Federal Securities Laws 2017

Federal Securities Laws 2017 Author John Coffee, Jr.
ISBN-10 1683286839
Year 2017-02-17
Pages 2275
Language en
Publisher Foundation Press
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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. The authors also added coverage of Regulation A+ and Regulation Crowdfunding Rules. The revised edition contains changes to securities laws from the FAST Act, including a new resale exemption in section 4(a)(7) and changes to the rules regarding emerging growth companies. This edition has a cutoff date of October 15th, 2016.

Ohio Annotated Securities Law Handbook 2017 Edition

Ohio Annotated Securities Law Handbook  2017 Edition Author Howard M. Friedman
ISBN-10 9781522134930
Year 2017-04-21
Pages
Language en
Publisher LexisNexis
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The undisputed authoritative source on Ohio's blue sky laws, Ohio Annotated Securities Law Handbook combines the formal requirements and more informal aspects of Ohio securities practice, explaining all aspects of Ohio blue sky practice, from routine registration, exemption, and liability questions to more complex issues involving Ohio's merit requirements. Supplemented annually, it also covers specialized topics, such as Ohio broker-dealer licensing, tender offers, and enforcement issues. Containing materials previously difficult or impossible to obtain, this set provides the full text and discussion of substantial primary source material, including: • Relevant Ohio statutes and rules • Ohio Division of Securities Statements of Policy • Selected federal laws and regulations • Complete official forms • NASAA guidelines and interpretations The handbook volume is a complete source for all relevant Ohio and federal statutes and rules important to the practice of Ohio securities law including selections from Page's Ohio Revised Code Annotated, Legislative Service Commission Bill analyses, Ohio Division of Securities regulations, Ohio Department of Insurance regulations and federal securities laws and regulations.

Securities Regulation Selected Statutes Rules and Forms 2017

Securities Regulation  Selected Statutes  Rules and Forms 2017 Author Thomas Hazen
ISBN-10 1634607600
Year 2016-11-21
Pages 1939
Language en
Publisher West Academic Publishing
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Selections in the book include the text of basic federal securities laws, related Securities and Exchange Commission (SEC) rules and forms, and other selected related laws and regulations. It is designed as a supplement to securities regulation texts used in law school courses, but it can also serve as a reference for lawyers, securities professionals, and corporate officers. The booklet contains changes made through November 2016.

Wiley FINRA Series 63 Exam Review 2017

Wiley FINRA Series 63 Exam Review 2017 Author Wiley
ISBN-10 9781119379843
Year 2017-03-06
Pages 216
Language en
Publisher John Wiley & Sons
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The go-to guide to acing the Series 63 Exam! Passing The Uniform Securities State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business within the state. Created by the experts at The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2017 arms you with everything you need to pass this challenging 60-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 63 Exam Review 2017 is your ticket to passing the Series 63 test on the first try—with flying colors! Visit www.efficientlearning.com/finra for more information. The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year. Our securities training options include: Onsite classes Private tutoring Classroom training Interactive online video training classes State-of-the-art exam preparation software Printed textbooks Real-time tracking and reporting for managers and training directors As a result, you can choose a securities training solution that matches your skill level, learning style, and schedule. Regardless of the format you choose, you can be sure that our securities training courses are relevant, tested, and designed to help you succeed. It is the experience of our instructors and the quality of our materials that make our courses requested by name at some of the largest financial services firms in the world. To contact The Securities Institute of America, visit us on the web at www.SecuritiesCE.com or call 877-218-1776.

Wiley CIAexcel Exam Review 2017 Part 3

Wiley CIAexcel Exam Review 2017  Part 3 Author S. Rao Vallabhaneni
ISBN-10 9781119439219
Year 2017-07-17
Pages 1104
Language en
Publisher John Wiley & Sons
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Master internal audit knowledge elements for the CIA exam "Wiley CIAexcel Exam Review 2015: Part 3, Internal Audit Knowledge Elements" is a comprehensive yet approachable reference that prepares you for the third part of the Certified Internal Auditor (CIA) examination. Brimming with essential concepts and practice test questions, this test prep resource is the most comprehensive of its kind on the market. With each page you will explore key subject areas, including business processes, financial accounting and finance, managerial accounting, regulatory, legal, and economics, and information technology. All of these subject areas are expertly tied to the topic of internal audit knowledge elements, and all ideas--both fundamental and complex--are presented in an easy-to-read yet thorough manner. Holding the designation of CIA will take your career to the next level, as passing the CIA exam speaks volumes about your professional skills and expertise. Leveraging the right study materials when preparing for the CIA exam is critical, as the topics that may be covered on the test are many in number. This resource presents these topics from a student's perspective, providing the details you need to master challenging concepts and practices. Access comprehensive preparation materials for the third part of the CIA exam Explore essential internal audit knowledge elements, including key concepts and practices Answer hundreds of practice test questions to gauge your progress and focus your study sessions Improve your proficiency, understanding, and awareness of key concepts tested by the CIA examination "Wiley CIAexcel Exam Review 2015: Part 3, Internal Audit Knowledge Elements" is an invaluable resource for internal auditors, chief audit executives, audit managers, and staff members who are pursuing the CIA designation.

Loring and Rounds A Trustee s Handbook 2017 Edition IL

Loring and Rounds  A Trustee s Handbook  2017 Edition  IL Author Rounds
ISBN-10 9781454871583
Year 2016-12-19
Pages 1896
Language en
Publisher Wolters Kluwer Law & Business
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Loring and Rounds: A Trustee's Handbook--well over 1,550 pages-- is regarded not only as authoritative but also as the most convenient, reliable, and complete single-volume source for trust doctrine. Get in-depth information on how to stay on top of the developments in this complex field of practice. The Handbook carries on the tradition of concise, practical, and up-to-date guidance for trustees, a tradition that began in 1898 with the First Edition. This classic trust reference distills the essence of trust law, illuminating the fundamental principles and answering the basic questions. Loring and Rounds: A Trustee's Handbook, 2017 Edition is up to date and includes eleven chapters of important information, such as chapters on: The Property Requirement The Trustee's Office Interests Remaining with the Settlor The Beneficiary The Trustee's Duties The Trustee's Liabilities Miscellaneous Topics of General Interest to the Trustee Special Types of Trusts The Income Taxation of Trusts Tax Basis/Cost of Trust Property

Examples Explanations for Securities Regulation

Examples   Explanations for Securities Regulation Author Alan R. Palmiter
ISBN-10 9781454888673
Year 2017-04-28
Pages 656
Language en
Publisher Wolters Kluwer Law & Business
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A favorite classroom prep tool of successful students that is often recommended by professors, the Examples & Explanations (E&E) series provides an alternative perspective to help you understand your casebook and in-class lectures. Each E&E offers hypothetical questions complemented by detailed explanations that allow you to test your knowledge of the topics in your courses and compare your own analysis. Here’s why you need an E&E to help you study throughout the semester: Clear explanations of each class topic, in a conversational, funny style. Features hypotheticals similar to those presented in class, with corresponding analysis so you can use them during the semester to test your understanding, and again at exam time to help you review. It offers coverage that works with ALL the major casebooks, and suits any class on a given topic. The Examples & Explanations series has been ranked the most popular study aid among law students because it is equally as helpful from the first day of class through the final exam.

Start Up Emerging Companies

Start Up   Emerging Companies Author Richard D. Harroch
ISBN-10 1588520315
Year 2015-05-28
Pages 1500
Language en
Publisher Law Journal Press
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Start-Up & Emerging Companies: Planning, Financing & Operating the Successful Business brings you the legal and business savvy of leading experts, investment banking and venture capital firms."

Principles of Securities Regulation 3d Concise Hornbook Series

Principles of Securities Regulation  3d  Concise Hornbook Series Author Thomas Hazen
ISBN-10 9781628107272
Year 2009-09-28
Pages 479
Language en
Publisher West Academic
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Hazen's Principles of Securities Regulation provides authoritative coverage of the most recent developments in securities regulation in an accessible format. Topics include: The registration process Exemptions Corporate recapitalizations, reorganizations, and mergers Market manipulation Liabilities Securities Exchange Act of 1934 Jurisdictional aspects Broker-dealer regulation and the new Financial Industry Regulatory Authority Regulation of investment companies

Rico

Rico Author Jed S. Rakoff
ISBN-10 158852048X
Year 2015-07-28
Pages 700
Language en
Publisher Law Journal Press
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RICO: Civil and Criminal Law and Strategy provides a fundamental grounding in substantive RICO law and focuses on strategic and tactical considerations of RICO practice.