securities law


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Noun1.securities law - the body of laws governing the issuance and selling of securities
law, jurisprudence - the collection of rules imposed by authority; "civilization presupposes respect for the law"; "the great problem for jurisprudence to allow freedom while enforcing order"
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Caption: GUNSTER, THOMSON REUTERS, AND THE FLORIDA BAR recently introduced an initiative encouraging minority law students to enter into securities law at the 29th Annual Federal Securities Law Institute in Miami.
James Cox, a securities law professor at Duke University, expressed nervousness at the prospect of another Supreme Court decision on insider trading law.
In what best can be termed an inconsistent ruling regarding accountants' liability under securities law, the U.
Which company compliance programs are critical to the securities law compliance strategy?
A company must act when there is credible evidence which would cause a prudent and competent attorney to reasonably believe that a material violation of federal or state securities law or breach of fiduciary duty or similar violation of any federal or state law has occurred, is occurring or is likely to occur, and is discovered by an attorney covered by the act, and this violation was by an issuer or agent of the issuer; and the violation is likely to result in substantial injury to the financial interests or property of the issuer of to investors.
Since the shell company is the survivor in the initial reverse merger process, under most states' corporate laws, the liabilities of the shell, including undisclosed and contingent liabilities (such as securities law violations), survive the merger.
In addition to the claims of securities law violations, plaintiffs claim violation of Section 20(a) of the Exchange Act as to controlling persons of the Company, violations of the Florida Securities Act, violations of the Indiana Securities Act, sales of unregistered, non-exempt securities, violation of anti-fraud provisions under Indiana law, deception under Indiana law, and fraud.
He has extensive experience in representing financial institutions, accounting firms, law firms, and a variety of other companies in federal and state commercial litigation, including in the fields of securities law, accountants liability, legal malpractice, corporate governance and antitrust law, among others.
New Delhi, Aug 5 ( ANI ): Securities Laws (Amendment) Bill 2014 was introduced in Lok Sabha yesterday.
The President was pleased to promulgate the Securities Laws (Amendment) Second Ordinance, 2013 (No.
Federal securities laws have changed in the past three years, most notably through passage of the Sarbanes-Oxley Act.
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