Securities
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» Texas Titles
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Texas litigation guide
Latest received: Release 154, June 2024. M. Bender. 1977-.
This comprehensive set explains the law and procedure in a given area and then provides drafting guides to prepare the forms. The set is divided into 10 different units: Pretrial Practice, Trial Practice, Appellate Practice, Pleadings in Business Entity Litigation, Pleadings in Commercial Litigation, Pleadings in Real Estate Litigation, Pleadings in Personal Injury Litigation, Family Code Litigation, Probate Code Litigation, and Administrative Proceedings. Chapters are divided into four parts: legal background on a topic, a drafting guide, forms, and a research guide.
Note: This item is also available electronically, but electronic access is restricted to government employees only.
Table of contents: https://catalog.sll.texas.gov/cgi-bin/koha/opac-retrieve-file.pl?id=a324b58063bb962b664136755c016499
KFT 170 D6
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Texas transaction guide, legal forms
Latest received: Release 143, October 2024. By Kendrick, Herbert S. M. Bender. 1972-.
"From business and commercial dealings to personal and real estate transactions, Texas Transaction Guide: Legal Forms contains all the information you need to successfully represent your client through any transactional process. Depend on step-by-step guidance, practice notes, research guides, legal backgrounds, practice guides and insightful commentary in your transaction law practice." - from the publisher
Note: This item is also available electronically, but electronic access is restricted to government employees only.
Table of contents: https://catalog.sll.texas.gov/cgi-bin/koha/opac-retrieve-file.pl?id=af917887530a232a3010463d7e3b84f5
KFT 170 K4
» Federal/General Titles
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The ABCs of the UCC : Article 9 : secured transactions
By Hakes, Russell A. ABA Business Law Section. Third edition. [2013].
"An introduction to the law governing security interests in personal property, this book explains the terminology, structure, and methodology of security interests governed by Article 9." - publisher's description
KF 1050 Z9 H355
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The ABCs of the UCC. Article 8, Investment securities
By Rocks, Sandra M. Section of Business Law, American Bar Association. c1997.
" This book is a primer to Article 8 of the UCC and is one of the books in The ABCs of the UCC series. It provides a guide to the current version of Article 8 of the Uniform Commercial Code (UCC), which governs the ownership and transfer of securities and, to a limited extent, other financial assets. This book also discusses the portions of UCC Article 9 that relate to security interests in these assets. Article 8 is concerned with the settlement of transactions in securities and with certain aspects of the relationships between issuers and investors, intermediaries and those for whom securities accounts are maintained, and sellers or pledgers and their purchasers. Other bodies of law complete the picture. Further resources on Article 9 and on the UCC as a whole (as well as on Article 8 itself) are listed in the bibliography of this book." - from the publisher
KF1070 Z95 R62
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The ... annual National Institute on Securities Fraud : A publication of the American Bar Association Criminal Justice Section, Section of Business Law, and the Center for Continuing Legal EducationAmerican Bar Association Center for Continuing Legal Education.
KF 9369 A953
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Bromberg and Lowenfels on securities fraud & commodities fraud
Latest received: Release 8, Nov. 2007. By Bromberg, Alan R. Thomson/West. Second edition. [1967]-.
"Bromberg and Lowenfels on Securities Fraud is your key to working effectively with Rule 10b-5 and other antifraud provisions. It combines scholarly analysis with practical suggestions for handling investigations, enforcement actions, arbitrations, civil proceedings, and class actions. This classic treatise has been cited numerous times by the U.S. Supreme Court and hundreds of times by the lower federal courts, and is widely used by practicing lawyers." - from the publisher
KF 1070 B76
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Disclosures and remedies under the securities laws
By Jacobs, Arnold S. West Group. c2001-.
"Learn how to prevent fraud in securities transactions and address pending litigation. This treatise covers the six major types of fraud within Rule 10b-5. Discusses the practical application of the rule, offers litigation insights, and analyzes relevant related statutes and case law." - from the publisher
KF 9369 J32
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Exempted transactions under the Securities Act of 1933
By Hicks, J. William. Thomson/West. Second edition.
"The expert analysis in Exempted Transactions Under the Securities Act of 1933 explains how to obtain maximum benefit from transactional exemptions and provides guidance to issuers, affiliates, underwriters, and broker-dealers. Featuring detailed treatment of all statutory and regulatory foundations of the exemptions, this work discusses: • How each exemption is used and interpreted • How exemption provisions or rules compare with other exemptions • How exemptions comport with disclosure philosophy underlying the Securities Act" - from the publisher
KF 1439 H5
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Fundamentals of securities regulation
Latest received: 2016 Supplement. By Loss, Louis. Wolters Kluwer Law & Business. Sixth edition. c2011.
This title is a concise treatise that addresses a wide array of topics concerning securities law. It covers the background of the SEC statutes and looks at federal regulation of the distribution of securities. Among the topics covered are registration , regulation of securities markets, fraud, manipulation, and government litigation.
KF 1439 L6F
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Handbook for the conduct of shareholders' meetings
American Bar Association. Second edition. c2010.
"...focuses on the process, structure, and discipline of corporate governance. A CD-ROM is included of the entire volume, searchable by word or term for your convenience. Expansive and comprehensive appendices include useful sample forms, checklists, charts, and graphs." - from the publisher
KF 1450 H36
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Manual of corporate forms for securities practice
By Jacobs, Arnold S. West Group. [2002 ed.]. c2002-.
"Manual of Corporate Forms for Securities Practice provides the information and procedural guidance you need to successfully draft a wide range of securities and corporate legal documents. These forms guide you through compliance and due diligence matters and aid in establishing standard operating procedures. They also serve as the starting point for preparing representations, employment contracts, stockholders' agreements, and escrow agreements. With these practice-tested forms, you can instantly zero in on a time-saving form for the exact type of document you need to draft." - from the publisher
KF 1437 J32
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Modern securities transfers
By Guttman, Egon. West. Fourth edition. c2010-.
"This text is a convenient source of laws, regulations, and professional association rules governing the creation and operation of a securities transfer agent's office. Subjects covered include Revised UCC Article 8 and conforming amendments to UCC Articles 1 and 9, application of bona fide purchaser status to securities clearing firms, a review of market changes to which the transfer office must adjust, and ramifications of broker/dealer bankruptcy." - from the publisher
KF 1454 G88
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Opinion letters in securities matters : Text, clauses, law
By Jacobs, Arnold S. West Group. c2001-.
"Protect yourself against liability when delivering opinions at the closing of a securities transaction. This treatise helps you carefully structure and write opinions using a detailed examination of the definition, purpose, and content of opinions. It includes a detailed analysis of the 54 clauses most commonly found in securities related opinions. It also reviews the negotiation of opinions, the use of local or special counsel, "back-up" opinions, and peer review." - from the publisher
KF 1437 J33
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The practitioner's guide to securities arbitration
By Doss, Jason R. American Bar Association, Solo, Small Firm and General Practice Division. First edition. [2013], ©2013.
"Investors who have been victims of bad investment advice, or worse, financial fraud often do not understand how their money is invested, nor the risks associated with such investments. Surprisingly, only a small percentage of cases are filed against the securities industry even though investment abuses are rampant. Securities Arbitration provides a comprehensive discussion of practices and procedures with a particular emphasis on techniques to identify, evaluate, and pursue legal claims brought by investors against securities brokerage firms, and on the defenses thereto. Learn to articulate and accurately state how your client has been damaged as well as how to correctly measure damages as they apply to the situation." - From the publisher
KF 1070 D67
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The practitioner's guide to the Sarbanes-Oxley Act
American Bar Association, Section of Business Law. 2004.
Table of contents: http://www.loc.gov/catdir/toc/ecip0420/2004015928.html
KF 1446 A31 2002 P73
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The Sarbanes-Oxley deskbook
Latest received: Release 17, May 2008. By Bostelman, John T. Practising Law Institute. c2003-.
"The new Sarbanes-Oxley Deskbook is todays most comprehensive and current one-stop guide to the far-reaching public company governance, disclosure, and reporting reforms triggered by the Sarbanes-Oxley Act of 2002 and related SEC, NYSE, and NASD initiatives.Designed to help attorneys, directors, officers, accountants, auditors, and research analysts, The Sarbanes-Oxley Deskbook offers you a uniquely clear understanding of these daunting new requirements and the procedures you must implement to ensure full, problem-free compliance. Covering strict CEO/CFO certification standards, expanded prohibitions on non-audit services, new bans on loans to insiders, new attorney up-the-ladder disclosure requirements, and other mandates, the Deskbook offers you:. Clause-by-clause analysis of the SOA and related rules - with expert commentary on how to proceed in the wake (or absence) of official guidance. Step-by-step direction on how to satisfy all new governance, disclosure, and reporting standard…
KF 1446 B67
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SEC executive compensation disclosure rules
By Borges, Mark. American Bar Association. 2008.
KF 1449 B67
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Securities : Public and private offerings
By Prifti, William M. Thomson/West. [2001] 2nd ed.
"This book is written for the attorney, the accountant, or the securities broker who is acting as an underwriter for an offering, or raising private or public funds for a company. The treatise contains an overview of the securities industry, describes the importance of the Letter of Intent, the role of the underwriter, including matters concerning underwriting arrangements considerations and Chinese Walls, Implementation of the safe harbor provisions of Regulation D and public resales under Rule 144 after a private offering, and the roles of the attorney, accountant, and underwriter in securities transactions." - from the publisher
KF 1439 P73
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Securities and federal corporate law
By Bloomenthal, Harold S. Thomson/West. 2nd ed., [2001 ed.].
"This comprehensive treatise set gives you access to every aspect of securities law and regulation. It complements primary reporter services and online databases, and includes cites to Westlaw®, CCH services, CFR, USCA®, and relevant primary law. This edition has been reorganized to integrate recent developments, discussing topics such as the Dodd-Frank Wall Street Reform and Consumer Protection Act; the impact of the financial crisis on executive compensation; corporate governance and reporting obligations; the Sarbanes-Oxley Act, PCAOB, and corporate governance; the public offering process; Rule 144A and private placements; registration and reporting under the Exchange Act; proxy regulation; tender offers; the Private Securities Litigation Reform Act; and more." - from the publisher
KF 1439 B54
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Securities counseling for small and emerging companies
By Cohn, Stuart R. Thomson-West. 2006-.
"Discussing compliance with federal and state laws regulating secondary offerings, Securities Counseling for Small and Emerging Companies contains all the planning tools needed to effectively advise smaller and emerging companies on primary, public, and private securities offerings. The text focuses on planning exemptions available under state and federal law to avoid the high costs and delays of registered public offerings. " - from the publisher
KF 1659 C63
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Securities disclosure in plain English
By Garner, Bryan A. CCH Inc. c1999.
" Securities Disclosure in Plain English tells you everything you need to know about complying with the SEC’s plain-English rule. In clear, readable language that illustrates the approach it explains, the book liberates readers from the old-style drafting conventions that make most disclosure documents so mind-numbingly legalistic. The book is filled with before-and-after examples showing how to implement plain-English principles. At the end of the book, those principles are fully illustrated in model documents contributed by major law firms." - from the publisher
KF 1449 G37
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The securities enforcement manual : Tactics and strategies
American Bar Association. Second edition. c2007.
This manual analyzes the tactics and strategies appropriate for the representation of clients faced with security enforcement threats. It covers the procedures and legal framework for securities inspections. It also looks at criminal enforcement, enforcement by self-regulatory organizations, blue sky enforcement, enforcement actions by the Securities Exchange Commission, and internal investigations.
KF 1439 S417
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Securities law and practice deskbook
Latest received: Release 24, September 2024. By Brown, Gary M. Practising Law Institute. Sixth edition. 2012-.
This concise reference provides a useful overview of current securities law and regulations. It covers major changes such as the Dodd-Frank bill and “proxy access” rules. Chapters feature handy checklists to assist the practitioner with providing securities advice to corporations.
KF 1439 S6
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Securities law techniques : Transactions, litigation
Latest received: Release 81, July 2013. M. Bender. 1985-.
This title contains contributions from leading practitioners in the field. They provide insight on securities registration, exemption requirements, public reporting, common transactions such as the specific tasks of counsel, corporate charges, and guidance for representing a client in securities litigation. The set includes checklists, sample forms, and timetables.
KF 1439 S42
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Securities regulation : Selected statutes, rules and forms
Latest received:2014. West Pub. Co. 1990-.
This book includes the full text of the basic federal securities laws. It also includes principal SEC rules and forms as well as related regulations. It is intended as a basic reference source for attorneys and corporate officers who deal with securities law.
KF 1439 S4
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Securities regulation forms
By Rice, Denis T. Thomson/West. [2001 ed.].
"Use this set to draft forms, memoranda, and agreements needed for public and nonpublic securities offerings and resales of restricted securities. It also provides a wealth of annotated sample forms and documents accompanied by expert commentary." - from the publisher
KF 1437 R53
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Securities regulation in a nutshell
By Hazen, Thomas Lee. West. Tenth edition. c2009.
This title provides information on the fundamental content and organization of securities law. The author includes references to statutes, SEC rules and leading cases. It is designed to answer basic questions about security law and includes information about regulations, sanctions, and civil liabilities.
Note: A newer edition of this title is available electronically.
KF 1439 R3
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Soderquist on the securities laws
Latest received: Release 12, April 2012. By Brown, Gary M. Practising Law Institute. Fifth edition. c2006-.
Now in the 5th edition, this treatise looks at the Securities Act, SEC rules, and the changes brought from the Sarbanes-Oxley Act. It features checklists to aid practitioners regarding securities. It looks at the regulatory frame work of securities registration, exemptions, liabilities for violations, reporting, and fraud.
KF 1439 S6
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Statutory stock options
Latest received: 2013 Update. By Reicher, Thomas Z. Tax Management Inc. c2011-.
"... details the structure of, and the tax rules regarding, incentive stock options and employee stock purchase plans. Both types of plans provide for the deferral of the recognition of taxable income upon receipt of stock pursuant to these plans; however, there are restrictions on how such plans may be designed." - from the publisher
KF 6289 A1 T35
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Treatise on the law of securities regulation
Latest received: Oct. 2017 Pocket parts. By Hazen, Thomas Lee. West. Seventh edition /. c2016.
This title looks at basic securities regulation issues and then goes into depth on a variety of topics including registration requirements, exemptions and liabilities under the Securities Act, reporting requirements, corporate takeovers, and civil liability. The set also includes several appendices including tables with cases, statutes, and regulations.
KF 1439 H36
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U.S. regulation of hedge funds
By Hammer, Douglas L. American Bar Association, Business Law Section. Second edition. [2013].
Hedge funds are defined as a professionally managed pool of assets used to invest and trade in a variety of financial instruments. U.S. regulation of this complex field has been compiled and summarized in this title. Discussions include: various securities, tax considerations, ERISA, and the commodities laws. Recommended for attorneys practicing in the financial sector.
KF 1078 U14
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Understanding securities law
By Steinberg, Marc I. Lexis Pub. Third edition. c2001.
"This Understanding treatise follows a logical sequence of analysis of a securities issue. The author begins by defining a security and registration exemptions, and then continues through the process for non-exempt transactions. Understanding Securities Law clearly, thoroughly, and concisely addresses the subjects covered in basic Securities Regulation courses, including: • The definition of securities exemptions from registration; • the registration framework and process; • Sarbanes-Oxley Act; • SEC Securities Act Offering Rules; • Resales and reorganizations; • Due diligence; • Liabilities and remedies; • Affirmative disclosure duties; • Insider trading; • SEC enforcement; and • Professional responsibility." - from the publisher
KF 1440 S74