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The law of securities regulation

Author: Thomas Lee Hazen
Publisher: St. Paul, Minnesota : Thomson/West, ©2009.
Series: Hornbook series.
Edition/Format:   Print book : English : 6th edView all editions and formats
Summary:

Revised to reflect the SEC's offering reform and recent Supreme Court developments, this Hornbook now is totally up to date. It is a comprehensive secondary source for any course in Securities  Read more...

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Details

Document Type: Book
All Authors / Contributors: Thomas Lee Hazen
ISBN: 0199280614 9780199280612 9780314187970 0314187979
OCLC Number: 981325210
Description: xxxiii, 862 p. ; 26 cm.
Contents: 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 violation 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; implied private remedies; SEC Rule 10b-5; fraud in connection with the purchase or sale of securities; improper trading on nonpublic material information. --
Insider reporting and short-swing trading : Securities Exchange Act section 16. --
Market regulation and broker-dealer regulation. --
tArbitration of broker-dealer disputes. --
Operation of the Securities and Exchange Commission. --
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.
Series Title: Hornbook series.
Other Titles: Securities regulation
Responsibility: by Thomas Lee Hazen.

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