Securities Litigation and Enforcement

Securities Litigation and Enforcement
Author: Donna M. Nagy
Publisher: West Academic Publishing
Total Pages: 1080
Release: 2008
Genre: Business & Economics
ISBN:

Designed to suit a variety of two or three credit courses and seminars, the casebook is being used to teach (1) courses in "securities litigation" that examine litigation topics under the Exchange Act and the Securities Act; (2) courses in "securities enforcement" that center on SEC and criminal enforcement, market manipulation, insider trading, and the professional responsibilities of attorneys and accountants; and (3) more specialized courses or seminars that build around the theme of "current topics in securities litigation."

Global Securities Litigation and Enforcement

Global Securities Litigation and Enforcement
Author: Pierre-Henri Conac
Publisher: Cambridge University Press
Total Pages: 1363
Release: 2019-01-03
Genre: Law
ISBN: 1108577423

Global Securities Litigation and Enforcement provides a clear and exhaustive description of the national regime for the enforcement of securities legislation in cases of misrepresentation on financial markets. It covers 29 jurisdictions worldwide, some of them are important although their law is not well known. It will be an invaluable resource for academics and students of securities litigation, as well as for lawyers, policy-makers and regulators. The book also provides a comprehensive contribution debate on whether public or private enforcement is preferable in terms of development of securities markets. It will appeal to those interested in the legal origins theory and in comparative securities law, and shows that the classification of jurisdictions within legal families does not explain the differences in legal regimes. While US securities law often serves as a model for international convergence, some of its elements, such as securities class actions, have not been adopted worldwide.

Enforcement of Corporate and Securities Law

Enforcement of Corporate and Securities Law
Author: Robin Hui Huang
Publisher: Cambridge University Press
Total Pages: 553
Release: 2017-09-28
Genre: Law
ISBN: 1316738507

This book assembles the world's most authoritative specialists for a comparative analysis of the enforcement of corporate and securities laws in thirteen national jurisdictions. It examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective.

Securities Litigation

Securities Litigation
Author: Jonathan C. Dickey
Publisher: Practising Law Institute
Total Pages: 0
Release: 2006
Genre: Actions and defenses
ISBN: 9781402408175

Securities Litigation: A Practitioner's Guide can help companies cope effectively with this major challenge, by providing you with the guidance you need to help your clients get the competitive edge in securities class actions.

SEC Compliance and Enforcement Answer Book 2015

SEC Compliance and Enforcement Answer Book 2015
Author: David M. Stuart
Publisher:
Total Pages: 0
Release: 2015-08-07
Genre: Corporation law
ISBN: 9781402424717

SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.

The Enforcement of Securities Law in China

The Enforcement of Securities Law in China
Author: Wenming Xu
Publisher: Springer Nature
Total Pages: 157
Release: 2022-03-14
Genre: Law
ISBN: 9811909040

This book takes a law and economic approach to examine the securities law enforcement in China and provides an in-depth empirical analysis on the enforcement inputs and outputs. In contrast to previous studies, it systematically collects a large sample of judicated securities fraud cases and public sanctions as disclosed by the listed companies. The enforcement regime is further divided into the private enforcement exemplified by the civil litigation imitated by harmed investors and public enforcement by sanctions proceedings initiated by public agencies. Academic researchers, policy makers and practitioners, who are interested in the securities market and regulation could find the information provided in this book interesting.

Securities Regulation

Securities Regulation
Author: Alan R. Palmiter
Publisher:
Total Pages: 564
Release: 2005
Genre: Business & Economics
ISBN:

Students depend on Securities Regulation: Examples & Explanations because it gives them what they need: - coverage of key concepts, such as public offerings, exemptions from registration, liability in securities offerings, materiality, definition of security, securities fraud, insider trading, SEC enforcement, and cross-border regulation - Examples and Explanations approach that reinforces learning by combining textual material with well-written examples, questions, and explanations - assistance in navigating a complex subject, beginning with clear delineations of the basic concepts of securities regulation and then applying the concepts in specific areas - numerous examples drawn from newsworthy events - content corresponds to the topics in the leading casebooks - sound and logical organization moves from major themes to specifics - clear and straightforward writing style The Third Edition keeps pace with developments in the law: - Sarbanes-Oxley Act with comprehensive overview and developments, including new problems - new SEC rules on expanded risk disclosure, company certifications, and lawyer up the ladder reporting - new material on IPO abuses: spinning, flipping, gun-jumping - new NYSE and NASDAQ rules on corporate governance listing standards and stock analysts - new and updated cases - new and revised examples

Securities Litigation and Enforcement in a Nutshell

Securities Litigation and Enforcement in a Nutshell
Author: MARGARET V.. NAGY SACHS (DONNA M. RUSSELLO, GERALD J.)
Publisher: West Academic Publishing
Total Pages: 551
Release: 2020-11-16
Genre:
ISBN: 9781647082734

The 2nd edition of the Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned nearly two decades ago after the accounting and corporate governance scandals at Enron, WorldCom, and other large publicly traded companies. It is an area of law that has only continued to expand with the 2008 financial crisis and subsequent legislation, including the Dodd-Frank Act of 2010 and the JOBS Act of 2012, and with several recent rulings by the U.S. Supreme Court. The Nutshell examines private, SEC, and criminal enforcement of the federal securities laws, with an emphasis on the elements that establish securities fraud, and the doctrinal and practical issues that typically emerge in prosecuting or defending such claims.