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Principles of securities regulation

Author: Thomas Lee Hazen
Publisher: St. Paul, MN : West Academic Publishing, [2017] ©2017
Series: Concise hornbook series.
Edition/Format:   Print book : English : Revised fourth editionView all editions and formats
Summary:
"This title includes the most recent developments in securities regulation in an accessible format, including the JOBS Act. Authoritative coverage includes the registration process; exemptions; corporate recapitalizations, reorganizations, and mergers; market manipulation; liabilities; Securities Exchange Act of 1934; jurisdictional aspects; broker-dealer regulation and an overview of investment company regulation.  Read more...
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Genre/Form: Hornbooks (Law)
Study aids
Document Type: Book
All Authors / Contributors: Thomas Lee Hazen
ISBN: 9781683288299 1683288297
OCLC Number: 974917639
Notes: "The revised 4th edition contains two updates: a recent Supreme Court decision on insider trading and a development relating to SEC administrative proceedings, as well as some minor editorial revisions"--Page v.
Description: xvi, 506 pages ; 24 cm.
Contents: Chapter 1. The basic coverage of the securities laws --
Chapter 2. Registration requirements of the Securities Act of 1933 --
Chapter 3. The 1933 Act registration process and disclosure --
Chapter 4. Exemptions from 1933 Act registration --
Chapter 5. The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act --
Chapter 6. IPO practices : manipulation, stabilization and hot issues --
Chapter 7. Liability under the Securities Act of 1933 --
Chapter 8. State blue sky laws --
Chapter 9. Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies --
Chapter 10. Shareholder suffrage : proxy regulation --
Chapter 11. Tender offer and takeover regulation --
Chapter 12. Manipulation and fraud --
Chapter 13. Insider reporting and short-swing trading : 1934 Act sec. 16 --
Chapter 14. Market regulation, broker-dealers --
Chapter 15. Debt securities and protection of bondholders : the Trust Indenture Act of 1939 --
Chapter 16. Federal regulation of investment companies : the Investment Company Act of 1940 --
Chapter 17. Investment Advisers Act of 1940 --
Chapter 18. SEC enforcement --
Chapter 19. Jurisdictional aspects --
Chapter 20. Related laws.
Series Title: Concise hornbook series.
Other Titles: Securities regulation
Responsibility: Thomas Lee Hazen.

Abstract:

Includes the most recent developments in securities regulation, including the JOBS Act. Authoritative coverage includes the registration process; exemptions; corporate recapitalizations,  Read more...

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