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"
References in periodicals archive ?
This text details the basics of securities law, with explanations of terms and concepts.
has announced an initiative to create the Prometheum Network, an Initial Coin Offering blockchain securities infrastructure for the issuance, trading, settling and clearance of tokenized securities (ICO Tokens), planned from the ground up to be Federal Securities Law compliant, the company said.
Since the general rule is that all bank accounts-in pesos or foreign currencies-are confidential, Herbosa lamented that the SEC could not effectively and expeditiously conduct investigations of securities law violations.
The new law represents an attempt to harmonize New Hampshire securities law with the securities law of various other states and to eliminate disincentives for companies to operate in the Granite State.
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.
The enactment of the Sarbanes-Oxley Act of 2002 (SOA) enabled the establishment of a public oversight board for (1) audits of public companies subject to securities law and (2) related matters to protect the interest of investors and the public in general.
For proof, you need look no further than Congress's enactment earlier this year to the Sarbanes-Oxley Act of 2002, which was intended to enhance corporate responsibility (through new corporate governance and disclosure obligations), to increase auditor independence and establish greater oversight of the audit process for public companies, and to toughen the penalties for securities law fraud and other violations.
"One of the hottest issues in securities right now is the use of finders and placement agents, and the extent to which they need to be registered under state and federal securities law," says Salt Lake City securities lawyer Todd Leishman.
Users will also have access to LexisNexis case summaries in the areas of securities law, corporate law, and finance.
International Securities Regulation Report and Russia and Commonwealth Business Law Report from LRP Publications to BNA International, to be merged, respectively, with World Securities Law Report and BNA's Eastern Europe Reporter.
This insider trading violates the securities law prohibition against using deceptive devices in connection with the purchase or sale of a security because there is a relationship of trust and confidence between the insider and the investors in the corporation.
In its attempts to promote the formation of risk retention groups, Congress eliminated regulatory obstacles by granting these groups broad exemptions from many state insurance regulations and certain state and federal securities law requirements.
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