Relevant bibliographies by topics / Privately placed securities

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  1. Journal articles
  2. Dissertations / Theses
  3. Books
  4. Book chapters
  5. Conference papers
  6. Reports

Academic literature on the topic 'Privately placed securities'

Author: Grafiati
Published: 4 June 2021
Last updated: 31 July 2024

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Journal articles on the topic "Privately placed securities"

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Ford Jacob, Valerie, Daniel J. Bursky, Stuart H. Gelfond, Michael A. Levitt, Paul D. Tropp, and Vasiliki B. Tsaganos. "SEC shortens Rule 144 holding periods and loosens restrictions on resales of privately placed securities." Journal of Investment Compliance 9, no. 2 (June 13, 2008): 45–49. http://dx.doi.org/10.1108/15285810810886180.

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Modeccai Mbhele, Nkosingiphile, Mandlenkosi Richard Mphatheni, Ntsika Edward Mlamla, and Shanta Balgobind Singh. "The Impact of the Private Security Industry Regulation Act and other Legislative Frameworks on Private Securities Operating in Drinking Establishments in South Africa." International Journal of Criminology and Sociology 9 (April 5, 2022): 1811–21. http://dx.doi.org/10.6000/1929-4409.2020.09.207.

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This paper seeks to explore the legislation and regulatory frameworks that guides the functionality and operation of private securities placed in drinking establishments in South Africa. Prior research has indicated lack of clarity regarding private security personnel regulation in drinking establishments, otherwise known as bouncers. For instance, the Private Security Industry Regulatory Authority (PSIRA) is the current regulatory structure which is mandated to monitor and regulate all the private security industries in South Africa. Private security players in South Africa are obligated to c
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Pershkow, Amy Ward, and Adam D. Kanter. "US Securities and Exchange Commission settles administrative action against fund manager concerning use of fund assets to pay management company expenses." Journal of Investment Compliance 16, no. 4 (November 2, 2015): 55–58. http://dx.doi.org/10.1108/joic-08-2015-0050.

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Purpose – To explain a recently settled administrative proceeding that the US Securities and Exchange Commission (SEC) brought against a private fund manager in connection with the use of fund assets to pay for the manager’s operating expenses. Design/methodology/approach – Explains the major takeaways from the settled case, and places them in the context of prior administrative proceedings and public statements from SEC staff. Findings – This case is the latest example of the SEC taking action against a private fund manager related to the improper deduction or allocation of expenses, and rela
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MacNeil, Iain, and Alex Lau. "International Corporate Regulation: Listing Rules and Overseas Companies." International and Comparative Law Quarterly 50, no. 4 (October 2001): 787–810. http://dx.doi.org/10.1093/iclq/50.4.787.

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Listing rules have always played a significant role in corporate regulation by controlling the manner in which companies raise capital through the issue of securities and the subsequent trading of those securities between investors. The regulatory role of listing rules can be characterised as the top-tier in a system of regulation for listed companies in which the lower tiers are represented by securities law and general corporate law. Company law represents the bottom tier of regulation as it applies to all companies, albeit with some distinctions made between public and private companies. Wh
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Hornkohl, Lena. "Article: Public Compensation for Private Harm: Fair Funds for Consumer Competition Law Redress." World Competition 47, Issue 1 (February 1, 2024): 89–108. http://dx.doi.org/10.54648/woco2024005.

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This paper discusses the use of the concept of Fair Funds for consumer competition law enforcement from an EU perspective. With such Fair Funds, the US Securities and Exchange Commission distributes collected fines and disgorged profits to compensate victims of securities law violations. The paper explains the use of Fair Funds in US law, highlights similarities, and adapts the concept for use in European competition law enforcement. It places an emphasis on the usefulness of such a concept against the role of consumers, but the conclusions can equally be drawn for small and medium enterprises
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Wilson, Berry K. "On the information content of ratings: an analysis of the origin of Moody's stock and bond ratings." Financial History Review 18, no. 2 (April 27, 2011): 155–90. http://dx.doi.org/10.1017/s0968565011000072.

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John Moody published his first railroad security analysis and ratings manual in April 1909. This study analyzes several current issues by looking back at Moody's original intentions for constructing a ratings system. The study analyzes whether Moody intended his ratings to reflect his private information, or rather, to serve some alternative role, as with monitoring conflicts of interests or realizing informational economies of scale. The study uses an ordinal regression approach to evaluate a set of explanatory variables, constructed from both the manual itself and the panic months of 1907, t
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Плиева, А. Р., and Д. В. Басиев. "Securities market and its formation in the russian economy." Экономика и предпринимательство, no. 8(121) (July 26, 2020): 112–16. http://dx.doi.org/10.34925/eip.2020.121.8.022.

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В данной статье рассматривается процесс становления и формирования рынка ценных бумаг в Российской Федерации, его путь с процесса создания до того состояния, который он имеет на сегодняшний день. Немаловажную роль в этом развитии сыграли политические и социальные события и изменения, которые имели место быть в нашем государстве. К таким факторам можно отнести Великую русскую революцию с образованием нового государства с планово-хозяйственной системой управления, развал СССР и формирование отдельных независимых государств, создание законодательных актов, регулирующих создание и дальнейшее совер
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Duben, Andrei Kirillovich. "Information Security's Place in the National Security System: Actual Problems of Information Law." Вопросы безопасности, no. 1 (January 2023): 51–57. http://dx.doi.org/10.25136/2409-7543.2023.1.40078.

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The work is devoted to the study of information risks in the national security system. Today's challenges and risks in the information sphere force us to look for new relationships between industries to improve the quality of life and reduce information threats. The presented information threats require identification and leveling in the future if such external restrictions arise. The article reveals the role and place of information security in the national security system of the country. This paper discusses the basic concepts of information security in the system of ensuring the national se
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Сакович, Ольга, and Olga Sakovich. "PLEDGE LAW REGULATION IN THE NEW CIVIL CODE OF THE CZECH REPUBLIC." Journal of Foreign Legislation and Comparative Law 3, no. 4 (August 23, 2017): 87–92. http://dx.doi.org/10.12737/article_598063fadb5351.90879993.

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This article is devoted to analysis of the pledge law regulation in the Civil Code of the Czech Republic. The Civil Code was adopted within a private law reform. The author addresses the fact of renouncing dualistic system of private law. The notion of pledge in Czech law is discussed. The article places special emphasis on the evaluation of the pledge agreement’s position in the pledge relationships together with correlation of the contract and law’s state in course of pledge agreement negotiation. Requirements to the form of contract and its content depending on a pledged assets are esteemed
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Colangelo, Anthony J. "The Frankenstein’s Monster of Extraterritoriality Law." AJIL Unbound 110 (2016): 51–56. http://dx.doi.org/10.1017/s2398772300002397.

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The judge-made presumption against extraterritoriality has recently become a motley patchwork of eccentric and sometimes contradictory doctrines seemingly stitched together for one, and only one, mission: to deprive plaintiffs the right to sue in U.S. courts for harms suffered abroad. It lumbers along, blithely squashing precedent, principle, statutory text, and legislative intent—all to heed its abiding and single-minded obsession. The Supreme Court has so far mangled the scope of the Securities Exchange Act and the Alien Tort Statute (ATS), and, in RJR Nabisco v. European Community, has plac
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Dissertations / Theses on the topic "Privately placed securities"

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Gocksch, Sebastian Herzig Norbert. "Besteurung inländischer Private Equity-Fonds /." Lohmar : Eul, 2004. http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&doc_number=014691161&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA.

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Tan, Juan Edward Banking &amp Finance Australian School of Business UNSW. "The announcement effect of private placements of hybrid securities in Australia." Awarded by:University of New South Wales. Banking and Finance, 2004. http://handle.unsw.edu.au/1959.4/20549.

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This thesis investigates the share price response to the announcement of private placements of hybrid securities in Australia. Firstly, the size and direction of the share price response is examined. Secondly, the determinants of the share price response are examined. Where possible, comparisons are made to evidence from international markets. The sample of data tested consists of 43 announcements of convertible debt issues, 39 announcements of preference share issues and 19 announcements of option issues made between 1983 and 2000 by Australian firms. The analysis of the share price impa
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Tan, Juan Edward. "The announcement effect of private placements of hybrid securities in Australia /." 2004. http://www.library.unsw.edu.au/~thesis/adt-NUN/public/adt-NUN20050310.191855/index.html.

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Wu, Yi Lin. "Honey, Calpers shrank the board! and the choice of equity-selling mechanisms /." 2001. http://gateway.proquest.com/openurl?url_ver=Z39.88-2004&res_dat=xri:pqdiss&rft_val_fmt=info:ofi/fmt:kev:mtx:dissertation&rft_dat=xri:pqdiss:3019979.

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Books on the topic "Privately placed securities"

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Hale, Lola M. Private placements of securities. New York, NY (11 Penn Plaza, New York 10001): M. Bender, 1987.

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2

Robert, Brown J. Raising capital: Private placement forms & techniques. 3rd ed. New York: Aspen Law & Business, 1993.

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Hogan, N. Adele. Understanding the securities laws, summer 2013. New York, N.Y: Practising Law Institute, 2013.

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Hogan, N. Adele. Understanding the securities laws summer 2012. New York, N.Y: Practising Law Institute, 2012.

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E, Dawson James, and Massachusetts Continuing Legal Education, Inc. (1982- ), eds. Securities offerings, private placements and resales: How the Securities Act of 1933 works : a comprehensive program explaining the basics of the federal laws that govern the offer and sale of securities. Boston, MA: Massachusetts Continuing Legal Education, 2002.

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6

American Institute of Certified Public Accountants. Valuation of privately-held-company equity securities issued as compensation. New York, N.Y: AICPA, 2004.

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7

Davidson, Gordan K., Richard R. Plumridge, and Anthony D. Yager. Private placements 2009. New York, N.Y: Practising Law Institute, 2009.

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Institute, Practising Law, ed. Private placements and other private financings: A satellite program. New York, N.Y. (810 Seventh Ave., New York 10019): Practising Law Institute, 1988.

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G, Wolfson Michael, and Practising Law Institute, eds. Introduction to private placements. New York, N.Y. (810 7th Ave., New York 10019): Practising Law Institute, 1990.

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Institute, Pennsylvania Bar, ed. Private placement: Legal & practical considerations. [Mechanicsburg, Pa.] (5080 Ritter Rd., Mechanicsburg 17055-6903): Pennsylvania Bar Institute, 2005.

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Book chapters on the topic "Privately placed securities"

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Matthias, Haentjens. "Part III Post-Trading Infrastructures, 19 Transatlantic Crossings: The Case of Securities and Derivatives." In Financial Market Infrastructures: Law and Regulation. Oxford University Press, 2021. http://dx.doi.org/10.1093/law/9780198865858.003.0019.

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This chapter focuses on EU–US cross-border financial market infrastructures (FMIs) and the laws and regulations that govern transatlantic (i.e. cross-border) securities and derivatives transactions. It argues that the overlap of administrative law and private law in the laws and regulations of cross-border securities and derivatives increase the complexity and underlying risk of such transactions. The chapter focuses on two sets of rules that apply to securities and derivatives contracts: (1) the rules that govern the insolvency of an intermediary and investor protection; and (2) the rules for the provision of collateral. It also discusses how the complexity and diversity of conflict of laws regimes, and the diversity in substantive laws for intermediated securities, might undermine the stability of the markets. To do so, the chapter analyses the EU and US regimes for the holding of intermediated securities, the private international law provision in place to reduce jurisdictional frictions, and regulatory discontinuities between the EU and the US.
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Steinberg, Marc I. "Mergers and Acquisitions." In Rethinking Securities Law, 239–66. Oxford University Press, 2021. http://dx.doi.org/10.1093/oso/9780197583142.003.0008.

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This chapter focuses on mergers and acquisitions (M&A), entailing going-private transactions, tender offers, proxy contests, mergers, and similar types of transactions. While the framework established by the SEC and Congress on the federal level is commendable, significant gaps exist. This chapter focuses on these gaps and recommends specified measures that should be implemented. The recommended measures are directed toward elevating the federal government’s role to serve as the principal regulator overseeing the M&A process. Among the measures that should be adopted are that: state anti-takeover statutes should be federally preempted; the legitimacy of tactics undertaken in response to takeover bids should be within the province of federal law; and a necessary condition as to whether an offensive or defensive maneuver is permissible and given effect is whether the requisite shareholder approval has been obtained. Importantly, the recommendations advanced in this chapter do not materially impede M&A transactions, recognize that shareholder voice merits a primary role in this process, and correctly place matters of national policy with the federal government rather than the applicable state of incorporation.
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Liang, Mingwei (Max), and Milena Petrova. "Mortgage-Backed SecuritiesMortgage Pass-Through Securities." In Debt Markets and Investments, 383–402. Oxford University Press, 2019. http://dx.doi.org/10.1093/oso/9780190877439.003.0021.

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Mortgage-backed securities (MBSs) have played an important role in the housing and financial markets, providing liquidity to mortgage originators, offering investment opportunities for investors, and helping to set minimum mortgage underwriting standards. This chapter provides an overview of MBSs as an investment tool by presenting an analysis of the MBS market, discussing the securitization process, describing the main MBS pool characteristics, and examining the different types of MBSs in terms of underlying loans (residential mortgage-backed securities and commercial mortgage-backed securities), maturity, interest rate terms, pass-through of interest and principal (pass-through securities versus collateralized mortgage obligations) and issuers (private-label versus agency MBS). The chapter also highlights the major risks inherent to MBSs, particularly prepayment and credit risks.
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Mccaffrey, David P., and David W. Hart. "Private Litigation and Arbitration." In Wall Street Polices Itself, 93–122. Oxford University PressNew York, NY, 1998. http://dx.doi.org/10.1093/oso/9780195111873.003.0005.

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Abstract Broker-dealer firms present themselves as trustworthy, skilled advisers unless they compete exclusively on the basis of price. As noted in Chapter 2, their advertising stresses uniformly that “XYZ Securities’ brokers are trustworthy and experienced; they put their relationships with clients ahead of all else; they are fully equipped to develop an individualized investment program that’s just right for you, and so on” (Pratt, 1993: 26). Investment bankers portray themselves as working hard to earn a special place with their clients through good advice and generous service.
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Raynes, Sylvain, and Ann Rutledge. "Market Basics." In The Analysis of Structured Securities, 3–16. Oxford University PressNew York, NY, 2003. http://dx.doi.org/10.1093/oso/9780195152739.003.0001.

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Abstract From a handful of early mortgage deals in the 1970s, structured securities have evolved into a mainstream financing form, a permanent feature of U.S. public and private markets,1 a significant source of alternative finance and investment for Europe, and, potentially, an important source of capital to Latin America and Asia. Yet despite their phenomenal growth record, it would be wrong to infer that structured securities are well suited to all markets. As engineered structures, they perform best in controlled environments.2 In addition to a framework of microcontrols to keep performance within an expected range (otherwise known as the transaction documents), structured deals rely on a framework of macro-level controls to mitigate the impact of the unexpected. In mature financial markets, stringent accounting rules and deep traditions of contracts, property, and judicial process are in place to create transparency of asset value, compel transaction parties to abide by their agreements, and enforce creditor claims when deals go awry. By contrast, the legal infrastructure of emerging markets is often incomplete: it has loopholes, or is long on rules but short on process, or lacks enforcement power. Thus, debt securities from emerging markets often carry large, sometimes incalculable downside risks. This tendency is more pronounced in structured securities, which rely on the possibility of precise risk measurement.
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Wetherell, Sam. "Conclusion." In Foundations, 188–92. Princeton University Press, 2020. http://dx.doi.org/10.23943/princeton/9780691193755.003.0008.

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This chapter argues that in the late-twentieth century, Britain became a postdevelopmental state — a neoliberal political formation characterized by a constant, unresolved negotiation between old and new that played out across its built environment. It assesses the tensions felt, particularly in the last third of the twentieth century, when Britain's developmental state was in retreat. The chapter also outlines how the urban forms were reimagined and remade from the 1970s and how industrial estates became suburban business parks, central shopping precincts became private shopping malls, and council estates were privatized, hollowed out, and in some cases transformed into securitized compounds like Enterprise Lane. Ultimately, it elaborates a variety of new types of urban space that were seized on by industrialists, urban planners, politicians, and technocrats to form the foundations of a new economy and a new society in the mid-twentieth century.
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Conference papers on the topic "Privately placed securities"

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Ho, Varabott. "Capacity Building in Green Bonds in Cambodia: Universities Must Play a Key Role to Support the Industry." In ACBSP Region 10 Annual Conference 2023. CamEd Business School, 2023. http://dx.doi.org/10.62458/camed/oar/acbsp/73-86.

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This paper discusses, analyzes and focuses on Green Bonds in Cambodia. In order to prepare for long-term net zero engagement with the Government Ministries, regulators, private sector, institutional investors and stakeholders, Cambodia needs to promote and facilitate green financing development and solutions. The objective of the research is to analyze the gap between the Policy of Frameworks on Development of Government Securities objectives and the existing infrastructure and capacity in place. After several face-to-face interviews undertaken in Phnom Penh and desk research, researchers have
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Reports on the topic "Privately placed securities"

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Payment Systems Report - June of 2021. Banco de la República, February 2022. http://dx.doi.org/10.32468/rept-sist-pag.eng.2021.

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Banco de la República provides a comprehensive overview of Colombia’s finan¬cial infrastructure in its Payment Systems Report, which is an important product of the work it does to oversee that infrastructure. The figures published in this edition of the report are for the year 2020, a pandemic period in which the con¬tainment measures designed and adopted to alleviate the strain on the health system led to a sharp reduction in economic activity and consumption in Colom¬bia, as was the case in most countries. At the start of the pandemic, the Board of Directors of Banco de la República adopted
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