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The law of securities regulation / by Thomas Lee Hazen.
Series: Hornbook seriesPublication details: St. Paul, Minn. : West Group, 2002.Edition: 4th edDescription: xxv, 1152 p. ; 26 cmISBN:- 0314238336 (hardcover : alk. paper)
- 9780314238337
- Securities regulation [Spine title]
- 346.092 HAZ 21
- KF1439 .H39 2002
Contents:
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;
Arbitration 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.
| Item type | Current library | Shelving location | Call number | Status | Date due | Barcode |
|---|---|---|---|---|---|---|
BOOKs
|
National Law School | Library Compactors | 346.092 HAZ (Browse shelf(Opens below)) | Available | 18003 |
Includes index.
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;
Arbitration 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.
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