A Securities Law Podcast Highlighting Investment Fraud Scams and Broker Negligence

Michael Terence Rave, Esq., a seasoned Corporate, Securities, and M&A attorney, shares insights into the multifaceted world of securities law,

CSK Auto Corporation, a specialty retailer of automotive parts and accessories and formerly a publicly-traded company, has agreed to pay a $20.9 million penalty to resolve securities law violations stemming from a corporate earnings manipulation and double-billing scheme.

Two stock promoters, a securities lawyer and a stock trader associated with a Costa Rican brokerage firm were sentenced today in the Southern District of Florida for their participation in a stock manipulation scheme that defrauded investors in a company called CO2 Technologies.

Wappett, Craig, author

There is no better way to stay on top of key developments in securities law in Canada. When you subscribe to the Securities Law News Tracker, you get notices of all updates via e-mail. Your updates give you instant access to changes that originate from a variety of primary and secondary sources such as:

• Press releases
• Cases
• National Instruments, Policies, and Notices
• Securities Commission Rules, Policies, and Notices
• Stock Exchange By-Laws, Rules, and Policies
• By-Laws and Regulations of the Investment Dealers Association (IDA)
• By-Laws and Regulations of the Mutual Fund Dealers Association of Canada (MFDA)

This current awareness tool also give you a 10-day summary and 60-day archive of past news items, organized federally and provincially, in a searchable format.

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International Securities Law Handbook answers the need for a user-friendly source of information that addresses securities law in the most significant jurisdictions. This invaluable reference presents key elements of securities law and regulations in 30 jurisdictions.

Countries include Argentina, Australia, Austria, Belgium, Brazil, Canada (including Quebec), Denmark, France, Germany, Hong Kong, India, Ireland, Israel, Italy, Japan, Malaysia, The Netherlands, Norway, The Philippines, Portugal, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan, United Kingdom, and United States of America.

Country chapters, each written by an expert in the particular country's securities law, appear alphabetically. Readers can also make easy comparisons between treatments of particular issues by different jurisdictions. International Securities Law Handbook is an easily accessible desk reference on multinational and cross-border transactions.

Topics covered:

• Description of the securities markets
• Principal laws regulating the securities markets
• Quasi-securities and derivatives
• Exemptions available
• Special cases such as employee share schemes, rights issues, and takeovers

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Widely regarded as the most comprehensive and up-to-date resource for Canadian securities law, the Canadian Securities Law Reporter covers all aspects of securities law in all provinces and helps practitioners, law librarians, researchers, and securities regulators stay up to date and in compliance with the securities landscape across Canada. The product includes all relevant securities instruments and other documents from securities commissions, recent case law, commentary, statutes, and regulations from across Canada.

Included with your subscription is the Canadian Securities Law News, a monthly newsletter that summarizes all recent developments in securities regulation across Canada. The Canadian Stock Exchanges Manual is also included in your subscription.

Subscribe to the online version and access Securities Law News Tracker. With News Tracker, you get notices of all updates via e-mail. Your updates give you instant access to changes in securities law that originate from a variety of primary and secondary sources such as:

• Press Releases
• Cases
• National Instruments, Policies, and Notices
• Securities Commission Rules, Policies, and Notices
• Stock Exchange By-Laws, Rules, and Policies
• By Laws and Regulations of the Investment Industry Regulatory Organization of Canada (IIROC)
• By Laws and Regulations of the Mutual Fund Dealers Association of Canada (MFDA)

This product includes a current awareness tool that gives you a 10-day summary and 60-day archive of past new items, organized federally and provincially, in a searchable format.

If you would like more details about this product, or would like to order a copy online, please click here.

Canadian Securities Law News summarizes all recent developments in securities regulation across Canada, including changes to federal and provincial statutes and regulations, Policy Statements by Securities Commissions, by-laws of the Investment Dealers Association of Canada and the Investment Funds Institute of Canada, and by-laws of stock exchanges.

If you would like more details about this product, or would like to order a copy online, please click here.

Federal Securities Law Reporter is a comprehensive resource covering the federal laws and rules that regulate the issuance and trading of securities, corporate disclosure, insider reporting, broker-dealer requirements and duties, self-regulatory organizations, investment companies, investment advisers, and accountants and attorneys practicing before the Securities and Exchange Commission.

It provides the full text of the Securities Act of 1933, the Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002, the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010, and other federal securities laws, as well as the regulations and forms of the SEC. It includes explanations that discuss, summarize and coordinate law, rule interpretations and court decisions.

It also includes the full text of court opinions deciding issues of federal securities law, all SEC rulemaking releases and other selected SEC releases and no-action letters. It is organized by act, with SEC rules, CCH explanations, and other materials located among the act sections to which they relate.

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Corporate Finance and the Securities Laws has been winning over practitioners with its clear "how to do it" approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Fourth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace.

Written in plain English by two top experts in the field, this guide is the go-to resource that explains the mechanics of corporate finance together with the statutes that govern each type of deal.

You will receive expert corporate finance analysis, procedural guidance and practical securities law pointers every step of the way to help you structure all types of corporate finance deals, root out problems before deals are put in motion, shepherd transactions through the regulatory process and know what to do when securities law problems crop up.

Table of Contents:

• Chapter 1: Overviews of the Securities Act of 1933 and the Integrated Disclosure System
• Chapter 2: Syndicate Procedures and Underwriting Documents
• Chapter 3: Selected Issues in the Registration and Distribution Process
• Chapter 4: Manipulative Practices and Market Activities During Distributions
• Chapter 5: Liabilities and Due Diligence
• Chapter 6: Rules of the Self-Regulatory Organizations
• Chapter 7: Private Placements
• Chapter 8: Shelf Registrations (Rule 415)
• Chapter 9: International Financings
• Chapter 10: Commercial Paper
• Chapter 11: Innovative Financing Techniques
• Chapter 12: Convertible, Exchangeable and "Linked" Securities; Warrants
• Chapter 13: Transactions with Securityholders: Stock Repurchases, Debt Restructurings and Rights Offerings
• Chapter 14: Asset-Backed Securities

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