant shareholder based on post-conversion beneficial ownership if ...
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Reform of the Florida Securities Law
... The blue sky statutes of most states contain provisions granting ad- ministrators the authority to regulate the expenses of public offer- ings. 10 7 Pursuant to those [r] ...
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Securities Fraud Prosecutions: Still Viable Under California Securities Law After Simon?
... [F]or purposes of criminal liability, unless an issuer is aware or should have been aware at the time of the sale that a material representation is untrue, or k[r] ...
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Montana Securities Law - Its Rules and Regulations
... Applications by broker-dealers, salesmen, and investment advisers shall not be deemed filed with the Investment Department, within the meaning of the Securities Act [r] ...
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