The SEC's Attack on Selective Disclosure PDF Download

Author: Jared L. Kopel
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 44

View

Book Description

Author: Brown
Publisher: Wolters Kluwer
ISBN: 145488634X
Category : Business & Economics
Languages : en
Pages : 2350

View

Book Description
The Regulation of Corporate Disclosure is a one-volume treatise on the disclosure regime in place under the Federal securities laws. The treatise addresses the formal disclosure process (periodic reports, MD&A, Regulation FD), the informal disclosure process (press releases, social media, discussions with analysts), and the application of the antifraud provisions to these communications. The treatise includes chapters on scienter and materiality, and also addresses communications with and disclosure obligations to shareholders. The Fourth Edition has been significantly revised and, among other topics, includes coverage of: The duties and responsibilities of corporate officials relating to the disclosure process The most recent cases addressing disclosure issues, including decisions by the Supreme Court on topics such as the application of the antifraud provisions to beliefs and opinions Pronouncements by the U.S. Securities and Exchange Commission on disclosure issues, including consideration of the SEC's efforts to improve disclosure effectiveness The developing need to consider disclosure of public interest matters, including the effects of climate change on a company's business The disclosure requirements applicable to the proxy process, including the system for uncovering the identity of street name owners State disclosure obligations of the board of directors under its fiduciary obligations to shareholders.

Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 166

View

Book Description

Author: Marc I. Steinberg
Publisher: Oxford University Press
ISBN: 0197583164
Category : Law
Languages : en
Pages : 361

View

Book Description
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.

Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 2340

View

Book Description

Author: Stefan Schiffner
Publisher: Springer
ISBN: 3319447602
Category : Computers
Languages : en
Pages : 212

View

Book Description
This book constitutes the refereed conference proceedings of the 4th Annual Privacy Forum, APF 2016, held in Frankfurt/Main, Germany, in September 2016. The 12 revised full papers presented in this volume were carefully reviewed and selected from 32 submissions. The papers are organized in three sessions: eIDAS and data protection regulation; IoT and public clouds; and privacy policies and privacy risk presentation.

Author:
Publisher: Morrison & Foerster LLP
ISBN: 0988706407
Category :
Languages : en
Pages : 597

View

Book Description
FAQs. FAQs (or Frequently Asked Questions), written and published by lawyers at Morrison & Foerster LLP, a leading capital markets firm (www.mofo.com), provides plain English explanations of the most popular types of financing or capital formation transactions, as well as explanations relating to related securities law issues. Written for practitioners, entrepreneurs, start-ups, public companies, investors, bankers and other financial intermediaries, and compliance professionals, FAQs avoids lawyer and banker jargon and provides clear and concise discussions that answer the questions most commonly asked in connection with securities offerings and ongoing securities reporting requirements. You will find discussions about IPOs, Rule 144A, PIPE transactions, Regulation S, Medium-Term Note Programs, Shelf Registration Statements, Foreign Private Issuers and much, much more. The FAQs are organized in a user-friendly way, with a table of contents for each set of FAQs, so you can jump to particular questions (and answers) within a topic area, or search the book to find answers to your questions. For more information about Morrison & Foerster’s Capital Markets Practice, visit www.mofo.com/capital-markets-services/. For more updates, follow Thinkingcapmarkets, our Twitter feed: www.twitter.com/thinkingcapmkts.

Author:
Publisher:
ISBN:
Category : Administrative law
Languages : en
Pages : 1346

View

Book Description

Author: Ralph C. Ferrara
Publisher: Law Journal Press
ISBN: 9781588520692
Category : Business & Economics
Languages : en
Pages : 960

View

Book Description
The authors analyze the impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Sarbanes-Oxley Act and SEC regulations regarding selective disclosure and insider trading.

Author: James Robert Brown
Publisher: Wolters Kluwer
ISBN: 0735501564
Category : Law
Languages : en
Pages : 1709

View

Book Description
The Regulation of Corporate Disclosure, Third Edition is a complete and up-to-date handbook on the issue of corporate disclosure, covering the impact of the federal securities laws on both informal communications and the process of communicating with shareholders. The Third Edition expands topics previously covered, addressing the legal issues and practical concerns surrounding implementation of the Private Securities Litigation Reform Act of 1995, the Sarbanes-Oxley Act of 2002, and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The book also has an in-depth treatment of managementand’s discussion and analysis (MDand&A), something that, although appearing in required SEC filings, involves many of the same difficult and complex issues raised by the informal disclosure process. Also addressed are: SEC reforms of the periodic reporting process; issues pertaining to stock research analysts and conflicts of interest; and various relevant corporate governance requirements and their disclosure implications. Critical areas analyzed include ;Disclosure requirements and anti-fraud provisions The duty to disclose Dissemination Issues involving materiality Disclosure of bad news Negotiations Dealing with analysts And much more!