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xxx, 842 pages ; 27 cm.
  • The basic coverage of the securities laws
  • Registration requirements of the Securities Act of 1933
  • The 1933 Act registration process and disclosure
  • Exemptions from 1933 Act registration
  • The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act
  • IPO practices : manipulation, stabilization and hot issues
  • Remedies for violations of the Securities Act of 1933 (and other consequences of deficient registration statements)
  • State securities laws ("blue sky" laws)
  • Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies
  • Shareholder suffrage : proxy regulation
  • Tender offer and takeover regulation
  • Manipulation and fraud : civil liability
  • Insider reporting and short-swing trading : Securities Exchange Act section 16
  • Market regulation and broker-dealer regulation
  • Arbitration of broker-dealer disputes
  • Civil and criminal enforcement
  • Jurisdictional aspects
  • Debt securities and protection of bondholders : the Trust Indenture Act of 1939
  • Federal regulation of investment companies : the Investment Company Act of 1940
  • Investment Advisers Act of 1940
  • Special problems and overview of related laws.
Revised to reflect the SEC's the Dodd-Frank and JOBS Acts as well as recent Supreme Court and other case law developments, this Hornbook is totally up to date. It is a comprehensive secondary source for the study of Securities Regulation. Coverage includes definition of "security, " registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities. The book treats broker-dealer regulation, market regulation, and the administrative role of the SEC, as well as proxy rules, insider trading, the Investment Company Act and the Investment Advisers Act. The up-to-date discussion of market regulation includes discussion of the role of FINRA, the successor to the regulatory arms of the New York Stock Exchange and the National Association of Securities Dealers.
(source: Nielsen Book Data)9780314284549 20161124
Law Library (Crown)
xliii, 1671 pages ; 26 cm.
  • The capital markets : an overview
  • Regulation of the distribution of securities
  • Regulation of trading in securities
  • Introduction to securities enforcement and class actions.
This is the first and oldest casebook on securities regulation and provides the tools for the in-depth study of the law of securities regulation. With the addition of Professor M. Todd Henderson, the Michael J. Marks Professor of Law and Aaron Director Teaching Scholar at the University of Chicago Law School, as a co-editor this edition includes a diversity of perspectives as we continue to engage the key issues in this field. This edition has been revised to take into account the following: Developments since the JOBS act was passed in 2012, including in particular (1) general solicitations under Rule 506; (2) the ""on ramp"" for ""emerging growth companies"" (3) the new heightened standard for when a company must become a ""reporting company"" under 12(g) of the 1934 Act (and the SEC's very recent proposed rules implementing this standard); (4) ""crowdfunding"" and (5) the proposed rules for ""Regulation A+"" small issues. The role of cost/benefit analysis in the formulation of SEC rules. Coverage of Regulation SCI Increased attention to hedge fund activism as it relates to mergers and acquisitions. Recent Supreme Court cases.
(source: Nielsen Book Data)9781628102192 20160618
Law Library (Crown)
v. : forms ; 25 cm.
Law Library (Crown)