Securities

Intellectually satisfying and very teachable, Securities Regulation: Cases and Materials, Sixth Edition uses well-crafted and interesting problem exercises to engage students in the theory and applications of securities regulation.

The strengths of this casebook continue to be:

• a balance of practice and doctrine from leading authorities
• a highly flexible organizational structure that adapts to a variety of teaching approaches
• a wealth of interesting problems that present opportunities for students to apply legal concepts and reinforce their understanding
• smart, straightforward writing style
• timely supplementation by the authors' own Annual Statutory Supplement and Case Supplement
• outstanding coverage of the 1933 and 1934 Acts

Updated throughout, the revised Sixth Edition offers coverage of:

• recent cases on pleading securities fraud following the Supreme Court’s decision in Tellabs
• the D.C. Circuit’s rebuffs to the SEC in their regulation of broker-dealers, investment advisers, and mutual funds
• electronic voting and new forms of shareholder communication in proxy regulation
• full integration of the substantial SEC rule changes that affect resales of securities
• significant developments in SEC internal procedures related to enforcement actions
• expanding regulation of the municipal securities markets
• substantial compliance with Reg. D
• unincorporated associations as securities

Authored by respected leaders who understand the importance of balancing practice and doctrine, this casebook's clear writing and modular chapters that make for an excellent classroom experience.

Informal and student-friendly, Securities Regulation combines clear introductions with examples and explanations that test students' understanding of concepts and give them practice applying the law to fact patterns;many drawn from current events. Classroom-tested over five editions, this popular study guide explains the basics of securities regulation and then proceeds in more detail on specific topics.

In the Fifth Edition, new examples are drawn from news stories such as the Bernie Madoff Ponzi scheme and the subprime mortgage crisis. This revision also addresses financial reform legislation and recent Supreme Court rulings concerning the statute of limitations, the liability of secondary actors, and jurisdiction over foreign fraud.

Securities Regulation: Examples & Explanations features:

• basic coverage of the full range of securities regulation topics
• examples drawn from current events, such as public offerings by Google, the roles of lawyers and accountants in Enron, and fraud litigation involving mortgage-backed derivatives
• the proven-effective Examples & Explanations series pedagogy

Updated throughout, the Fifth Edition provides:

• recent Supreme Court cases
• Merck & Co. v. Reynolds, on statute of limitations
• Stoneridge v. Scientific-Atlanta, on liability of secondary actors
• Morrison v. National Australia Bank, on jurisdiction over foreign fraud
• an overview of new securities reforms
• credit rating agency regulation and liability
• pay clawbacks after financial restatements
• regulation of hedge funds and private equity funds
• expanded ESEC enforcement powers
• additional charts and diagrams that summarize the Dodd-Frank law, 10b-5 procedures, and foreign jurisdiction cases
• new and updated examples and explanations based on the Madoff scheme, fraud in selling mortgage-backed securities, and liability for inaccurate credit ratings

This title will help you acquire an understanding of the basic content and organization of federal and state securities law. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, securities businesses, and investment companies. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Securities and Exchange Commission's 1933 Act offering reform, the new Financial Industry Regulatory Authority, credit rating agencies, and changes to the New York Stock Exchange specialist system.

Bringing transparency to the Uniform Commercial Code Article 9, one of the most difficult and technical components of commercial law, James Brook uses straightforward introductions and the proven-effective Examples & Explanations pedagogy to provide a clear and complete overview of Secured Transactions.

• proven-effective Examples & Explanations pedagogy, combining straightforward introductions with well-written examples and explanations that apply concepts, reinforce learning, and test understanding of material covered
• clear and approachable explanatory text that is informal, yet informative
• a solid introduction to the basic law in the field covering the rules and policies of the law governing secured transactions as well as the broader issues of legal process
• usable with both the original and revised versions of Article 9 providing parallel citations to both
• a logical organization that follows the general sequence of topics as they are taught in Secured Transaction courses
• helpful diagrams and visual aids that illustrate and simplify the intricate provisions of Article 9

Updated throughout and with many new examples, the Fourth Edition features:

• important new cases and developments in secured transactions, including recent cases addressing the question of the correct name to use in filing a UCC1 financing statement
• new and updated examples

Edition after edition, James Brook has been the trusted authority your students can rely on to present a clear and current picture of the entire Secured Transactions landscape.

Fully updated to reflect the Dodd Frank Wall Street Reform and Consumer Protection Act

Since the first edition of Security and Loss Prevention was published in 1983, much has changed in security and loss prevention considerations. In the past five years alone, security awareness and the need for added business continuity and preparedness considerations has been uniquely highlighted given events such as Katrina, 9/11, the formation of the Department of Homeland Security, and the increase in world terrorist events.
This edition of Security and Loss Prevention is fully updated and encompasses the breadth and depth of considerations involved in implementing general loss prevention concepts and security programs within an organization. The book provides proven strategies to prevent and reduce incidents of loss due to legal issues, theft and other crimes, fire, accidental or intentional harm from employees, as well as the many ramifications of corporate mismanagement. The new edition contains a brand new terrorism chapter, along with coverage on background investigations, protection of sensitive information, internal threats, and considerations at select facilities (nuclear, DoD, government and federal).

Author Philip Purpura once again demonstrates why students and professionals alike rely on this best-selling text as a timely, reliable resource.

- Covers the latest professional security issues surrounding Homeland Security and risks presented by threats of terrorism
- Recommended reading for ASIS International's prestigious CPP Certification
- Cases provide real-world applications

Arbitration of overseas investment disputes is one of the fastest growing areas of international dispute resolution. The exponential growth of international investment in recent years has led to the signature of over two thousand Bilateral Investment Treaties (BITs) between foreign states, in addition to a wealth of multilateral treaties and other forms of concession agreements. Disputes that have arisen are often resolved through the forum of international arbitration, and typically involve claims by an investor company for compensation when an investment has been illegally expropriated or adversely affected by the state's activities.

The legal principles that have developed in this area are subject to intense debate, and are still in a state of flux. While tribunals routinely state that they are applying principles of public international law to determine disputes, many of the principles applied have only been developed recently in the context of investment treaty arbitrations, and tribunals are often guided more by the approaches taken by other tribunals, than by pre-existing doctrines of public international law. However, the volume of law created, applied and analyzed by tribunals is such that it is now possible to begin the necessary process of codification. International Investment Arbitration: Substantive Principles is an important step in this process. The book provides a detailed analytical survey of the developing substantive principles which are being applied to disputes by international investment tribunals. It considers the key questions that arise, and provides a clear description of the present state of the law as reflected in tribunal practice. The book examines the main treaties, analyzes published investment awards, and provides in-depth coverage of where investment disputes come from; who is a foreign investor, including nationality issues and foreign control; what is an investment; investor's rights, including admission to territories and State treatment of investors; expropriation; compensation; dispute resolution; transfer, assignment and subrogation; and future trends.

As the volume of international investment arbitration grows, international law firms are increasingly having to acquire expertise in all aspects of this specialized and rapidly developing field. Written by a leading author team from Herbert Smith and Gibson, Dunn & Crutcher, and benefiting from the public and private international law experience of Professor Campbell McLachlan, this book is an essential reference work for international arbitration counsel, arbitrators, and academics.

This unique compendium offers an article-by-article commentary to the Convention on the Settlement of Investment Disputes between States and Nationals of Other States. Providing a comprehensive explanation of the functioning of this important mechanism for the settlement of investor-host State disputes, it incorporates the preparatory work, the Convention's text, various rules and regulations adopted under the Convention, the practice of arbitral tribunals under the Convention and academic writings on the subject. The first edition of this work has been relied upon by numerous arbitral tribunals. This second edition follows the same system and approach, but extensive updates reflect the vast increase in arbitral practice since the publication of the first edition. A number of novel issues that have emerged through this practice are now addressed, making this practice-oriented guide an indispensable tool for anyone dealing with the ICSID Convention.