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Hazen, Thomas Lee, 1947-

The law of securities regulation / Securities regulation by Thomas Lee Hazen. - 4th ed. - St. Paul, Minn. : West Group, 2002. - xxv, 1152 p. ; 26 cm. - Hornbook series .

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.

ISBN: 0314238336 (hardcover : alk. paper) 9780314238337

LCCN: 2002281421

Subjects--Topical Terms:
Securities--United States.

LC Class. No.: KF1439 / .H39 2002

Dewey Class. No.: 346.092 HAZ