Securities RegulationThis casebook presents securities regulation in a comprehensive & understandable, yet intellectually challenging manner, & combines both the theoretical & practical aspects of this subject. In addition to case law, the text includes other relevant material such as SEC releases & scholarly commentary. Numerous problems throughout the book provide upper-level students the opportunity to practice lawyering skills. Teachers Manual Annual Supplement |
From inside the book
Results 1-3 of 32
Page 3-10
ISSUER STATUS Section 3-11 ( continued ) ( B ) ( C ) ( D ) A principal or officer engaged in management of the defaulted issuer , but not specifically identified in paragraph ( A ) , is not permitted to represent a Ginnie Mae issuer or ...
ISSUER STATUS Section 3-11 ( continued ) ( B ) ( C ) ( D ) A principal or officer engaged in management of the defaulted issuer , but not specifically identified in paragraph ( A ) , is not permitted to represent a Ginnie Mae issuer or ...
Page 12-11
... issuer has more than 15 percent of the pools it has issued over the previous months ( including pools issued by another issuer and acquired in a transfer of issuer responsibility ) past due for final certification ( i.e. pools not ...
... issuer has more than 15 percent of the pools it has issued over the previous months ( including pools issued by another issuer and acquired in a transfer of issuer responsibility ) past due for final certification ( i.e. pools not ...
Page 49
... issuer's absence of comment about certain events.238 In other words, as the amount of disclosure from issuers trading in efficient markets does not affect the proposition that the issuer's share price will be unbi- ased, issuer ...
... issuer's absence of comment about certain events.238 In other words, as the amount of disclosure from issuers trading in efficient markets does not affect the proposition that the issuer's share price will be unbi- ased, issuer ...
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$5 million accredited investors adopted affiliate amendments analysts believe Biddle & Reath broker Cascade Cascade's Central Bank claim commenters communications company's complaint Conston corporate defendants directors disclosure document disclosure requirements district court Drinker Biddle duty to disclose employees Exchange Commission exchange offers exemption federal securities laws fiduciary duty filed financial statements foreign private issuers Form 8-K forward-looking GY&S HTCC initial public offering insider trading investment decision issue liability material information material nonpublic information ment merger misleading misrepresentation misstatement omission period permit person plaintiffs press release private offering prospectus proxy statement PSLRA public disclosure public offering Puckett Qwest RB & H reasonable reckless registered offering registration statement Regulation FD road show Rule safe harbor Schwab scienter SEC proposes Section 11 Securities and Exchange Securities Exchange Act securities fraud selective disclosure stockholders Supreme Court tender offer tion transactions underwriter Wharf