This title will help you acquire an understanding of the basic content and organization of federal and state securities law. 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, securities businesses, and investment companies. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Securities and Exchange Commission's 1933 Act offering reform, the new Financial Industry Regulatory Authority, credit rating agencies, and changes to the New York Stock Exchange specialist system.

Intellectually satisfying and very teachable, Securities Regulation: Cases and Materials, Sixth Edition uses well-crafted and interesting problem exercises to engage students in the theory and applications of securities regulation. The strengths of this casebook continue to be: a balance of practice and doctrine from leading authorities a highly flexible organizational structure that adapts to a variety of teaching approaches a wealth of interesting problems that present opportunities for students to apply legal concepts and reinforce their understanding smart, straightforward writing style timely supplementation by the authors' own Annual Statutory Supplement and Case Supplement outstanding coverage of the 1933 and 1934 Acts Updated throughout, the revised Sixth Edition offers coverage of: recent cases on pleading securities fraud following the Supreme Court’s decision in Tellabs the D.C. Circuit’s rebuffs to the SEC in their regulation of broker-dealers, investment advisers, and mutual funds electronic voting and new forms of shareholder communication in proxy regulation full integration of the substantial SEC rule changes that affect resales of securities significant developments in SEC internal procedures related to enforcement actions expanding regulation of the municipal securities markets substantial compliance with Reg. D unincorporated associations as securities Authored by respected leaders who understand the importance of balancing practice and doctrine, this casebook's clear writing and modular chapters that make for an excellent classroom experience.

Bringing transparency to the Uniform Commercial Code Article 9, one of the most difficult and technical components of commercial law, James Brook uses straightforward introductions and the proven-effective Examples& Explanations pedagogy to provide a clear and complete overview of Secured Transactions. proven-effective Examples&Explanations pedagogy, combining straightforward introductions with well-written examples and explanations that apply concepts, reinforce learning, and test understanding of material covered clear and approachable explanatory text that is informal, yet informative a solid introduction to the basic law in the field covering the rules and policies of the law governing secured transactions as well as the broader issues of legal process usable with both the original and revised versions of Article 9 providing parallel citations to both a logical organization that follows the general sequence of topics as they are taught in Secured Transaction courses helpful diagrams and visual aids that illustrate and simplify the intricate provisions of Article 9 Updated throughout and with many new examples, the Fourth Edition features: important new cases and developments in secured transactions, including recent cases addressing the question of the correct name to use in filing a UCC1 financing statement new and updated examples Edition after edition, James Brook has been the trusted authority your students can rely on to present a clear and current picture of the entire Secured Transactions landscape.

Informal and student-friendly, Securities Regulation combines clear introductions with examples and explanations that test students' understanding of concepts and give them practice applying the law to fact patterns;many drawn from current events. Classroom-tested over five editions, this popular study guide explains the basics of securities regulation and then proceeds in more detail on specific topics. In the Fifth Edition, new examples are drawn from news stories such as the Bernie Madoff Ponzi scheme and the subprime mortgage crisis. This revision also addresses financial reform legislation and recent Supreme Court rulings concerning the statute of limitations, the liability of secondary actors, and jurisdiction over foreign fraud. Securities Regulation: Examples&Explanations features: basic coverage of the full range of securities regulation topics examples drawn from current events, such as public offerings by Google, the roles of lawyers and accountants in Enron, and fraud litigation involving mortgage-backed derivatives the proven-effective Examples&Explanations series pedagogy Updated throughout, the Fifth Edition provides: recent Supreme Court cases Merck&Co. v. Reynolds, on statute of limitations Stoneridge v. Scientific-Atlanta, on liability of secondary actors Morrison v. National Australia Bank, on jurisdiction over foreign fraud an overview of new securities reforms credit rating agency regulation and liability pay clawbacks after financial restatements regulation of hedge funds and private equity funds expanded ESEC enforcement powers additional charts and diagrams that summarize the Dodd-Frank law, 10b-5 procedures, and foreign jurisdiction cases new and updated examples and explanations based on the Madoff scheme, fraud in selling mortgage-backed securities, and liability for inaccurate credit ratings

Fully updated to reflect the Dodd Frank Wall Street Reform and Consumer Protection Act

Since the first edition of Security and Loss Prevention was published in 1983, much has changed in security and loss prevention considerations. In the past five years alone, security awareness and the need for added business continuity and preparedness considerations has been uniquely highlighted given events such as Katrina, 9/11, the formation of the Department of Homeland Security, and the increase in world terrorist events. This edition of Security and Loss Prevention is fully updated and encompasses the breadth and depth of considerations involved in implementing general loss prevention concepts and security programs within an organization. The book provides proven strategies to prevent and reduce incidents of loss due to legal issues, theft and other crimes, fire, accidental or intentional harm from employees, as well as the many ramifications of corporate mismanagement. The new edition contains a brand new terrorism chapter, along with coverage on background investigations, protection of sensitive information, internal threats, and considerations at select facilities (nuclear, DoD, government and federal).Author Philip Purpura once again demonstrates why students and professionals alike rely on this best-selling text as a timely, reliable resource. - Covers the latest professional security issues surrounding Homeland Security and risks presented by threats of terrorism- Recommended reading for ASIS International's prestigious CPP Certification- Cases provide real-world applications

Initial Public Offerings (IPO): A Practical Guide to Going Public provides you with a thorough understanding of the planning, procedures, players, opportunities, and pitfalls involved in taking an enterprise public. Initial Public Offerings fully covers the planning stage from financing the journey and selecting strong senior managers, to conducting due diligence and crafting corporate policies, to assembling a potent IPO team. Stocked with case studies, checklists, best practices, and sample documents, Initial Public Offerings shows you how to craft a Form S-1 that attracts investors, meets SEC rules, and minimizes liability; manage typical problems when selling stockholders are involved in the IPO; ensure a smooth initial filing, including advance planning for electronic submissions; minimize the pain of SEC review, by working effectively with agency staff; and sell the deal through strong marketing, including live and electronic road shows. Included is vital discussion of important post-IPO compliance challenges, public communications issues, and lucrative liquidity and fundraising opportunities.

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. Contents include the Securities Act of 1933, Security Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws.

Securities Regulation: The Essentials is part of Aspen's new Essentials Series, which takes a forest rather than the trees approach to teaching. This concise paperback concentrates on the fundamentals of Securities Regulation and uses a relaxed, personal style to explain them. Suitable for use with any casebook, this text will help students recognize and understand common themes and will precipitate understanding of the topics under discussion. Written by Stephen J. Choi and A.C. Pritchard, two well-regarded young securities regulation scholars in the country today, this outstanding resource: Begins with an introduction to the role of information in the decision making processes of investors, then takes up various topics in securities regulation using the framework developed in the first part of the text; Examines the underlying business problems facing issuers and investors in securities regulation; Takes a problem-and-solution approach that allows the professor to ask whether the solution currently provided by the law is the best solution and what alternatives should be considered. Students will find the nuts-and-bolts approach of Securities Regulation: The Essentials reassuring and illuminating. Used alongside a Securities Regulation casebook, this new volume will deepen students' comprehension on this subject.