Principles Of Securities Regulation

Hazen's Principles of Securities Regulation provides authoritative coverage of the most recent developments in securities regulation in an accessible format. Topics include: The registration process Exemptions Corporate recapitalizations, reorganizations, and mergers Market manipulation Liabilities Securities Exchange Act of 1934 Jurisdictional aspects Broker-dealer regulation and the new Financial Industry Regulatory Authority Regulation of investment companies

This paper presents an assessment IMF report on implementation of the International Organization of Securities Commission (IOSCO) principles in Canada. It highlights that developing an integrated and robust view of risks to support supervisory actions remains a key challenge. The IMF report suggests that the securities regulators should continue to take steps to ensure timely decision making in policy formulation. However, the current governance arrangements, based on a consensus building approach across several entities, is expected to affect timeliness of decision making.

This report analyzes the functioning of the legal and regulatory framework for the securities market in Japan. The Financial Services Agency (FSA) enjoyed specific powers with respect to the various security laws and regulations laid down by the International Organization of Securities Commission (IOSCO). The FSA has been authorized to bring about certain changes, to implement new principles, and to develop new frameworks to ensure and strengthen the smooth functioning of supervision and investigation. It is also necessary to identify and assess risks to determine FSA intervention.

The book is designed to provide an understanding of the federal securities laws; emphasizing those areas of the law that are likely to be confronted in a general or corporate practice, while giving some coverage to market regulation, broker-dealers, and the regulation of investment companies and investment advisers.

This paper discusses implementation of the International Organization of Securities Commissions (IOSCO) objectives and principles of securities regulation in Indonesia. The Capital Markets and Financial Institutions Supervisory Agency (BAPEPAM-LK) has taken impressive steps to increase the transparency of regulation and to institute a comprehensive operational program that meets international norms and Indonesia’s understanding of best practices. This paper reveals that the regulatory framework, regulatory powers, and requirements pertaining to the securities regulator are highly transparent. The roles of the regulators and supervisors are also clearly defined.

"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.