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)