U S Regulation of the International Securities and Derivatives Markets 12th Edition

... agent) will perform specified requirements of the broker-dealer's CIP.461 [e] Customer Due Diligence In May 2016, ... regulatory expectations regarding customer due diligence and introducing a new requirement for broker-dealers to ...


Author: Greene et al.

Publisher: Wolters Kluwer

ISBN: 9781454887386

Category: Banks and banking, Foreign


View: 268

Tennessee Corporations Partnerships and Associations Law Annotated 2016 Edition

... or (C) An investment adviser representative; (3) The commissioner may not enter an order solely on the basis of ... may be written or oral or both, to be taken by any class of or all applicants for registration as a brokerdealer or ...


Author: Publisher's Editorial Staff

Publisher: LexisNexis

ISBN: 9781522117940

Category: Law


View: 988

Tennessee Corporations, Partnerships and Associations Law Annotated is a single-volume reference of relevant statutes from the Tennessee Code Annotated pertaining to the law of corporations, partnerships, and associations. The book includes comprehensive annotations prepared by LexisNexis' experienced staff of lawyer-editors, to help you interpret the statutes. Also featuring handy cross-references and other research aids, this book lets you find more of what you need for less.

Broker Dealer Law and Regulation 5th Edition

May 4, 2017) (former brokers not registered any longer with a broker-dealer improperly sell securities); In re ... 78,147 (June 23, 2016) (broker-dealer impermissibly allows investment adviser to act an unregistered broker with the firm ...


Author: Poser, Fanto, Gross

Publisher: Wolters Kluwer Law & Business

ISBN: 9781543804966

Category: Stockbrokers


View: 874

Research Handbook on Asian Financial Law

... created a ground-breaking exemption for equity crowdfunding (in effect 'overturning 80-year old securities laws and decades ... the regulatory framework for ECF as Regulation Crowdfunding (Reg CF), which was effective on May 2016.


Author: Douglas W. Arner

Publisher: Edward Elgar Publishing

ISBN: 9781788972208

Category: Law

Page: 608

View: 838

This comprehensive Research Handbook provides an in-depth analysis of the different financial law approaches, legal systems and trends throughout Asia. It considers how reforms following the crises have been critical for the development and growth of the region and explores a broad range of post-crisis financial regulatory issues. This timely book also examines how inconsistent and divergent approaches to financial market regulation are curtailing the region’s potential.

Securities Practice Guide

The rule, adopted by the SEC in March 2015 known as Regulation A+, essentially allows for “mini-IPOs” with a scaled down ... securitiesbased “crowdfunding”, as directed by the JOBS Act. The rules, which became effective in May 2016, ...


Author: D. Mark McMillan

Publisher: LexisNexis

ISBN: 9781522177197

Category: Law


View: 917

Securities Practice Guide dissects important securities tasks, providing you a step-by-step outline with an analytical overview, checklists, expert practice tips, cross-references to complementary analytical products. This step-by-step guide to securities transactions is written by attorneys at K&L Gates. They share their knowledge, practice tips and deep understanding of securities ins-and-outs in this task based practice guide.

Business Planning

Beginning in May 2016, new Section 4(a)(6) of the 1933 Act and the SEC's crowdfunding rules, known as Regulation CF, enabled equity crowdfunding. Equity crowdfunding permits startups and other businesses to issue securities to ...


Author: Therese H. Maynard

Publisher: Wolters Kluwer Law & Business

ISBN: 9781543847499

Category: Law

Page: 962

View: 164

Business Planning: Financing the Start-Up Business and Venture Capital Financing by Therese H. Maynard and Shannon Treviño uses an innovative simulated deal format that is drawn from the “deal-files” of real world practicing lawyers. It integrates the teaching of transactional lawyering skills with the presentation of new substantive law that is critical to the success of a junior corporate lawyer practicing in a transactional setting New to the Fourth Edition: Updates to Chapter 1 to reflect developments in the law and the entrepreneurial landscape. Updates to Chapter 2 to reflect the impact of certain aspects of tax reform on choice-of-entity decisions. A thoroughly revised Chapter 4 regarding federal securities laws, incorporating numerous regulatory changes that have been adopted or become effective since the publication of the third edition. Additions and updates to Chapters 8 and 9 to reflect developments in the venture capital industry and in the public capital markets, including direct listings and SPAC transactions. Updates to several of the chapters to reflect legal developments, including changes in California and Delaware corporate law, and intellectual property and equity compensation laws. The introduction of new secondary sources on topics ranging from practical business lawyering skills to SPACs to public benefit corporations. Professors and students will benefit from: Integrated teaching of transactional lawyering skills with the presentation of substantive law that is critical to the success of a junior corporate lawyer practicing in a transactional setting Instructions on how to analyze both the legal issues and the business considerations that must be taken into account in planning the structure and negotiating the terms of a capital raising transaction for an early-stage company that allows junior lawyers to hit the ground running A simulated deal format that provides a real-world appreciation for the “life cycle of a deal” Student evaluation based on graded memo assignments representative of the work tasks expected of a junior corporate lawyer practicing in a transactional setting Prepared graded memo assignments that relate directly to the substantive material in the casebook reading assignments

Crowdfunding Opportunities and Challenges

Intermediaries must also comply with applicable state broker-dealer laws for all types of offerings, ... The SEC indicated in its Final Crowdfunding Release that it expects over 100 Title III platforms will begin operating in May 2016 ...


Author: Jim Verdonik

Publisher: Lulu.com

ISBN: 9781483442808



View: 865

Handbook of Research on International Consumer Law Second Edition

Soderquist, L.D. and Gabaldon, T.A., Securities Regulation (Foundation Press 4th ed, 1999). ... United States Department of the Treasury, 'Opportunities and Challenges in Online Marketplace Lending' (10 May 2016), available at: ...


Author: Geraint Howells

Publisher: Edward Elgar Publishing

ISBN: 9781785368219

Category: Law

Page: 528

View: 541

Consumer law and policy continues to be of great concern to both national and international regulatory bodies, and the second edition of the Handbook of Research on International Consumer Law provides an updated international and comparative analysis of the central legal and policy issues, in both developed and developing economies.

The Oxford Handbook of the Canadian Constitution

to produce records to assist “in the administration of securities lawin another jurisdiction (in this case, the Securities ... 91 'About' (Cooperative Capital Markets Regulatory System) http://ccmrocrmc.ca/about/accessed 10 May 2016.


Author: Peter Oliver

Publisher: Oxford University Press

ISBN: 9780190664831

Category: Law

Page: 1088

View: 762

The Oxford Handbook of the Canadian Constitution provides an ideal first stop for Canadians and non-Canadians seeking a clear, concise, and authoritative account of Canadian constitutional law. The Handbook is divided into six parts: Constitutional History, Institutions and Constitutional Change, Aboriginal Peoples and the Canadian Constitution, Federalism, Rights and Freedoms, and Constitutional Theory. Readers of this Handbook will discover some of the distinctive features of the Canadian constitution: for example, the importance of Indigenous peoples and legal systems, the long-standing presence of a French-speaking population, French civil law and Quebec, the British constitutional heritage, the choice of federalism, as well as the newer features, most notably the Canadian Charter of Rights and Freedoms, Section Thirty-Five regarding Aboriginal rights and treaties, and the procedures for constitutional amendment. The Handbook provides a remarkable resource for comparativists at a time when the Canadian constitution is a frequent topic of constitutional commentary. The Handbook offers a vital account of constitutional challenges and opportunities at the time of the 150th anniversary of Confederation.

The Law of Financial Institutions

In May 2016, the CFPB issued a proposed rule that effectively bars financial institutions from imposing mandatory ... 4. The Financial Services Regulatory Authority (FINRA) already prohibits the arbitration of class claims against ...


Author: Richard Scott Carnell

Publisher: Wolters Kluwer Law & Business

ISBN: 9781454888727

Category: Law

Page: 964

View: 833

The Law of Financial Institutions, Sixth Edition provides the foundation for a successful course on the law of traditional commercial banks. The book’s clear writing, careful editing, concise explanations, and provocative questions make a difficult field of law lively and interesting.